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INTEGRATED SAFEGUARDS DATASHEET APPRAISAL STAGE I. Basic Information Date prepared/updated: 03/17/2010 Report No.: AC5063 1. Basic Project Data Country: Panama Project ID: P119694 Project Name: Metro Water and Sanitation Improvement Project Task Team Leader: David Michaud Estimated Appraisal Date: March 17, 2010 Estimated Board Date: May 18, 2010 Managing Unit: LCSUW Lending Instrument: Specific Investment Loan Sector: Water supply (60%);General water, sanitation and flood protection sector (20%);Sewerage (20%) Theme: Access to urban services and housing (100%) IBRD Amount (US$m.): 40.00 IDA Amount (US$m.): 0.00 GEF Amount (US$m.): 0.00 PCF Amount (US$m.): 0.00 Other financing amounts by source: Borrower 15.00 15.00 Environmental Category: B - Partial Assessment Simplified Processing Simple [] Repeater [] Is this project processed under OP 8.50 (Emergency Recovery) Yes [ ] No [X] or OP 8.00 (Rapid Response to Crises and Emergencies) 2. Project Objectives The proposed Project Development Objective is to increase the quality, coverage and efficiency of water supply and sanitation services for lower income areas in the Panama Metropolitan Region (PMR). Progress towards meeting the PDO will be measured through the following indicators: . Number of additional persons in targeted low income areas with access to reliable water services; (1) . Number of additional persons in targeted low income areas with access to improved sanitation facilities (2) . Revenue collection over total population in the project area. (1) Reliable water is defined as piped potable water with adequate pressure and continuity of at least 16 hours per day, 7 days per week. (2) According to the JMP the following are considered as "improved" sanitation: (i) connection to a public sewer; (ii) connection to a septic system; (iii) pour-flush latrine; (iv) simple pit latrine; and (v) ventilated improved pit latrine . Sanitation solutions that are not considered as "improved" are: (i) public or shared latrine; (ii) open pit latrine; and (iii) bucket latrines. The Project will accept the following sanitation solutions as improved under this project: (i) connection to a public sewer; and (ii) connection to a septic system. The relevant standard IDA indicators will be used to track outputs at component-level. 3. Project Description 1. In coordination with other externally-funded projects, the proposed Project will expand coverage of WSS services, increase efficiency in the provision of these services and support IDAAN's modernization through targeted investments and institutional strengthening measures in selected areas of the PMR. IDAAN, the Bank and other multilateral financial institutions, notably the IDB and CAF, have agreed to focus their respective interventions based on geographical and institutional criteria. In geographical terms, the proposed Bank Project and the CAF projects will target the areas east of the Panamá Canal (including the city of Colon) while the IDB project will be mostly focused in the areas west of the Panamá Canal. While the scope of the CAF-financed project is still under definition, this operation will be focused on specific low-income areas of the PMR east of the Panamá Canal. In terms of institutional strengthening, the IDB has been and will continue to be involved in high-level corporate strengthening actions, while the proposed Bank operation will focus on developing good practices for some of the most pressing operational issues facing IDAAN, targeting specific pilot areas where the interventions could have a significant and measurable impact and lead to valuable good practices of relevance to the rest of the utility. Considering the above, the proposed Project will have the following components: Component 1: Water Supply and Sanitation Service Improvements in Lower Income Neighborhoods - Cost US$30 million (IBRD US$27 million) 2. The objective of this component is to increase the coverage of reliable water supply and sanitation services, in selected areas of the PMR where living standards are lower and also the provision WSS services is of an inferior quality compared to the rest of Panamá City. It will finance network extension and rehabilitation activities, initially focusing on the neighborhoods of Alcalde Diaz and Chilibre in Panamá Metro, where service is currently limited for a significant part of residents and sewer connection rates are lower than other parts of the PMR. In addition, IDAAN's approach to working in lower-income, peri-urban settlements will be revisited in-depth on the basis of regional good practices and a strong social outreach program will be developed to ensure that new users actually connect to the networks being built and do not become a financial burden on the utility in terms of tariff payment. Planning and designs for works that will benefit