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BANGLADESHRURAL WATER SUPPLY AND SANITATION PROJECT (BRWSSP)

IMPLEMENTATION REVIEW MISSIONJune 30 – July 8, 2013

Aide Memoire

1. Mission Composition and Objectives. A supervision mission1 was carried out for the Bangladesh Rural Water Supply and Sanitation Project (BRWSSP) to review the project implementation progress. The mission wishes to thank the Government of Bangladesh (GOB), and officials of the Department of Public Health Engineering (DPHE) for their excellent collaboration and the courtesies extended. The list of key persons met is attached as Annex 1. This aide memoire, summarizing the main mission findings and recommendations, was discussed at the mission wrap-up meeting on July 8, 2013 chaired by the Secretary, LGD. This aide memoire takes into account comments received at the wrap-up meeting.

2. Key Project Data (as of July 1, 2013)Project Data Project Performance RatingsBoard Approval: 03/22/2012Effectiveness Date:05/13/2012Original Closing Date: 06/30/2017Revised Closing Date (if relevant): n/aMTR Date (Actual): not yet due (planned 12/31/2014)

Original Credit Amt: SDR 48.4m (US$75.0 equivalent)Revised Credit Amt: n/aAmount Disbursed: SDR 0.83m (US$1.25m)PDO Rating: Moderately SatisfactoryIP Rating: Moderately Satisfactory

A. ACHIEVEMENT OF DEVELOPMENT OBJECTIVES

3. The Credit was approved in March 2012 and became effective in May 2012. There have been significant delays in contracting and mobilizing the key technical assistance packages for defining and designing the infrastructure investments. Therefore, the infrastructure works of constructing piped water supply, non-piped community water points and hygienic sanitation latrines are expected to begin by the end of the fiscal year. These challenges notwithstanding, it is possible for the project to achieve its PDO by the Credit closing date of June 30, 2017. There is no data yet available on the project outcomes and results.

B. SUMMARY OF MISSION CONCLUSIONS AND KEY ISSUES

4. Implementation Status. DPHE has made good progress since the last mission in the following areas: (i) deputation to the PMU of additional engineers and other staff, including social development officer and accountant; (ii) contracting of a procurement consultant, financial management consultant, senior water supply specialist and hydro geologist; (iii) operationalization of the computerized accounting system; (iii) technical evaluation of proposals for key technical assistance consultancy packages; and (iv) operationalization of the PMU office, with office refurbishment well advanced, and office facilities /

1 The Bank team comprising Arif Ahamed (Water and Sanitation Specialist), Abdul Motaleb (Senior Water and Sanitation Specialist), Rokeya Ahmed (Water and Sanitation Specialist), Ishtiak Siddique (Procurement Specialist), Mohammad Reaz Uddin Chowdhury (Financial Management Specialist), Syed Khaled Ahsan (Public Sector Specialist), Mridula Singh (Senior Social Development Specialist), M. Khaliquzzaman (Consultant – Environmental Management), Naziruzzaman Shyamal (Consultant - Engineering), Shamim Hasan (Consultant – MIS), A.K.M Waliul Islam (Consultant – M&E). Tarak Chandra Sarker (Program Assistant) provided logistical support to the mission.

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equipment and vehicles being procured. However, procurement of key technical assistance packages has taken longer time than estimated, mainly because of delays in the evaluations of the initial expressions of interest and the subsequent detailed technical proposals. These delays in mobilizing the key technical assistance support services will mean that initiation of the infrastructure development will be delayed and infrastructure works can be started only by the end of the second year of project implementation.

5. Critical Actions for Implementation in the Next Six Months. DPHE has completed the technical evaluation of the proposals for the three major consultancy packages. The combined evaluation, negotiations and contract signing are the remaining activities for these critical path consultancies. The agreed milestones and key actions for the completion of procurement of these two critical-path consultancies are given below. The Bank team estimated that, if project implementation preparedness continues to pick up, then it will still just be possible for the project to be completed within the remaining project timeframe. However, DPHE must ensure that the critical actions2 presented below are achieved if the timeframe is to be adhered to. Other agreed milestones for required actions necessary for advancing implementation are listed in Section K. The summary status of procurement for all contracts is provided in Annex 5.

Sl. Consultancy Package

Activity Agreed Milestone

Prior Milestone3 Current Status

1. S-6: TA Consultancy

Open Financial proposal Jul 08, 2013 EOI Evaluation Report: Nov. 30, 2012

Tech. Evaluation Report: Jan. 31, 2013

Contract Signing: April 30, 2013

Completion of evaluation of Expressions of Interests (EOI): February 20, 2013

Completion of evaluation of Technical Proposals: June 13, 2013

Prepare Combined Evaluation Report (CER)

Jul 15, 2013

Negotiate contract with the consultant Jul 16, 2013Submit Draft Negotiated Contract (DNC) along with the CER to Bank for “no objection”

Jul 23, 2013

Issue “no objection” on DNC Jul 30, 2013Approve DNC by CCGP Aug 30, 2013

Sign contract Sep 07, 2013

2. S-11, and S-12: Community Mobilization

Open Financial proposal Jul 08, 2013 Completion of evaluation of Expressions of Interests (EOI): February 27, 2013

Completion of evaluation of Technical Proposals: June 23, 2013

Prepare Combined Evaluation Report (CER)

Jul 15, 2013 EOI Evaluation Report: Dec. 31, 2012

Negotiate contract with the consultant Jul 22, 2013Submit Draft Negotiated Contract (DNC) along with the CER to Bank for “no objection”

Aug 01, 2013

Issue “no objection” on DNC Aug 08, 2013Approve DNC by Ministry Aug 30, 2013Sign contract Sep 07, 2013

6. Project Management. With the impending start of significant project activities, it is essential that DPHE completes the recruitment or deputation of the remaining PMU staff provisioned in the Development Project Proforma (DPP). The full staffing, comprising Assistant Engineers (six), Sub-assistant Engineers (ten), GIS Officer (one), Financial Management Analyst (one) and Community Development Officer (one) should be in place by October 31, 2013.

2 Post Mission Note: DPHE have opened the financial proposals for packages S-6, S-11 and S-12. Negotiation has been completed for package S-6. However, draft Negotiated Contract for package S-6 has not been submitted for Bank no objection.3 Agreed during Implementation Review Mission held in November 2012

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DETAILED PROJECT IMPLEMENTATION DISCUSSIONS

C. PROJECT IMPLEMENTATION

7. Component 1: Rural Piped Water Supply. Recruitment of the engineering firm to undertake the preparatory activities has taken a long time, primarily due to the longer than estimated time taken for completing the evaluation of Expressions of Interests (EOI) and Technical Proposals. The mission discussed and agreed with DPHE, the key milestones to complete the procurement process; see Section K below. With the expected onset of construction of rural piped water supply schemes by April 2014, and provided that the sequence of construction is maintained with robust monitoring by the PMU, installation of all the 125 schemes could be completed by the current closing date of June 2017. The mission noted that LGD has advised DPHE to expedite implementation and initiate construction of 25 rural piped water supply schemes by November 30, 2013.

8. DPHE has initiated the preparation of a long list of potential locations where schemes could be implemented. A check-list questionnaire, with defined selection criteria, has been sent to the respective district offices of DPHE; recommendations from DPHE field offices have started to arrive at the PMU. It was agreed that additional information on local potential private entrepreneurs will be requested from the respective DPHE district offices to facilitate the potential site selection and screening process. Based on the collected information and subsequent filtering, DPHE will develop a long list of potential scheme locations, enabling the TA engineering firm to prepare a short-list and conduct pre-feasibility at 200 locations. DPHE agreed to complete preparation of the long list of potential scheme locations by September 30, 2013.

9. It is estimated that the TA consulting firm will submit the Inception Report by October 31, 2013 and the final ranking of the unions with short-list of locations by December 31, 2013. Given the volume of field activities, including reconnaissance and subsequent ranking of the identified locations, the mission recommended that the selected firm should be asked to confirm the size and composition of its field support team during contract negotiations.