about 70,000 people are currently being contracted under the Bank-financed WSSLIC Project, providing an opportunity to achieve relatively rapid results. Component 2: Modernization of Water Supply and Sanitation Systems in IDAAN#s Colón Business Unit - Cost US$20 million (IBRD US$10 million) 3. The objective of this component is to improve the efficiency and quality of water supply services in one business unit of IDAAN. It will target the unit of Colón and finance a series of structural (network optimization, leak reductions and meter installation campaigns) and non-structural (capacity building and training, development of business tools and improvements to overall operating process) measures. This component will benefit from recent major infrastructure investments undertaken by IDAAN in water and sewer networks, investments that did not result in significant service quality improvements mostly for management reasons. The component#s activities and costs were based on a rapid needs assessment. Component 3: Institutional Strengthening and Project Management Cost US$5 million (IBRD US$3 million) 4. The objective of this component is to strengthen the capacity of IDAAN to implement, evaluate and learn from the project#s activities. For this the component will include two sub-components, once seeking to strengthen the institution itself through the development of a Management Information System covering all business units and processes as well as capacity building activities, and one encompassing project management and monitoring activities. 4. Project Location and salient physical characteristics relevant to the safeguard analysis The proposed Project will finance interventions in the PMR, which for this context means the Cities of Panama and Colón and their surrounding metropolitan areas, including the following IDAAN business units: Panama Metro and Colón. 5. Environmental and Social Safeguards Specialists Ms Ximena B. Traa-Valarezo (LCSSO) Mr Gunars H. Platais (LCSEN) 6. Safeguard Policies Triggered Environmental Assessment (OP/BP 4.01) Natural Habitats (OP/BP 4.04) Forests (OP/BP 4.36) Pest Management (OP 4.09) Physical Cultural Resources (OP/BP 4.11) Indigenous Peoples (OP/BP 4.10) Involuntary Resettlement (OP/BP 4.12) Safety of Dams (OP/BP 4.37) Projects on International Waterways (OP/BP 7.50) Projects in Disputed Areas (OP/BP 7.60) Yes X No X X X X X X X X X II. Key Safeguard Policy Issues and Their Management A. Summary of Key Safeguard Issues 1. Describe any safeguard issues and impacts associated with the proposed project. Identify and describe any potential large scale, significant and/or irreversible impacts: OP 4.01 Environmental Assessment. A preliminary assessment concluded that the project will have positive and some potential adverse environmental impacts. On the positive side, one can include improved waste water management in peri-urban areas (Panamá Metro and Eastern Panamá City). The project will improve existing waste water systems and not embark on the construction or enlargement of new systems. This will have the immediate positive effect of improving environmental health quality by eliminating waste water in public spaces such as streets. Negative issues range from small issues such as inconveniences from construction such as dust and noise to larger ones associated with final disposal of waste water (capacity of existing facilities to receive the extra volume). It has initially been decided that the project will not tackle the issue of waste water treatment in Colón. However, should it later be decided that the project will embark on waste water treatment a full EIA will be undertaken in compliance with Panamanian legislation which satisfies Bank Environmental Safeguards requirements given the potentially serious environmental issues. Appropriate mitigation measures have been identified and will be presented in the Environmental Management Framework. This will be introduced into the Operational Manual as it is finalized prior to Negotiations. Further improvements to the OM will be consulted with Bank environmental and social safeguard staff in order to certify compliance with Bank Safeguard policies. OP 4.11 Physical and Cultural Resources. As the project will be implemented entirely in existing urban areas OP 4.11 is not triggered; however, the Environmental Management Framework provides clear guidane as to what procedures should be followed in the unlikely chance find of a physical or cultural resource. These will also be reflected in the Operational Manual. OP 4.12 Involuntary Resettlement. Involuntary resettlement will be avoided where feasible, or minimized, exploring viable alternatives. The urban water and sanitation project may trigger the need for land acquisition of sites presently inhabited by social units or economic activities, for the construction of water tanks, treatment plants and other related infrastructure under the project. OP4.10 Indigenous Peoples. Although specific neighborhoods have not been selected yet in the Corregimientos of Alcalde Díaz, Chilibre, and the District of San Miguelito , the social assessment has identified the presence of indigenous communities (Kuna, Ngäbe-Bugle and Emberá-Wounaan) living in those corregimientos, and others that may be covered by the project. 2. Describe any potential indirect and/or long term impacts due to anticipated future activities in the project area: As the specific intervention areas have not yet been determined, the EMF prepared by IDAAN, the counterpart agency, with technical assistance from the Bank, and published on Infoshop on March 1, 2010, was designed to ensure that no negative impacts take place as a result of activities planned under the Project and that any potential negative impacts are prevented. An Involuntary Resettlement Framework (IRF) and an Indigenous Peoples Planning Framework (IPPF) were elaborated by the borrower, with technical assistance of the Bank, to ensure no negative impacts take place as a result of activities planned under the project, or any potential impacts may be prevented. 3. Describe any project alternatives (if relevant) considered to help avoid or minimize adverse impacts. In the case of land acquisition, there is agreement with the borrower that construction sites that are publicly owned, or that has been donated to IDAAN for water facilities will be preferred over land that needs to be purchased. In the case of resettlement, there is agreement with the borrower that resettlement should be avoided if feasible, and minimized as much as possible. In terms of Indigenous Peoples, when screening indicates the presence of Indigenous communities in the project area, the Indigenous Peoples Planning Framework will be activated and applied. 4. Describe measures taken by the borrower to address safeguard policy issues. Provide an assessment of borrower capacity to plan and implement the measures described. OP 4.01 Environmental Assessment. Given that the scope of project activities is to increase the quality and coverage of existing water supply and sanitation services it is not expected that the project will create any new environmental issues. The environmental management framework will provide clear guidance as to the measures that must be taken in order to accommodate the increased flow of waste water to the treatment plants in Panama Este and Metro. Once the specific areas of project intervention have been determined an environmental analysis will be carried out to assess the baseline conditions and potential impacts on these areas from the proposed expansion of WSS services and related works. The project will not tackle the issue of waste water treatment in Colon given the limited budget. The EMF will also provide clear guidance on mitigating minor environmental impacts originating from construction activities (dust, noise, debris management, etc.). OP4.12 Involuntary Resettlement. If land must be acquired, valuation of the land and assets seating on it will be carried out by the Contraloría de la República and MEF, as is common practice. At present, IDAAN#s Legal Department is executing 18 cases of resettlement of one or few families each, including indemnization/compensation to the families and in some cases resettlement to new sites. Judging from the latter experience, the team believes the borrower is capable of complying with the agreements under the IRF proposed. In cases where resettlement cannot be avoided, an Involuntary Resettlement Plan will be elaborated for every case of resettlement. Every Plan will be submitted to the Bank for financing approval, and will be executed before the public works initiate. Each Resettlement Plan will include the following: A description of the subproject and the area where it will be developed. Location of the properties required by the subproject. Results of the diagnosis (topographic information of the assets, land titles and socioeconomic studies). Identification and analysis of impacts for the displaced population. Alternatives of solutions based on the type of impacts and the characteristics of the population. Eligibility criteria. Description of the Disclosure and Information Program. Land Acquisition Program. Program for housing replacement. Program for the reestablishment of social and economic conditions. Institutional framework. Required human resources. Budget. Schedule. Monitoring and evaluation mechanisms. OP4.10 Indigenous Peoples Framework. The IPPF elaborated by the borrower includes strategies to screen for Indigenous communities living in the neighborhoods intervened by the project, and ensure their participation in the following ways: (a) as project beneficiaries of water and sewerage connection, (b) as representatives of their sectors of population to the neighborhood assemblies, (c) as beneficiaries of job opportunities under the project, (d) as participants of training sessions on hygiene, environment, water conservation and systems maintenance and financing, (e) as eligible members of Water Committees. 