10. Component 2: Rural Non-piped Water Supply. The project will finance the construction of about 14,000 water point sources (mainly deep tube wells) in hot-spot Upazilas where piped water supply will not be commercially viable and where Arsenic mitigation options are necessary. DPHE confirmed that the installation works for the first batch of non-piped water point sources is expected to begin in March 2014. Implementation arrangements would require the appointment of non-government Support Organizations (SOs) to help set-up and activate Union Water and Sanitation Committees (WATSAN) in the designated Unions and help develop community action plans to address the requirements of safe water options. The mission also discussed on the status of progress in recruiting the services of SOs. The particular prerequisite project activity of community mobilization and development of action plan for rural non-piped water supply schemes and community awareness building on sanitation and hygiene is covered under Component 3 – Capacity Strengthening and technical Assistance.

11. Component 3: Capacity Strengthening and Technical Assistance. It was agreed that the Terms of Reference for the analytical and advisory activity to develop a longer term institutional and regulatory framework to cover private sector participation in rural water supply, as well as increased delegation of responsibility to the Union Parishad, will be prepared and submitted by DPHE by September 30, 2013. Procurement of a non-government organization is underway to facilitate the pilot program for social marketing and social mobilization towards rural hygienic sanitation coverage in 14 unions. Expressions of Interest have been received by the PMU. It was agreed that the evaluation of the EOIs and evaluation of the subsequent Technical Proposals will be completed by August 15, 2013 and October 31, 2013 respectively. Contracting will be completed by December 31, 2013.

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12. The mission noted the delay in the procurement of the two SO packages4 compared to the milestones agreed with the November 2012 implementation support mission. The EOI Evaluation Report was furnished by DPHE on February 27, 2013, i.e., two months behind schedule. The evaluation of the technical proposals was completed by June 23, 2013 and the combined evaluation (considering financial proposals), contract negotiations and the required approval of the line ministry for contract award are expected to be accomplished by August 30, 2013. DPHE agreed to award the contracts for these two packages by September 07, 2013. Details of the remaining procurement actions are provided in Section K.

13. The selected SOs will conduct preparatory activities for the installation of non-piped water supply options and hygienic sanitation facilities (namely community mobilization, preparation of action/implementation plan, community awareness building, hygiene promotion, capacity building of local entrepreneurs on social marketing) in all the 383 targeted unions in three distinct batches under each package on a rolling basis over a period of three years. Arsenic screening of water options in all unions in the first batch5 will be completed by February 28, 2014. Baseline survey activities, along with preparation of the action plans, for the first group of unions will be completed by April 30, 2014.

14. The Water and Sanitation Program (WSP) will provide technical assistance for capacity building of private entrepreneurs and DPHE. It will arrange Training of Trainers (ToT) for selected DPHE staff in the areas of sanitation marketing, technology development for producing improved sanitation options among others. Technical assistance support from WSP will ensure adequate monitoring of sub-project implementation, particularly the proper channeling of incentive grants to the eligible poor and the confirmation of payments to the private entrepreneurs on successful installation of hygienic sanitation facilities.

15. The mission highlighted potential risks in the implementation of community mobilization, including: wealth ranking during baseline survey, which is the key for determining eligibility for hygienic sanitation facilities; the method of selection of private entrepreneurs for implementing latrine installation works; and the certification process for water points and hygienic sanitary facilities. The preferred contracting and selection method for private entrepreneurs for sanitation facility installations will be finalized prior to the contract award of the Support Organizations based on discussions between the Bank and DPHE.

16. Component 4: Project Management and Support. The PMU is already functioning at the designated office space at the DPHE head office. The procurement of project vehicles, necessary office equipment and IT equipment is nearing completion. It was agreed that the PMU office as well as the Regional Project Offices (RPO) will be made fully operational, with the completion of the renovation works and the installation of facilities and equipment, by September 30, 2013.

17. PMU staffing. The PMU now has twenty staff (as opposed to ten during the previous supervision mission in November 2012), ranging from Executive Engineer to lower division Assistant levels6. The PMU will soon complete the procurement of the two critical technical consultancies (i.e., consultancies for the field work, engineering feasibility and design of the rural piped water supply schemes, and for the detailed baseline and action plan for rural non-piped water supply options and hygienic sanitation facilities). The full complement of key technical staff will be required to ensure the adequate management of these and other upcoming activities, including overseeing field activities of the technical assistance consultancies under the project. The mission urged DPHE to complete the recruitment and/or deputation of the full complement of Assistant Engineers, Sub-Assistant Engineers, GIS Officer, Community

4 The activity packages of the Support Organizations (SO) have been divided into two distinct contract packages based on geographic coverage.5 Approximately 60 Unions in each package, making up the total of 120 Unions under two packages in the first batch.6 A total of 37 staff of various levels makes up the full PMU structure as defined in the DPP.

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Development Officer, and Financial Management Analyst as provisioned in the PMU structure, by October 31, 2013.

D. ENVIRONMENTAL MANAGEMENT

18. The mission is pleased to note the good progress made in the environmental component of the project. As agreed during the previous mission, draft guidelines had been prepared for managing arsenic related issues for the construction of both manual and mechanical tube wells, as well as for the disposal of spent filter media from arsenic removal plants. These guidelines will be reviewed by the ‘Departmental Technical Committee (DTC)’ and on approval, are expected to be adopted by the DPHE by September 30, 2013. The provisions in the document will be taken into account in the preparation, installation and monitoring of BRWSSP sub-projects, and will form the basis for the ‘Environmental Assessment’ of the sub-projects. A concept paper on the analytical services required for arsenic and other necessary parameters has also been prepared. An MOU to operationalize the service delivery by the ‘Water Monitoring and Surveillance Circle’, which is an independent unit under the DPHE (with its central and regional laboratories), will be signed based on the concept paper. Groundwater studies in the project will be carried out by the Groundwater Circle (GWC) of DPHE, with resources from the project under an MOU with the PMU, for which a draft has been prepared. GWC in turn will sign an MOU with Bangladesh Atomic Energy Commission (BAEC) for isotopic and related analysis (this was also done during the previous project Bangladesh Water Supply Program Project). These MOUs will be signed by September 30, 2013. Action will be initiated to get the project EMF cleared by the DOE (which is a legal requirement).

E. MONITORING FRAMEWORK AND PROJECT MONITORING

19. DPHE has a dedicated MIS unit in the head office that maintains the national data on water and sanitation coverage. The project does not yet have a functioning management information system (MIS) for monitoring the progress of the project, including achievement of the outcomes as per the project results framework. Work is being initiated to develop a customized project MIS, which will be web accessible and compatible with the existing National MIS on water and sanitation (to facilitate data sharing from the project system to the national system). The action plan for developing the monitoring framework and the MIS is given in Annex 2. An update of the project’s results framework is provided as Annex 6.

F. SOCIAL DEVELOPMENT

20. The primary focus of the mission on social development was to enhance transparency and accountability of service delivery in compliance with the Social Management Framework. A workshop was organized with project officials on the conceptual framework of Social Accountability and on the benefits of ICT tools that enable the optimal use of real-time information. The purpose is to facilitate day-to-day managerial decision-making, promote continuous learning, enhance accountability at all levels and satisfaction of communication. The possibility of ICT use was explored with government and beneficiaries. In order to roll-out activities to enhance transparency and accountability and facilitate citizen’s engagement the following actions will be completed:

(i) A draft scheme cycle, which details the roles and responsibilities for all parties for each component, will be submitted to the Bank for review by July 31, 2013.

(ii) A strategy and an action plan for a structured approach to community participation, including the implementation of the provisions of GoB’s Right to Information Act, 2009 will be prepared and submitted to the Bank by August 31, 2013.

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21. DPHE is keen to pilot ICT tools to strengthen supply side of social accountability. The mission agreed to facilitate a workshop on the use of ICT tools for key project staff and policy makers on August 20, 2013.

G. GOVERNANCE ACCOUNTABILITY AND ACTION PLAN (GAAP)

22. The mission reviewed the draft final GAAP with DPHE. DPHE confirmed that the GAAP will immediately be retrofitted into BRWSSP and will be mainstreamed in the project operational manual. The Bank will assist the project in identifying appropriate social accountability and ICT tools to strengthen the demand side of GAAP. GAAP will be jointly monitored by DPHE and the Bank. The agreed GAAP for the project is given in Annex 4.

H. PROJECT COSTS – DISBURSEMENT AND COMMITMENTS

23. Disbursement and Commitments. As of July 1, 2013, IDA disbursement stood at US$1.25 million (representing a disbursement rate of approximately 1.6%). Disbursement is expected to climb towards the end of FY14 when works contracts begin implementation.

I. FINANCIAL MANAGEMENT AND PROCUREMENT

Financial Management

24. Financial Reporting. Quarterly IFRs have been submitted to IDA on a timely manner and these were found to be acceptable.

25. Internal Audit. ToR of Internal Auditor will be furnished to IDA by August 31, 2013. A firm of Chartered Accountants will be hired by October 31, 2013 for internal audit.

26. Audit Committee. BRWSSP will set up a Project Audit Committee (PAC) with the Deputy Secretary (Audit), MLGRD&C as the chair, and the Financial Management Specialist (FMS) and Project Director (or a competent representative of PD) as members. The PAC will be constituted by August 31, 2013.

27. Computerization of Accounting System. The project has installed the off the shelf accounting software “Tally”. However, to obtain optimum output from the software, an enhanced training needs to be provided to FMS and accountants. Further, the maintenance and training agreement with the vendor had recently been expired. The mission recommended that the agreement be renewed by July 31, 2013. IFRs of the project are still being prepared based on manual data, which should be stopped as soon as the software becomes fully operational and is capable of producing accurate financial statements.

28. External Audit. A tripartite meeting has not yet been held between DPHE, LGD, and FAPAD to resolve the audit observation of the previous project (BWSPP), which is long outstanding now. The mission urged that the meeting be held by October 30, 2013.

29. Project Staffing. The project needs a qualified accountant with at least two years post qualification experience as a Financial Management Analyst (FMA) to assist the FMS on a day to day basis. The ToR of the FMA will be prepared and shared with IDA as soon as possible. The project will furnish IDA the shortlist of the candidates, along with evaluation documents and CVs, prior to making the selection for the position. The FMA should be on board by October 31, 2013.

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Procurement

30. Revised Procurement Plan and Monitoring. The revised procurement plan (Version 3) was submitted by the PMU immediately before the mission, which the mission reviewed with the PMU. The procurement plan needs some modifications to fully reflect project needs (i.e., inclusion of new packages, changing composition of existing packages). The mission advised the PMU to submit an updated procurement plan to the Bank by July 21, 2013. The Bank and the PMU will regularly monitor progress of procurement activities against the targets dates in the procurement plan.

31. Major Procurement Contracts. The three major consultancy packages, i.e., TA consultancy (S-6), and community mobilization packages (S-11 and S-12) are in combined evaluation stage. Most of the works packages (approximately US$60 million) are linked to these three consultancy contracts.

32. There has been a significant delay in the procurement of these three packages. Revised dates for critical milestones of these contracts, agreed with the PMU, are shown in the updated Procurement Plan, the action matrix in Section K, as well as in Section B. The summary of the status of procurement by contracts with key milestones is provided in Annex 5.

J. ADHERENCE WITH COVENANT

33. The Project is currently in compliance with financial and legal covenants in the Financing Agreement, except:

Quarterly progress reports should be submitted to the Bank 30 days after the end of each quarter.

K. ACTIONS AND NEXT MISSION7

34. The key agreed and expected actions are as follows:

No. Action Target Date ResponsibleAgency

Management and Implementation Setup1 Recruitment of full complement of Assistant Engineers, and

Sub-Assistant Engineers as provided for in PMU structureOctober 31, 2013 DPHE

2 Complete renovation and installation of equipment for PMU and Regional Project Offices (RPO)

September 30, 2013 DPHE

Project Implementation3 TA services for Rural Piped Water Supply design, feasibility

assessment(a) Prepare combined evaluation report(b) Negotiate contract with consultant(c) Draft Negotiated Contract submission for No Objection(d) Contract Signing(e) Submission of Inception Report(f) Submission of final ranking of the unions with short-list

July 15, 2013July 16, 2013July 23, 2013September 07, 2013October 31, 2013December 31, 2013

DPHE

4 Technical assistance support for the Rural Non-piped water supply and sanitation program(a) Prepare combined evaluation report(b) Negotiate contract with consultant(c) Draft Negotiated Contract submission for No Objection(d) Contract Signing(e) Arsenic screening for all water points under first batch(f) Complete baseline survey and action plan preparation

July 15, 2013July 22, 2013August 01, 2013September 07, 2013February 28, 2014April 30, 2014

DPHE

7 Post Mission Note: DPHE have opened the financial proposals for packages S-6, S-11 and S-12. Negotiation has been completed for package S-6. However, draft Negotiated Contract for package S-6 has not been submitted for Bank no objection. DPHE also submitted an updated Procurement Plan for the project.

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5 Technical assistance support for piloting social marketing, social mobilization and credit facilitation for rural sanitation(a) Evaluation of EOIs(b) Evaluation of Technical Proposals(c) Contract Signing

August 15, 2013October 31, 2013December 31, 2013

DPHE

6 Preparation of the long list of potential RPWS scheme locations September 30, 2013 DPHE7 Approval of the environmental guidelines on arsenic related

issues for construction of tube wellsSeptember 30, 2013 DPHE

8 MOU for (i) water quality monitoring and surveillance; and (ii) groundwater studies


9 Prepare input, process and output monitoring matrix for schemes/ components with defined indicators

September 30, 2013 WSP, DPHE

10 Preparation of Terms of Reference for analytical and advisory activity to develop a longer term institutional and regulatory framework


11 Formally launch/ introduce monitoring/ MIS system December 31, 2013 Bank, DPHE12 Preparation of detailed sub-project cycle with step-by-step

activities for all three componentsJuly 31, 2013 DPHE

13 Preparation of a communication strategy and an action plan August 31, 2013 DPHEProcurement and Financial Management

14 Preparation of TOR for project Internal Audit August 31, 2013 DPHE15 Completion of procurement of Chartered Accountants for

internal auditOctober 31, 2013 DPHE

16 Establishment of Project Audit Committee (PAC) August 31, 2013 DPHE17 Renew contract agreement with vendor for computerized

accounting systemJuly 31, 2013 DPHE

18 Resolve audit objections for previous BWSPP through organizing tripartite meeting between DPHE, LGD and FAPAD

October 30, 2013 DPHE

19 Recruitment of Financial Management Analyst October 31, 2013 DPHE20 Submission of updated Procurement Plan July 21, 2013 DPHE

35. Next Mission The next formal full implementation review mission, is tentatively scheduled for January 2014. The Bank will conduct technical discussions or interim implementation review missions prior to the next full implementation review mission.

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Annex 1

List of Key Persons Met

Ministry of Local Government, Rural Development and CooperativesLocal Government Division

Mr. Abu Alam Md. Shahid Khan, Secretary Mr. Swapan Kumar Sarkar, Director General Mr. M. Shamsul Kibria, Joint Secretary Mr. Md. Khairul Islam, Deputy Secretary (Water Supply)

Department of Public Health Engineering (DPHE)

Mr. Md. Nuruzzaman, Chief Engineer Mr. Monwar Ali, Project Director, BRWSSP Mr. A.M. Abdul Kaium, Deputy Project Director, BRWSSP Mr. Md. Saifur Rahman, Executive Engineer, Arsenic Management Division, DPHE Mr. Ehete Shamul Russel Khan, Executive Engineer, BRWSSP Mr. Md. Muktadir Harun, Social Development Officer, BRWSSP Mr. Mahmudur Rashid Mazumder, Assistant Engineer, BRWSSP Ms. Bilkis Aktar, Assistant Engineer, BRWSSP Mr. Md. Yasin Arafat, Assistant Engineer, BRWSSP Mr. Khan Muhammad Golam Rabbani, Assistant Engineer, BRWSSP Mr. Md. Manjur Murshed Khondoker, Senior Financial Management Specialist, BRWSSP Mr. Md. Ekram Hossain, Senior Water Supply Specialist, BRWSSP Mr. A. A. Sanzid Ahmad Choudhury, Procurement Specialist, BRWSSP Mr. Dipak Kumar Biswas, Hydrogelogist, BRWSSP

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Annex 2

Action Plan for the Preparation of Monitoring Framework for BRWSSP

1. Objective. The objective of developing monitoring framework is to help project management to review progress of project implementation and to take remedial measures at the right time to ensure qualitative and quantitative achievement of the project. The framework will also help develop an ICT based functional project MIS for quality monitoring.

2. Action plan. The necessity and content of a monitoring framework was discussed with PMU, BRWSSP and the following action plan to develop a monitoring framework was agreed.

Sl. Activities Methodology Output Tentative schedule

1 Identify critical factors/indicators/ milestone for input and process monitoring for Rural Piped Water Supply Component

Study project documents/ operational manual

First consultation meeting/ workshop with PMU

Input/ process indicator chart and information checklist for Rural Piped Water Scheme

By July 20, 2013

2 Identify critical factors/indicators/ milestone for input and process monitoring for Rural Non-piped Water Supply Component


Second consultation meeting/ workshop with PMU

Input/ process indicator chart and information checklist for Rural Non-Piped Water Scheme

By July 31, 2013

3 Identify critical factors/indicators/ milestone for input and process monitoring for Sanitation Component


Third consultation meeting/ workshop with PMU

Input/ process indicator chart and information checklist for Sanitation Component

By Aug 15, 2013

4 Identify output/ result oriented indicators for the above three components. This will include the number of beneficiaries, number of physical infrastructure built, water quality parameters, water use pattern including wastage, scheme operational and financial parameters.

Study project documents/ result framework/ log Frame

Fourth consultation meeting/ workshop with PMU

Result indicator chart and information checklist for all 3 components

By Aug 31, 2013

5 Prepare input, process and output monitoring matrix for above 3 schemes/ components clearly defining indicators, information needed, monitoring method, tools for monitoring, frequency of monitoring and person to provide the information

Deskwork Consultation with ICT and

relevant project personnel Fifth consultation meeting/

workshop with PMU

Monitoring matrix and data tools

By Sept 30 2013

7 Facilitate incorporation of process and output monitoring data with ICT/ MIS system of DPHE

Joint work with ICT/ MIS Specialist

Interactive discussion with PMU

Functional MIS System incorporating input, process and output monitoring information

By Oct 31, 2013

8 Prepare a brief input/ process/ output monitoring guide/ booklet for BRWSSP

Desk work Consultation with ICT/ MIS

Specialist Sixth consultation/ sharing

meeting with PMU

Input/ process/ output monitoring guide/ booklet

By Nov 20, 2013

9 Orient project/ DPHE personnel to Orientation meeting with PMU/ Field staff oriented with By Nov 30,

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Sl. Activities Methodology Output Tentative schedule

introduce the monitoring system BRWSSP/ DPHE field officials monitoring/ MIS system 201310 Formally launch/ introduce monitoring/

MIS systemSeventh Meeting with PMU to launch/ introduce the system

MIS System introduced By Dec 31, 2013

3. A Consultant will be engaged by World Bank who will work in consultation with PMU, BRWSSP to develop the proposed monitoring framework for BRWSSP as per above action plan. This monitoring framework will lead to develop ICT based MIS system through which MIS report/ statement will be generated periodically to highlight project progress including achievement of the outcomes based on the project results framework.

4. Based on field experience and feedback provided by DPHE/ BRWSSP, the monitoring framework might be changed to keep it as a living document and accordingly MIS system will be updated time to time to address information needs of the project management.

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Annex 3

Environmental Management for BRWSSP

1. Environmentally safe tubewell construction and Arsenic rich sludge management: As agreed during the previous mission, a draft for guidelines on ‘Arsenic Safety and Aquifer Protection’ in tubewell construction both for hand and mechanically operated tubewells has now been prepared. This draft also includes the guidelines for safe disposal of arsenic rich sludge from water treatment plants. The mission appreciates the good progress on these agreed activities. These guidelines should be reviewed by the Departmental Technical Committee (DTC) and adopted by the DPHE. The provisions in the guidelines are to be utilized for ‘Environmental Assessment’ (i.e., Environmental Screening and LEAs) of sub-projects and incorporated in the contract documents for the sub-projects to ensure environmental safeguards in the construction and management of water supply sub-projects under the project. The adoption of the guidelines should be completed in next three months i.e., September 30, 2013, so that it is available before the field level activities are stared.

2. Analytical services for the project: A concept paper on the analytical services required in the project for Arsenic and other necessary parameters has now been prepared. The Water Quality Monitoring and Surveillance Circle which is an independent unit under the DPHE will provide the services using its central and regional laboratories. The PMU will pay the Circle for the services and sign a MOU with the circle to this end. The Central laboratory will draft Standard Operating Procedures (SOPs) for quality assured sampling and analysis of Arsenic and other water parameters both for the field and laboratory samples and obtain approval for these from the PMU/Departmental Technical Committee.

3. Groundwater Study: The mission is pleased to note that a guideline for observation wells for groundwater study has now been drafted. The work will be carried out by the Groundwater Circle of the DPHE with resources from the project. The PMU will sign a MOU with the Groundwater Circle to this end and the circle in turn will sign a MOU with Bangladesh Atomic Energy Commission (BAEC) for isotopic and related analysis as done during the previous project BWSPP by September 30, 2013. The end product of the study is expected to be a publication on the characteristics of the shallow and deep aquifers in selected areas in Bangladesh.

4. DOE Approval of BRWSSP EMF: It is legally necessary to obtain approval of the EIA/EMP of projects (i.e., as per ECA95/ ECR97) from the Department of Environment (DOE). With many sub-projects, it is not feasible to get clearance for each EIA/EMP of the sub-projects. So, DOE should be approached for the clearance of the EMF for the BRWSSP. There are examples in which DOE has cleared similar documents. The mission recommended that the process for clearance should be started immediately.

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Annex 4

Governance and Accountability Action Plan (GAAP)

Introduction and Background

1. The overall objective of the Governance and Accountability Action Plan (GAAP) is to enhance the institutional capacity of Department of Public Health Engineering (DPHE) in order to implement Bangladesh Rural Water Supply and Sanitation Project (BRWSSP). It will delineate the specific responsibilities of Department of Public Health Engineering (DPHE) as well as the World Bank to facilitate effective and appropriate use of the funds for the project and maintain good governance in the management and implementation of project activities.

2. The GAAP is based on an assessment of potential governance risks, particularly fraud and corruption, including the effectiveness of implementing demand responsive approach, in the context of Bangladesh and specifically for the entities involved with BRWSSP. It is also based on the experience and lessons learned from the previous Bank-funded project – Bangladesh Water Supply Program Project (BWSPP), from which the implementation modalities of some of the major components of BRWSSP namely rural piped water supply and rural non-piped water supply programs have been adopted. It is expected that given a dynamic policy environment, the GAAP will be adjusted as and when necessary during the implementation of the project to reflect any emerging governance issues and/or to reinforce existing actions and add new ones. The Action Plan will be monitored regularly through the measures agreed upon with the implementing agency, as well as during the World Bank Implementation Support Missions.

3. BRWSSP has been implemented since May 2012. Hence, the GAAP is being retrofitted to the project implementation. Necessary adjustments in the existing Project Operational Manual will also be considered to facilitate implementation of the GAAP. Country Context

4. Bangladesh is a high risk environment for governance. It scores poorly on international corruption monitoring indices although there have been some improvements in recent years. Efforts to bolster the country’s legal framework to counter corruption, including the capacity and scope of engagement by the Anti-Corruption Commission are yet to become optimal. The implementation of Bangladesh’s Right to Information Act 2009 has been slow, partly because of poor records, weak implementation capacity as well as lack of demand for information by the citizens. Despite some attempts to enhance accountability in the legal framework for public sector regulation, there is still a perception of poor performance and abuse of office in the public sector including state-owned enterprises. Besides, the country systems to deter corruption such as prosecution of corruption cases are hardly implemented. These capacity and governance shortcomings in the public sector underline the importance of having an action plan that utilizes a robust range of tools to mitigate corruption and governance risks that are relevant to the project.

13

BRWSSP Design and Governance in Water and Sanitation Sector 5. Governance in the water supply and sanitation sector has had particular challenges. The sector remains characterized by political bias, shortage of skilled technical staff, multiple layers of decision making process, localized procurement, limited capacity in operations and maintenance, lack of dedicated water department for operations and maintenance, and absence of regulatory body. The main concern over governance for BRWSSP relates to program-related risks - that whether the implementing agency has the capacity to oversee project implementation in wide geographical areas and whether the entity appoints the right contractor and operators who can execute the works program of installing water options in remote villages benefitting the targeted deprived communities adequately and rightfully. Specifically, lessons learned under the previous BWSPP indicate that three major risks are (i) improper contractor selection, (ii) improper beneficiary mobilization and selection, and (iii) inappropriate installation of water points. Given that the success of the project depends on the mitigation of these risks, the PDO level indicators of the project are linked to these three issues.

6. The project outcomes are designed to be realized through three main activities – rural piped water supply schemes, rural non-piped water supply options and rural sanitation facilities. Through appointing Technical Assistance consulting firm and dedicated Support Organizations, the feasibility assessment, community mobilization, demand creation, implementation plan preparation, and structured supervision activities - all together will mitigate the above-mentioned risks. The role and responsibilities of Local Government Institutions i.e. Union Parishad is being made formalized with asset ownership function. Technical support teams including technical assistance firm and dedicated Support Organizations will be engaged to organize the communities, establish the water and sanitation user groups, conduct feasibility assessment, demand creation, hygiene promotion, capacity building of the local stakeholders particularly the LGIs, and capacity building of the private sector entrepreneurs who would construct and/or operate the rural water schemes and hygienic sanitary facilities. The technical team and Support Organizations will supervise the installation of water supply schemes and disbursement of project grants to entrepreneurs for installation of hygienic sanitation facilities. Formal relationship among key stakeholders including DPHE, Union Parishad and community facilitated by Support Organizations and Technical firm, is also expected to minimize these risks through reduced targeting errors and leakage in program benefits.

7. In addition to the above program-related risks, there are implementing agency risks associated with the limited capacity of DPHE. DPHE has capacity constraints in terms of technical staff in the fields to monitor the development programs at grassroots level. However, project based field staff will supplement the existing DPHE set up in the field to execute and monitor the program. Irrespective of the fact that the implementing agency has prior experience with World Bank procurement or financial management, the project will cover dispersed procurement activities at the district levels, which implies the obvious need for robust governance and accountability arrangements.

Description of Governance Risks and Mitigation Actions

8. The following four areas of governance and accountability risks have been identified under BRWSSP: (i) scheme design; (ii) scheme implementation and oversight; (iii) implementation and management supervision capacity; (iv) procurement capacity, including contract management; and (v) financial management capacity and system.

(i) Scheme Design

9. One of the key learning from the previous BWSPP implementation is that the private sector entities overestimated the designs resulting in disproportionate scheme costs. Considering the lessons learned, the design and cost estimates for rural piped water supply schemes and non-piped water supply options are to be worked out by DPHE themselves in order to establish financial discipline within the

14

project. However, there is a risk that DPHE estimates are over rated thus permitting the private operators to make profit out of the schemes up front and allowing less than optimal equity sharing for the PPP schemes. A further resultant risk is that the private sponsors may renounce the scheme having little or no actual equity share in the schemes rendering the schemes unsustainable.

10. In order to address the scheme design risk the following measures will be adopted: Use of tested design specification to replicate rural piped water supply models and water point

sources scheme; Use of technically qualified engineering design consultants and Support Organizations (SO) to

support preparation of technical feasibility including cost estimates, quantities, design and specification for rural water and sanitation schemes;

Social intermediation with the community for awareness building and needs assessments; Technical assistance for community participation which is inclusive and consumer mobilization.

(ii) Scheme Implementation and Oversight

11. The pace of decentralization of planning and implementation by UPs/LGIs is slow in Bangladesh. The shortcoming of financial and management autonomy of the UP can undermine enforcement of sector regulation. Non-inclusion of the UPs in the planning phase and unclear demarcation of responsibilities between DPHE and the Union Parishad could weaken the oversight of rural infrastructure development program.

12. The water supply options and hygienic sanitation facilities are to be installed by way of a Demand Responsive approach and particularly through community mobilization, demand creation and hygiene promotion. In that respect, water user groups will be established to coordinate the awareness building and implementation of the scheme in each union. However, the Union Parishad has a definite role in that it will coordinate between community, DPHE and contractors/sponsors for the implementation of the infrastructure works following the appropriate mobilization activities. The UP shall ensure that water options and hygienic sanitation facilities are installed at identified locations and to the eligible household including poor. However, lack of communication between implementing agency i.e. DPHE and LGI can affect informed decision making process concerning local conditions. Additionally, the LGI may intervene and manipulate the selection criteria and eligible households to its interest. The community contributions that are supposed to be deposited at designated bank account for water supply and sanitation options may not be appropriately collected and deposited while the LGI may collect contributions directly from communities for option allocations bypassing the modality and eligibility criteria.

13. The contractors and private entrepreneurs are expected to install the safe water options and hygienic sanitation facilities in designated locations for eligible households who do not possess such facilities and services. In certain cases, the contractors may not install the options according to the action plan and at the designated locations identified and agreed by the water user groups in such unions. There is further risk that the contractors may not install all the options and sanitation facilities according to the contractual agreement with the DPHE and Local Government Institutions while colluding with the government’s works verification and certification team.

14. Matching grant funding will be provided under the project to ensure hygienic sanitation facilities for poor households in targeted areas and unions. These funds are to be released by the project implementing entity upon verification of the installation of hygienic sanitation facilities by the private entrepreneurs. The payments to the private entrepreneurs including masons are to be coordinated by the local Union Parishad through dedicated bank account where community contributions will be held. Therefore, risks exist that the LGI may not disburse funds to the private entrepreneurs and masons transparently and appropriately and/or collude with the government officials as well as contractors and misappropriate the funds.15. In order to address the Program Implementation risks the following measures will be adopted:

15

Involvement of Local Government Institution i.e. Union Parishad in the implementation of rural services particularly in the planning phase;

UP ownership of asset upon completion of infrastructure development; Inclusion of assets in the UP inventory system as planned under LGSP-II; Supervision and monitoring of project activities by field based project staff in addition to

centralized monitoring by PMU; Ensuring social accountability of the agencies through the involvement of the community in

planning and designing rural water supply schemes; Formation of user groups representing the community to jointly coordinate the activities with

other stakeholders including DPHE, LGI, private entrepreneurs/contractors; Operation of joint bank account to manage project grants and O&M expenses of the schemes; Mobilization and involvement of the UPs and build capacity of the water user groups by Support

Organizations (SOs) to implement water and sanitation action plans; and Capacity building training for Union Parishad Chairmen and full-time staff on operations and

maintenance of rural water supply services.

(iii) Implementation and Management Supervision Capacity

16. Implementation of the project will be nationwide, requiring adequate personnel and resources in all field offices of the DPHE. At the field level, there is lack of adequate staffing and resources for proper supervision. There is also insufficient technical capacity for specific administrative functions which also hampers programs at the service delivery level. Human resource constraints continuously prove to be one of the biggest challenges in implementation. Therefore, program achievement can get jeopardized by weak capacity in management and monitoring at all levels. Besides, multiple tiers of approval and authorization processes within DPHE particularly in regional/district level can affect efficient project implementation.

17. In order to address the Implementation and Management Supervision risks, the following steps will be ensured:

Recruitment of project staff under government revenue budget for field based monitoring; Training programs for DPHE head-office and field staff on different managerial and technical

areas including project implementation modalities, procurement and financial management; and Engagement of full time qualified supervision staff by the TA Consultant to ensure quality and

timely completion of the schemes.

(iv) Procurement Capacity

18. The procurement assessment carried out for DPHE finds that although the agency has previous experience with IDA-funded projects, there remains lack of adequate capacity on procurement. Key weaknesses identified in the procuring entity i.e. DPHE, are: absence of dedicated procurement staff within the agency, both in the head office and in local offices; inadequate understanding of procurement procedures, rules and regulations; inadequate capacity in administering high number of complex works contracts specially distributed countrywide; inadequate capacity in evaluation; and contract follow up mechanism. In addition, it was assessed that improvements in the following areas are required: information dissemination, delivery follow up, and payments. Due to wide spread geographic locations of the project intervention areas, tendering for water option works and selection of private entrepreneurs will be managed at local district level which will require adequate capacity of the local DPHE set up as well as close monitoring of the processes for ensuring accuracy and transparency. Potential risks associated with procurement processes include among others (i) disqualification of bidders and/or selection of high-priced bidders without sufficient justification, (ii) undue exercise of influence and opportunities by officials to direct contract awards to selected sponsors.

16

19. In order to address these issues, the project has already ensured the following actions: (i) appointment of dedicated procurement staff at DPHE, including appointment of a Procurement Focal Point (PFP); (ii) finalization of procurement plan covering the whole period of implementation. The project will also ensure adoption of Procurement Risk Mitigation Plan (PRMP) and regular submission of PRMP to IDA. In addition, a host of risk mitigation measures have been identified and agreed upon for each stage of project implementation. These include:

Risk mitigation measures prior to procurement (of any goods, works or services):

Formation of a procurement cell through adequate staffing and consultant support, under the overall leadership of the PFP.

Dedicate at least one person from the agency as Procurement Officer (PO) in the PMU and reporting to the PFP;

Recruit one procurement consultant by two months after project effectiveness, to support the agency on the procurement activities under the program and guide the PFP and PO on procurement issues.

Risk mitigation measures during implementation:

Development of a systematic capacity building procurement training plan, including participation in the procurement trainings both at national and international level, as well as training using Bank resources persons;

Submission of quarterly Procurement Performance Monitoring Reports (PPMR) starting six months after project effectiveness;

Mandatory membership of the procurement consultant in each evaluation committee; Usage of Bank’s standard format for bid and/or proposal evaluation; Undertake independent procurement audit by DPHE for each year and share the report with IDA, Updating of the procurement plan at least annually and no procurement process to be initiated

without prior inclusion in the plan, Conduct review of the post review contracts on sample basis to check the compliance with the

applicable guidelines and procedure.

(v) Financial Management Capacity and Systems

20. The substantial risk coming out of the financial management assessment of the implementing agency revolve around the large number of contract payments to be made by DPHE under the project to contractors, private entrepreneurs and private sponsors for piped water supply schemes, point sources and hygienic sanitation facilities. Project incentive grants will also be disbursed among eligible poor households as an incentive to develop hygienic latrines. Matching community contribution will be collected from communities for water supply schemes/options as well as sanitation facilities which will be held and channeled to the treasury through dedicated bank accounts. Weak oversight capacity at local level with limited manpower i.e. technical staff and appropriate accounting expenditure and disbursement are recognized as potential risk. Besides, other key risks associated with financial management of DPHE with direct relevance to the project include: (i) absence of information management systems including absence of computerized accounting system for synchronization of financial information with physical progress; (ii) weak accounting systems and record-keeping practices resulting in untimely and inadequate information on revenue streams, expenditure flows, liquidity, and debt levels/ arrears; (iii) incomplete recording of transactions due to technical weaknesses and/or disregard for comprehensiveness and accuracy; and (iv) absence of FM organization in DPHE. Financial Management of the donor funded project has been undertaken through project hired FM staff and consultant

17

21. Mitigation measures for both inherent risks (weak capacity and systems) and control risks (budgeting, accounting, funds flow, reporting, auditing) have been identified and agreed upon with the implementing agency. These include the following:

Inherent risk mitigation measures:

Appointment of Financial Management Specialist, Use of computerized accounting system for preparing updated project financial reports, and

Submission of independent internal audit reports within stipulated timeframe and resolution of issues.

Control risk mitigation measures:

Payment through direct bank transfers/formal financial channels to the private entrepreneurs through designated bank account managed jointly by DPHE, community and Union Parishad.

22. The GAAP Action Plan proposes actions for each of these issues, timeline for each action, and responsible agency for implementation. There are also some “early warning indicators” which, if monitored properly, will enable timely action for course correction.

23. The project will organize at least one forensic audit during the mid-term-review of the project. The ToR of the review will be jointly developed by DPHE and the World Bank.

Disclosure of Project Information

24. DPHE will upload all project related information in its official website. They will also be updated regularly. A staff of the Project Management Unit (PMU) will be assigned as designated information officer. Besides, DPHE and the PMU will ensure due diligence in all other information disclosure in the light of the Right to Information Act 2009.

GAAP Monitoring, Remedies and Sanctions

25. The Bank will apply sanctions as per its guidelines if it determines incidences of fraud, corruption, collusion and coercive practices. These sanctions may include fines, blacklisting, suspension of disbursements, or ultimately cancellation with respect to that contract. The Bank will seek first to remedy cases of corruption through cooperation with the DPHE. Information regarding such cases, where lessons are learnt and funds are retrieved, will be widely disseminated.

26. GAAP will be monitored regularly through indicators and reflected in progress reports by the implementing agency, as well as in World Bank implementation supervision reports and aide memoires for supervision missions. The GAAP matrix will be used widely for monitoring purposes. Any ‘early warning’ indicators of governance and accountability risks will be monitored regularly so that corrective measures could be carried out promptly. A Governance Specialist will also be included in the Bank supervision team to strengthen the dialogue on the governance and accountability issues with the implementing agency.

27. The project will require intensive supervision by Bank staff. Supervision arrangements for this project, particularly for procurement and financial management, are extensive. Bank supervision missions will be more frequent at the start of the project and would involve qualified staff in all disciplines, including procurement and financial management. The Bank will also conduct regular monitoring between supervision missions.

28. The GAAP will be adjusted as necessary during implementation to reflect governance issues which may emerge and/or to add actions. Considering the project design, fund flow and oversight

18

arrangements and subject to meeting the agreed GAAP, the implementing agency will have adequate systems to account and report for the project resources and expenditures accurately, and ensure that the project funds are utilized for the intended purpose.

Third Party Monitoring

29. Social Accountability tools allow citizens to have a greater voice in ensuring the best use of public resources, and hold local governments accountable for results. Third party assessment will be conducted with an objective to analyze project activities that promote transparency, accountability, effectiveness and participation/inclusion. Under the Citizen Action for Results, Transparency and Accountability (CARTA) program, civil society organizations will use various social accountability tools such as citizen report cards survey, public hearing, and focused group discussion using fund from an independent agency rather than through project budgets. In the selected project intervention areas, NGO will facilitate implement the third party monitoring program with targeted beneficiaries to promote citizens’ voice. To ensure sustainability of citizens’ engagement and institutionalize transparency and accountability, Citizens Monitoring Group (CMG) will be formed. A baseline assessment against the pre-determined indicators (transparency, accountability, effectiveness and participation/inclusion) will be carried out and data will be collated on status of intervention following which, social accountability monitoring tools/techniques for will be applied to assess the governance issues. Through this initiative, citizens will have a greater voice in ensuring the best use of public resources, and will hold governance accountable for results.

Use of ICT in Project and Complaint Management to enhance transparency and accountability

30. The supply-side interventions will be strengthened to deliver expected outcomes. The activities will build upon the principles of continuous learning and improvement, accountability at all levels, and satisfaction of beneficiaries. ICT tools will be used to enable the optimal use of real-time information from beneficiaries for the purposes of proactive and targeted interventions. The digitized data will facilitate day-to-day managerial decision-making and enhancing iterative learning during the execution process. Additionally, the field offices will have the opportunity to view processed information with use of mobile technology, on the basis of which they can take more informed decisions.

31. Social accountability is as much about changing behavior, building relationships, and developing capacities as it is about technical tools. Complaint management system will be developed for better customer service which is based on the principles of efficiency and transparency. This system will further enhance in-house capacity to take preventive actions and plan in advance for optimal use of available resources. Costing of GAAP Implementation

32. Component 3 (Capacity Strengthening and Technical Assistance) of BWRSSP will provide costs of GAAP implementation to an extent. This component has provisions to finance the third party monitoring and special audits. Any additional costing for the implementation of the GAAP can be negotiated between DPHE and the World Bank during the mid-term-review of the project.

19

Governance and Accountability Action Plan (GAAP)

Issues/Risks/Objectives Actions/Features Timeline ResponsibilityEarly warning indicators to trigger additional action

Scheme DesignEnsure appropriate and rationale design and cost estimates for the RPWS and non-piped schemes.

Engagement of technically qualified engineering design consultants and Support Organizations (SO) to support preparation of technical feasibility including design and specification for rural water and sanitation schemes;

Preparation of cost estimates and detail design as part of feasibility assessment and action plan preparation for rural piped, non-piped and sanitation infrastructure development program

Within first year of implementation

End of second year of implementation and subsequent year end until fourth year

DPHE

Study Consultant and SOs

Delays in procurement of technical firm and SOs

Delays in report submission

Scheme Implementation and OversightEnsure that water options and hygienic sanitation facilities are installed at identified locations and to the eligible household including poor.

Ensure collection and deposit of community contributions into designated bank account.

Ensure transparency, accuracy and efficiency in disbursement of incentive grants by the Union Parishad and DPHE to the designated private entrepreneurs for installation of hygienic sanitation facilities.

Lack of information will lead to elite capture

Develop and sign a formal service contract for the engagement of the private sponsors;

Recruitment and appointment of field based project staff for monitoring of project implementation activities;

Establishment of Water and Sanitation User Groups in every union of the target project intervention areas;

Opening joint bank account to manage project grants for non-piped/sanitation and O&M expenses of the RPWS schemes;

Mobilization and capacity building training for Union Parishad on operations and maintenance of rural water supply services;

Disseminate information on selection criteria of Districts, Upzillas and Union Parishads on project website and through electronic and print media and display in public offices in accordance with RTI Act 2009.

Disseminate information on selected Districts, Upzillas and Union Parishads on project website and through electronic and print media and display in public offices in accordance with RTI

End of second year of implementation and subsequent year end until fourth year


Within second year of implementation

Within second year of implementation

Annual

End of second year of implementation

DPHE, UP, Sponsor, TA Consultant

DPHE

UP, DPHE, TA Consultant, SOs

UP, DPHE, TA Consultant, Sponsors

TA Consultant

DPHE

Delays in completing feasibility assessment

Delays in district level staffing

Delays in submission of reports on community mobilization, baseline survey and action plan prep.

Delays in reporting on capacity building activities

Delay in report submission

Delay in report submission

20

Lack of social accountability mechanism leading to weak participation, exclusion and transparency

Act 2009.

Develop indicators for Third Party Monitoring

Form Community Monitoring Groups (CMG)

Mobilize Third Party Monitoring agency

December 2013

First six months of initiating social mobilization

During implementation of civil works

DPHE, Bank

DPHE, TPM consultant, SO for Non-piped water and TA consultant for piped water

Delay in formation of CMG

Delays in procuring TPM firm

Implementation and Management Supervision CapacityEnsure adequate staffing and resources for proper supervision at the field level.

Appointment of additional project based government staff at district level to complement existing DPHE set up.

Appointment of technical specialists to complement Government officials at national level.

End of first year of implementation

End of first year of implementation

DPHE

DPHE

Delays in district-level staffing

Delays in procuring technical assistance specialists

Procurement CapacityLack of adequate capacity on procurement

Appointment of dedicated procurement staff at DPHE, including appointment of a Procurement Focal Point (PFP) and Procurement Officer (PO).

Appointment of one procurement consultant, to support the agency on the procurement activities under the program and guide the PFP and PO on procurement issues

Development of a systematic capacity building plan, including participation in the Central Procurement Technical Unit’s (CPTU) three-week procurement training, as well as training using Bank resources persons

Submission of quarterly Procurement Performance Monitoring Reports (PPMR).

Undertake independent procurement audit by DPHE for each year and share the report with IDA

By project effectiveness

Within two months of project effectiveness


Six months after project effectiveness

DPHE

DPHE

DPHE

DPHE

Delays in appointing PFP and PO and/or frequent replacement

Delays in procuring Procurement Specialist

Delays in preparing Capacity Building Plan

Delays in submission of quarterly PPMR

21

Update the procurement plan

Conduct review of the post review contracts on sample basis to check the compliance with the applicable guidelines and procedure.

Annual

Annual

Annual

DPHE

DPHE

World Bank

Delays in submission of procurement audit report

Delays in updating the procurement plan on regular basis

Delays in submission of post procurement audit report

Financial Management Capacity and SystemsLack of adequate capacity on financial management

Appointment of Financial Management Specialist

Use of accounting software for documentation of fund usage and report degeneration, including timely submission of financial reports

Submission of independent internal audit reports within stipulated timeframe and resolution of issues as specified by the Bank

Payment through direct bank transfers/formal financial channels to the private entrepreneurs managed jointly by DPHE, community and Union Parishad

Within one month of project effectiveness

Within four months of project effectiveness

Within six months of end of each fiscal year

Throughout project implementation

DPHE

DPHE

DPHE

DPHE

Delays in procuring FM SpecialistDelays in report submission

Delays in submitting audit reportsLack of resolution on audit queriesSpot checks reveal entrepreneurs are not receiving payments through formal financial channels

22

Annex 5Summary Status of Project Contracts

Procurement of Goods ContractSl. No.

Contract Package No.

Contract Description Unit Quantity/Nos. Estimated Price in USD ‘000 (Actual Contract Price in

Contract Currency)

Planned Date of Proposals Submission

(Actual Date of Proposal Submission)

Planned Date of Contract

Signing (Actual Date of Contract

Signing)

Planned Date of Completion (Actual Date

of Completion)

Remarks

1. GD-01 Supply of Field Kit No. 1500 150.0 Sep 15, 2013 Nov 14, 2013 Jan 13, 2014 Linked with S-11,12

2. GD-02 Supply of GPS No. 100 37.5 Sep 15, 2013 Nov 14, 2013 Jan 13, 2014 Linked with S-11,12

3. GD-03 Supply of Cross Country Vehicle (4WD)

No. 3 292.5 (May 06, 2013)

August 30, 2013

Oct 30,2013 BER Cleared by WB on July 02, 2013

4. GD-04 Supply of Double Cabin Pick-Up (4WD)- 6nos with all accessories

No. 6 313.75(May 19, 2013)

August 30, 2013

Dec 30, 2013 BER Cleared by WB on July 02, 2013

5. GD-05 Supply of Motor Cycle No. 66 123.75 (May 16, 2013)

Sep 30, 2013 Oct 30,2013 BER CompletedSupply of Bi-Cycle No. 100 11.25

6. GD-06 Supply of Accounting Software with customization and yearly maintenance

No. 1 1.9375(1.9375)

(Oct 15, 2012) (Jan 07, 2013) (Jan 06, 2014) Completed

7. GD-07 Supply of Accounting Software for Rural Pipe Supply Billing System

No. 1 12.5 Aug 01, 2014 Oct 30, 2014 Dec 29, 2014 Linked with S-06

8. GD-08 Merged with GD-079. GD-09 Supply of Office

Equipment (Internet, Email, Telephone, PABX, VC etc.)

Lot 1 12.5 Sep 25, 2013 Nov 25, 2013 Dec 26, 2013

10. GD-10 Lot-1: Supply of Geo Physical surface sounding Equipment including borehole logging accessories

Set 1 75.0 Oct 02, 2013 Dec 31, 2013 Mar 01, 2014 Linked withS-06, 11,12

Lot-2: Supply of Truck Mounted Equipment for

Set 1 100.0

23

Procurement of Goods ContractSl. No.



Contract Currency)





Signing)


of Completion)

Remarks

aquifer testing11. GD-11 Supply of Computer

(Desktop and Laptop) with Accessories including Printer and Scanner

No. 32 40.0 (Jun 10, 2013) Sep 30, 2013 Oct 30, 2013 BER Completed

12. GD-12 Lot -1: Supply of Fax for PMU & Field Office

No. 12 6.75 Nov 10, 2013 Jan 10, 2014 Feb 10, 2014 Field Office not established

Lot -2: Supply of Photo Copier for PMU & Field Office

No. 12 37.5

13. GD-13 Supply and Installation of Work Stations for PMU

No. 1 6.1875(6.1716)

(Apr 23, 2013) (Apr 29, 2013) (May 13, 2013)

Completed

14. GD-14 Supply and Installation of Goods (False Ceiling, Glass partition, Electrical goods etc.) for PMU

No. 1 6.125(6.0968)

(May 15, 2013)

(May 22, 2013)

(Jun 05, 2013) Completed

15. GD-15-22 Supply and Installation of Goods for set up of Field Offices

No. 4 20.0 Nov 30, 2013 Dec 15, 2013 Jan 07, 2014 Field Office not established

16. GD-23 Supply of Office Stationary for PMU

Lot 1 5.625(2.304)

(Apr 24, 2013) (May 05, 2013)

(May 19, 2013)

Completed

17. GD-24 Supply of Office Stationary & accessories for Field Offices

Lot 1 12.5 Oct 10, 2013 Dec 10, 2013 Jan 10, 2014 New package; Field Office not established

18. GD-25 Supply and Installation of Goods (False Ceiling, Floor Carpet, Glass partition, work station. Electrical goods etc.) for PMU office

No. 1 5.0 Aug 05, 2013 Aug 12, 2013 Sep 02, 2013 New package

19. GD-26 Supply and Installation of Goods for PMU office set up

Lot 1 43.75 Oct 25, 2013 Dec 24, 2013 Feb 07, 2014 New package

24

Procurement of Works ContractSl. No.



Contract Currency)





Signing)


of Completion)

Remarks

1. W-01-66 Land Development lot 66 625.00 Jan 10, 2014 Apr 10, 2014 Jul 09, 2014 Works to be done in 2(two) batches; Linked with S-06

Aug 01, 2015 Oct 30, 2015 Apr 27, 2016

2. W-67-191 Construction of Rural piped Water Schemes

No. 125 34472.66 Jan 10, 2014 Apr 10, 2014 Oct 10, 2015 Works to be done in 4(four) batches; Linked with S-06

Jul 01, 2014 Sep 29, 2014 Mar 29, 2016Dec 01, 2014 Mar 01, 2015 Sep 01, 2016Aug 01, 2015 Oct 30, 2015 Apr 30, 2017

3. W-192-290 Installation of Safe Water Options in arsenic and saline affected areas

No. 14000 15137.5 Dec 30, 2013 Mar 30, 2014 Jul 28, 2014 Work to be done in 4(four) batches; Linked with S-11, 12

Aug 01, 2014 Oct 30, 2014 Feb 27, 2015Mar 10, 2015 Jun 08, 2015 Oct 06, 2015Aug 01, 2015 Oct 30, 2015 Apr 27, 2016

4. W-291-323 Installation of Safe Water Options in disaster affected areas

No. 6000 6487.5 Dec 30, 2013 Mar 30, 2014 Jul 28, 2014 Work to be done in 4(four) batches; For Natural Disaster Case.


5. W-324-339 Characterization and monitoring of safe ground water resources including observation wells

Lot 16 875.00 Dec 30, 2013 Mar 30, 2014 Jul 28, 2014 Work to be done in 4(four) batches; Linked with S-11, 12


6. W-340-438 Installation of Low Cost latrine sets for poor & ultra-poor

Nos. 306400 10724.00 Feb 20, 2014 May 21, 2014 Oct 18, 2014 Work to be done in 4(four) batches; Linked with S-08

Aug 01, 2014 Oct 30, 2014 Apr 28, 2015Mar 10, 2015 Jun 08, 2015 Dec 05, 2015Aug 01, 2015 Oct 30, 2015 Apr 27, 2016

25

Procurement of Services ContractSl. No.



Contract Currency)





Signing)


of Completion)

Remarks

1. S-01 Sr. Financial Management Specialist

MM 48 (135.0) (Jun 18, 2012) (Nov 05, 2012)

Jun 30, 2016) Completed

2. S-02 Procurement Specialist MM 36 (80.0) (Jun 18, 2012) (Jan 10, 2013) Jan 31, 2016 Completed3. S-03 Sr. Water Supply

SpecialistMM 41 (135.0) (Nov 15,

2012)(Feb 11, 2013) Jun 30, 2016 Completed

4. S-04 Hydro geologist MM 40 (80.0) (Nov 15, 2012)

(Mar 12, 2013) Jun 30, 2016 Completed

5. S-05 Financial Management Analyst

MM 32 80.0 Aug 20, 2013 Oct 31, 2013 Jun 30, 2016

6. S-06 Socio-economic Study, Technical Survey & Investigation, Detail Engineering Design & Construction Supervision for Rural Piped Water Schemes

LS LS 2081.75 (Jun 25, 2012) Sep 07, 2013 Jun 30, 2017 Contract Negotiation completed

7. S-07 Analytical and advisory activities on sustainable rural water and sanitation service provision including Partnership with Private Sector

LS LS 121.31 Jul 01, 2014 Dec 28, 2014 Dec 31, 2015

8. S-08 Sanitation Pilot on Social Marketing - Support to Local Entrepreneurs and Capacity Building of Community

LS LS 470.26 Sep 30, 2013 Dec 31, 2013 Jun 30, 2016 EOI received; Evaluation in progress.

9. S-09-10 Third Party Technical and Social monitoring and evaluation for piped and non-piped water supply schemes, sanitation and private sponsors performance

LS LS 434.55 Dec 10, 2013 Jun 08, 2014 Jun 30, 2017

10. S-11 Community Mobilization LS LS 1,193.33 (May 08, Sep 07, 2013 Jun 30, 2016 Combined

26

Procurement of Services ContractSl. No.



Contract Currency)





Signing)


of Completion)

Remarks

and Development of Action Plan for Rural Non-Piped Water Supply Schemes and Community Awareness Building on Sanitation and Hygiene (East & Central Zone-184 Unions)

2013) Evaluation completed

11. S-12 Community Mobilization and Development of Action Plan for Rural Non Piped Water Supply Schemes and Community Awareness Building on Sanitation and Hygiene (North & South zone-185 Union)

LS LS 1,193.24 (May 08, 2013)

Sep 07, 2013 Jun 30, 2016 Combined Evaluation completed

12. S-13 Resettlement Action Plan LS LS 12.50 Jan 14, 2014 Apr 14, 2014 Jun 30, 201413. S-14 Project Auditing LS LS 18.75 Aug 25, 2013 Dec 23, 2013 Jun 30, 2016

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Annex 6

Results Framework

Project Development Objective Indicators

PDO Outcome Indicators Unit of Measure Baseline Actual (Current)

End Target

Number of people provided with access to “Improved Water Sources” under the project.

Number 0 0 1,650,000

Number of improved community water points constructed under the project.

Number 0 0 20,000

Number of new piped household water connections resulting from the project intervention.

Number 0 0 71,506

Number of people with access to Hygienic Latrines under the project.

Number 0 0 1,739,100

Intermediate Results IndicatorsNumber of piped water supply schemes constructed through Public-Private Participation approach.

Number 0 0 125

Number of other water service providers that the project is supporting.

Number 0 0 55

Number of water user committees formed successfully.

Number 0 0 383

Number of water sources monitored and tested.

Number 0 0 2,125

Number of improved sanitation facilities i.e. hygienic latrines constructed or rehabilitated under the project.

Number 0 0 316,200

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REPUBLIC OF KENYA - World Bankdocuments.worldbank.org/.../811170AM0BD0120ox037… · Web viewJuly...

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