5. Identify the key stakeholders and describe the mechanisms for consultation and disclosure on safeguard policies, with an emphasis on potentially affected people. A social assessment and free, prior and informed consultations are being carried out by a team of IDAAN#s staff in 6 neighborhoods of the Corregimientos Alcalde Díaz, Chilibre, Pacora, Pedregal and Tocumen and the District of Colón. As part of the assessment stakeholder consultations (focus groups and interviews) were carried out with the following stakeholders: Juntas Comunales, Local Boards, Water Boards, Corregimiento Representatives, community leaders and community members. The results of the assessment informed the project design. The Involuntary Resettlement Framework and the Indigenous Peoples Plan will be disclosed on the Bank's Infoshop of the Bank on March 16, 2010 and February 24, 2010, respectively, and on the web page of IDAAN and the Ministry of Health, and in the neighborhoods, particularly among those affected by the project. B. Disclosure Requirements Date Environmental Assessment/Audit/Management Plan/Other: Was the document disclosed prior to appraisal? Yes Date of receipt by the Bank 03/03/2010 Date of "in-country" disclosure 03/03/2010 Date of submission to InfoShop 03/03/2010 For category A projects, date of distributing the Executive Summary of the EA to the Executive Directors Resettlement Action Plan/Framework/Policy Process: Was the document disclosed prior to appraisal? Yes Date of receipt by the Bank 03/16/2010 Date of "in-country" disclosure 03/16/2010 Date of submission to InfoShop 03/16/2010 Indigenous Peoples Plan/Planning Framework: Was the document disclosed prior to appraisal? Yes Date of receipt by the Bank 02/24/2010 Date of "in-country" disclosure 02/24/2010 Date of submission to InfoShop 02/24/2010 Pest Management Plan: Was the document disclosed prior to appraisal? Date of receipt by the Bank Date of "in-country" disclosure Date of submission to InfoShop * If the project triggers the Pest Management and/or Physical Cultural Resources, the respective issues are to be addressed and disclosed as part of the Environmental Assessment/Audit/or EMP. If in-country disclosure of any of the above documents is not expected, please explain why: C. Compliance Monitoring Indicators at the Corporate Level (to be filled in when the ISDS is finalized by the project decision meeting) OP/BP/GP 4.01 - Environment Assessment Does the project require a stand-alone EA (including EMP) report? If yes, then did the Regional Environment Unit or Sector Manager (SM) review and approve the EA report? Are the cost and the accountabilities for the EMP incorporated in the Yes Yes Yes credit/loan? OP/BP 4.10 - Indigenous Peoples Has a separate Indigenous Peoples Plan/Planning Framework (as appropriate) been prepared in consultation with affected Indigenous Peoples? If yes, then did the Regional unit responsible for safeguards or Sector Manager review the plan? If the whole project is designed to benefit IP, has the design been reviewed and approved by the Regional Social Development Unit or Sector Manager? OP/BP 4.12 - Involuntary Resettlement Has a resettlement plan/abbreviated plan/policy framework/process framework (as appropriate) been prepared? If yes, then did the Regional unit responsible for safeguards or Sector Manager review the plan? The World Bank Policy on Disclosure of Information Have relevant safeguard policies documents been sent to the World Bank's Infoshop? Have relevant documents been disclosed in-country in a public place in a form and language that are understandable and accessible to project-affected groups and local NGOs? All Safeguard Policies Have satisfactory calendar, budget and clear institutional responsibilities been prepared for the implementation of measures related to safeguard policies? Have costs related to safeguard policy measures been included in the project cost? Does the Monitoring and Evaluation system of the project include the monitoring of safeguard impacts and measures related to safeguard policies? Have satisfactory implementation arrangements been agreed with the borrower and the same been adequately reflected in the project legal documents? Yes Yes No Yes Yes Yes Yes Yes Yes Yes Yes D. Approvals Signed and submitted by: Task Team Leader: Environmental Specialist: Social Development Specialist Additional Environmental and/or Social Development Specialist(s): Name Date Mr David Michaud Mr Gunars H. Platais Ms Ximena B. Traa-Valarezo 03/09/2010 03/17/2010 03/17/2010 Mr Ivo Imparato 03/17/2010 Approved by: Sector Manager: Comments: