Document of The World Bank FOR OFFICIAL USE ONLY Report No: 62393 - HT EMERGENCY PROJECT PAPER ON A PROPOSED GRANT IN THE AMOUNT OF SDR 37.6 MILLION (US$60 MILLION EQUIVALENT) TO THE REPUBLIC OF HAITI FOR A DISASTER RISK MANAGEMENT AND RECONSTRUCTION PROJECT November 3, 2011 Sustainable Development Department Caribbean Country Management Unit Latin America and the Caribbean Region This document is being made publicly available prior to Board consideration. This does not imply a presumed outcome. This document may be updated following Board consideration and the updated document will be made publicly available in accordance with the Bank’s policy on Access to Information. Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized
Transcript
Document of
The World Bank
FOR OFFICIAL USE ONLY
Report No: 62393 - HT
EMERGENCY PROJECT PAPER
ON A
PROPOSED GRANT
IN THE AMOUNT OF SDR 37.6 MILLION
(US$60 MILLION EQUIVALENT)
TO THE
REPUBLIC OF HAITI
FOR A
DISASTER RISK MANAGEMENT AND RECONSTRUCTION PROJECT
November 3, 2011
Sustainable Development Department
Caribbean Country Management Unit
Latin America and the Caribbean Region
This document is being made publicly available prior to Board consideration. This does not
imply a presumed outcome. This document may be updated following Board consideration and
the updated document will be made publicly available in accordance with the Bank’s policy on
Access to Information.
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CURRENCY EQUIVALENTS
(Exchange Rate Effective October 28, 2011)
Currency Unit = Haitian Gourdes (HTG)
HTG 40.35 = US$1
US$1.61 = SDR 1
FISCAL YEAR
October 1 - September 30
ABBREVIATIONS AND ACRONYMS
CCPC Municipal Civil Protection Committee (Comité Communal de Protection Civile)
CDPC Departmental Civil Protection Committee (Comité Départemental de Protection
Civile)
CIAT Inter-ministerial Committee for Territorial Planning (Comité Interministériel
d’Aménagement du Territoire)
CNE National Equipment Center (Centre National des Equipements)
CRV Vulnerability Reduction Unit (Cellule de Réduction de la Vulnérabilité)
DA Designated Account
DDTP
DPC
Departmental Directorates of Public Works (Direction Départementale des Travaux
Publics)
Directorate of Civil Protection (Direction de la Protection Civile)
DRM Disaster Risk Management
DRMRP Disaster Risk Management and Reconstruction Project
EA Environmental Assessment
EBRVRP Emergency Bridge Reconstruction and Vulnerability Reduction Project (or
PROReV : Projet de Reconstruction d’Urgence des Ouvrages d’Art et de Réduction
de la Vulnérabilité)
EMP Environmental Management Plan
ERDMP Emergency Recovery and Disaster Risk Management Project (or PUGRD: Projet
d’Urgence de Gestion des Risques et des Désastres)
ESMF Environmental and Social Management Framework
EU European Union
EWS Early Warning System
FER Road Maintenance Fund (Fonds d'Entretien Routier)
FGHI Hurricane Fay and Tropical Storms Gustav, Hannah and Ike
FY Fiscal Year
GDP Gross Domestic Product
GFDRR Global Facility for Disaster Reduction and Recovery
GoH Government of Haiti
IDA International Development Association
IDB Inter-American Development Bank
ii
IFR Interim Financial Report
IIERP
Infrastructure and Institution Emergency Recovery Project (or PRUII : Projet de
Relèvement d'Urgence des Institutions et des Infrastructures)
ISN Intermediate Strategy Note
IOM International Organization for Migration
MAST Ministry of Social Affairs and Labour (Ministère des Affaires Sociales et du
Travail)
MEF Ministry of Economy and Finance (Ministère de l’Économie et des Finances)
MICT Ministry of Interior and Regional Authorities (Ministère de l’Intérieur et des
Collectivités Territoriales)
MINUSTA
H
United Nations Mission for the Stabilization of Haiti (Mission des Nations Unies
pour la Stabilisation en Haïti)
MPCE Ministry of Planning and External Cooperation (Ministère du Plan et de la
Coopération Externe)
MTPTC Ministry of Public Works, Transport and Communications (Ministère des Travaux
Publics, Transports et Communications)
NGO Non-Governmental Organization
OP/BP Operational Policy / Bank Procedures
ORAF Operational Risk Assessment Framework
PARDH Action Plan for National Recovery and Development of Haiti (Plan d’Actions pour
la Reconstruction et le Développement d’Haïti)
PDNA Post-Disaster Needs Assessment
PNGRD National Disaster Risk Management Plan (Plan National de Gestion des Risques et
des Désastres)
PTDT Projet de Transport et de Développement Territorial
RAP Resettlement Action Plan
RPF Resettlement Policy Framework
SDR Special Drawing Rights
SEEUR Urban and Rural Equipment Maintenance Unit (Service d'Entretien des
Équipements Urbains et Ruraux)
SNGRD National Disaster Risk Management System (Système National de Gestion des
Risques et des Désastres)
SPP Simplified Procurement Plan
TAP Technical Assistance Program
ToR Terms of Reference
UCE Central Implementing Unit (Unité Centrale d'Exécution)
UCP Project Coordination Unit (Unité de Coordination de Projets)
UN United Nations
UNDP United Nations Development Program
UNOPS United Nations Office for Project Services
USAID United States Agency for International Development
WFP World Food Program
Vice President: Pamela Cox
Special Envoy: Alexandre Abrantes
iii
Sector Director: Ede Jorge Ijjasz-Vasquez
Sector Manager: Guang Zhe Chen
Task Team Leader: Pierre Bonneau
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THE REPUBLIC OF HAITI
DISASTER RISK MANAGEMENT AND RECONSTRUCTION PROJECT
CONTENTS
Page
A. Introduction ......................................................................................................................... 1
B. Emergency Challenge: Country Context, Recovery Strategy and Rationale for Proposed
Bank Emergency Project..................................................................................................... 1
C. Bank Response: The Project ............................................................................................... 5
D. Appraisal of Project Activities ............................................................................................ 9
E. Implementation Arrangements and Financing Plan .......................................................... 12
F. Key Risks and Mitigating Measures ................................................................................. 15
G. Terms and Conditions for Project Financing .................................................................... 16
Annex 1: Detailed Description of Project Components ........................................................... 17
Annex 2: Results Framework and Monitoring ........................................................................ 24
Annex 3: Summary of Estimated Project Costs ....................................................................... 27
million): Strengthening the institutional capacity of the implementing Line Ministries to
incorporate natural hazard risks into development planning and collection of disaster risk
data under a technical assistance program.
Component 2: Support to Disaster Preparedness and Emergency Response
SDR 9.06 million (US$14.5 million): Strengthening the institutional capacity of the
Direction de Protection Civile, improving the communication network and decision-support
system, carrying out of a comprehensive functional and structural assessment of the national
shelter network, and rehabilitation and construction of priority shelters.
Component 3: Rehabilitation of Vulnerable and Damaged Critical Transport Infrastructure
SDR 23.13 million ($37.0 million): Strengthening the institutional capacity of the MTPTC
and other relevant ministries, departments and agencies, carrying out reconstruction and/or
reinforcement of identified investments in the transport sector, and identifying critical
investments to protect the local access to the main road network.
Component 4: Emergency Response and Recovery SDR 0.62 million (US$1.0 million):
Facilitating rapid response upon occurrence of an Emergency.
Component 5: Project Management and Implementation Support SDR 2.5 million (US$4.0
million): Strengthening and developing the institutional capacity for Project management,
coordination, implementation, and monitoring and evaluation.
Safeguard and Exception to Policies
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)
[X]Yes [ ] No
[ ]Yes [X] No
[ ]Yes [X] No
[ ]Yes [X] No
[X]Yes [ ] No
[ ]Yes [X] No
[X]Yes [ ] No
[ ]Yes [X] No
[ ]Yes [X] No
[ ]Yes [X] No
Does the project require any exceptions from Bank policies?
Have these been approved by Bank management?
[ ]Yes [X] No
[ ]Yes [X] No
Conditions and Legal Covenants:
Financing
Agreement
Reference
Description of Condition/Covenant Date Due
Condition of
Effectiveness
Per Article IV, 4.01 of Financing Agreement, the
Operational Manual has been issued and adopted by the
Recipient
Before
effectiveness
vii
Legal
Covenants
Per section E.1 of the Financing Agreement’s Schedule
2, the Recipient shall, not later than six months after the
Effective Date: (a) prepare, adopt and disclose, in form
and substance satisfactory to the Association, the
Environmental and Social Management Framework
(ESMF) and the Resettlement Policy Framework (RPF);
and (b) ensure that the Project is carried out in
accordance with the ESMF and the RPF.
This covenant is without limitation to the provisions of
Section 4.01 (b) of the General Conditions (referring to
the obligation of the Recipient to ensure the carrying out
of the Project in conformity with appropriate
administrative, technical, financial, economic,
environmental and social standards and practices)
Six months after
effectiveness
1
A. Introduction
1. This Project Paper seeks the approval of the Executive Directors to provide an International
Development Association (IDA) Grant in an amount of SDR 37.6 million (US$60 million
equivalent) to the Republic of Haiti for a proposed Disaster Risk Management and
Reconstruction Project (DRMRP).
2. The proposed Grant would help support the Recipient in improving disaster response capacity
and enhancing the resiliency of critical transport infrastructure.
3. The proposed Project activities would include:
(i) Natural hazard risk assessment and analysis;
(ii) Enhanced disaster preparedness and emergency response;
(iii)Rehabilitation of vulnerable and damaged critical transport infrastructure;
(iv) Emergency response and recovery;
(v) Project management and implementation support.
4. The proposed Project is 100 percent IDA financed.
B. Emergency Challenge: Country Context, Recovery Strategy and Rationale for Proposed
Bank Emergency Project.
5. Haiti is ranked 148th out of 172 Countries in the 2010 Human Development Index. With a
GDP per person of US$673, it is the poorest country in Latin America and the Caribbean and
among the poorest countries in the world. Over half of its population of 10 million live in
absolute poverty – less than US$1 per day – and 78 percent live on less than US$2 per day.
6. Haiti ranks as one of the countries with the highest exposure to multiple natural hazards,
according to the World Bank’s Natural Disaster Hotspot study1. With 96 percent of its
population living at risk, Haiti has the highest vulnerability to hurricanes among the region’s
small island states (12.9 on a scale of 13)2. In addition to hydro-meteorological hazards, Haiti
is located in a seismically active zone, intersected by several major tectonic faults. The
country’s high population density (up to 40,000 per km2 in Port-au-Prince), combined with the
large number of informal settlements and weak infrastructure, renders Haiti and its population
particularly vulnerable.
7. Over the past ten years, Haiti has been impacted by several major events. In 2004, Tropical
Storm Jeanne affected over 315,000 people; in 2008, Hurricane Fay and Tropical Storms
Gustav, Hannah and Ike (FGHI) affected more than 865,000 people; and in 2010, the January
12 earthquake affected more than three million people. The impact of these disasters on the
national economy was evaluated at 7 percent of the Gross Domestic Product (GDP) for
Tropical Storm Jeanne (2004), 15 percent of GDP for FGHI (2008), and 120 percent of GDP
for the January 12 earthquake (2010)3.
1 World Bank, Natural Disaster Hotspots, A Global Risk Analysis (Washington, DC: Disaster Risk Management Series, 2005) 2 UNDP. 2004. Reducing Disaster Risk: A Challenge for Development. United Nations Development Program, Bureau for Crisis
Prevention and Recovery 3 Government of Haiti, World Bank, United Nations and European Commission. 2008, 2010. Post Disaster Needs Assessments
2
8. The January 2010 earthquake resulted in the worst humanitarian disaster in recorded history in
Latin America and the Caribbean, causing massive destruction to public and private
infrastructure, including hospitals, schools, government buildings, houses, and roads.
Approximately 1.3 million people were displaced and 220,000 were killed. The disaster struck
very close to Port-au-Prince, the country’s political, economic and administrative nerve
center, where an estimated 65 percent of GDP and 85 percent of government revenues are
generated.
Sectoral and Institutional Context
9. Haiti’s long history of political instability has considerably weakened the institutions and
governance mechanisms, which contributes to serious fiscal, regulatory and planning
constraints. Given these constraints, the Government of Haiti (GoH) faces challenges in the
development of strategic policies and programs, coordination across line ministries, and
implementation of monitoring and evaluation tools to successfully execute a comprehensive
development program. Lack of institutional and absorptive capacity leads the GoH to engage
in short-term, reactive planning and actions rather than developing long-term strategies and
programs. The January 2010 earthquake further deepened the existing governance challenges,
by severely diminishing already weak government capacity.
10. Institutional weaknesses are most obvious during emergency situations, revealing limited
government service delivery, which is exacerbated by donor dependency and low domestic
investment in infrastructure and human capital. These weaknesses feature particularly
prominently in disaster risk management which is multi-sectoral.
11. In 2001, a National Disaster Risk Management System (SNGRD) was established to handle
emergency operations and manage disaster risk, but its capacity is low and suffers from a lack
of institutional support. For example, no single line ministry is officially responsible for
disaster risk management activities and the SNGRD remains informal, with no legislative
framework. These constraints limit the system’s operational capacity. Haiti has no high-level
coordination mechanism that convenes line ministries and technical institutions responsible
for disaster risk management. Compounding this lack of institutionalization is a continued
need to raise awareness of the risks posed by adverse natural events and their impact on the
country’s development trajectory. Often, there is a lack of clear information on disaster risks
and on structural and non-structural mitigation options.
12. After the January 2010 earthquake, understanding risk, reducing vulnerability, and improving
emergency preparedness and response capacity have been key themes for the GoH and the
international community. However, to date, initiatives to support disaster risk management
themes have been ad-hoc, often led by donor agencies and not always integrated within the
GoH’s institutions. For example, significant resources were mobilized by the Bank to better
understand the country’s geological and hydro-meteorological hazards and structural
vulnerabilities in order to inform the neighborhood recovery and housing repair program in
the short-term. However, the sustainability of these initiatives is limited by the technical
capacity of national institutions to generate, manage, and utilize hazard risk-related
information. Key decision makers in line ministries are not fully engaged and there is a
disconnect between the technical experts identifying hazard risks and the ability of public
officials to base development plans and investments on this analysis.
3
13. Despite these institutional constraints, the GoH has been improving its ability to respond to
adverse natural events, particularly hydro-metrological hazards. Given the limited capacity
and support at the central level, the Directorate of Civil Protection (DPC) has relied on a
broad network of local level actors engaged in disaster response activities. In particular, at the
local level, Municipal Civil Protection Committees (Comité Communal de Protection Civile –
CCPC) have been established and trained to be mobilized before, during, and immediately
after disasters. Established under the Bank financed Emergency Recovery and Disaster Risk
Management Project (ERDMP - P090159), 73 CCPCs in Haiti’s most vulnerable regions have
been engaged during recent adverse natural events, including FGHI in 2008, the January 2010
earthquake, and Hurricane Tomas in 2010. Significant continued technical support is required
at the national and local level to more efficiently prepare and respond to disasters. At the
national level, the DPC capacity must be built to develop protocols and a chain of command
in order to lead response, and to more efficiently coordinate actions among the CCPCs. At
the local level, the capacity of existing CCPCs must be enhanced and the network expanded to
cover all parts of the country.
14. The effectiveness of the DPC to respond to emergency events depends directly on its ability to
physically reach the population. Experience in the 2008 FGHI events, demonstrated the
vulnerability of the transportation network as affected communities were cut off from
assistance for extended periods of time. System weaknesses were evident anew after the
passage of Hurricane Tomas in 2010. Although relatively weak, the hurricane created serious
disruptions in the transport network and constrained the ability of the DPC to reach affected
populations.
Recovery Strategy
15. The proposed Project is aligned with the GoH’s reconstruction strategy as articulated in the
Action Plan for National Recovery and Development of Haiti (Plan d’Actions pour la
Reconstruction et le Développement d’Haïti - PARDH). The objectives of the PARDH are
organized along four pillars: (i) economic reconstruction (macroeconomic environment,
infrastructure investment for growth, and private sector development); (ii) social
reconstruction (education, health and social protection); (iii) territorial reconstruction
(decentralization and investment in transformative infrastructure, to create greater
geographical balance of the country’s economic activity; and (iv) institutional reconstruction
(strengthening the authority and the role of the State). The PARDH, which uses the 2010
Post-Disaster Needs Assessment (PDNA) of damages, losses and needs as its basis, also
established the “building back better” principle.
16. In the immediate wake of the January 2010 earthquake, the Bank provided SDR 40.65
(US$65 million) for the Infrastructure and Institutions Emergency Recovery Project (IIERP -
P120895, approved on March 2010) to support the early sustainable recovery of Haiti from
the effects of the earthquake through selected interventions aiming at contributing to
rebuilding key institutions and infrastructure. The principle activities of this project include:
(i) re-establishing key economic and financial functions of the GoH; (ii) emergency
rehabilitation of selected public infrastructure; and (iii) institutional support and
reconstruction planning. Together with funds from the existing portfolio and Trust Fund
resources mobilized by the Global Facility for Disaster Reduction and Recovery (GFDRR),
the Bank financed, inter alia, a rapid building structural safety assessment, a national multi-
4
hazard assessment, and the construction of temporary offices and provision of equipment to
enable the Ministry of Economy and Finance (MEF) and the DPC to function. In the
following months, funds were used to rebuild roads, bridges and government facilities, launch
neighborhood upgrading and community housing reconstruction, provide support to
communities, protect displaced persons from flooding, and keep children in school.
17. The Bank, in close collaboration with the GoH, has prepared the World Bank Group’s Interim
Strategy Note FY12-F13 for the Republic of Haiti, report # 65112-HT, to be discussed by
Executive Directors on December 1, 2011. It draws on both the PARDH and the four
priorities established by Haiti’s new President: (i) Environment, including disaster risk
reduction and housing; (ii) Employment; (iii) “Etat de droit” (the Rule of Law); and (iv)
Universal Free Education. In terms of reconstruction, the strategy, amongst other objectives,
focuses on actions in key reconstruction sectors and/or actions with key results important to
reconstruction. The fundamental principles of the ISN stem from those frameworks and
objectives. Top priorities include the strengthening of Haiti’s capacity to respond, manage
and prevent disaster related crises nationwide, the restoration of the infrastructure assets that
were destroyed or damaged by the earthquake and/or adverse natural disasters that followed
(e.g. Hurricane Tomas) and the strengthening of infrastructure backbones. The proposed
Project is thus closely aligned with existing frameworks and the ISN.
18. Furthermore, the results and lessons learned from past and ongoing Bank financed projects (in
particular ERDMP – P090159; IIERP – P120895 and the Emergency Bridge and
Vulnerability Reduction Project (EBRVRP – P114292)) will inform the proposed Project. In
terms of collaborative work and coordination, the Bank has sponsored the Caribbean
Catastrophe Risk Insurance Facility which Haiti subscribes to, and has been coordinating and
working closely with the GoH and other international agencies in the transportation and DRM
sectors.
Rationale for the Proposed Project
19. The Bank has been supporting disaster risk management projects in Haiti since 2004, working
alongside the GoH to improve the DPC’s capacity to coordinate the preparation and response
to natural disasters through, inter alia, the establishment of 73 CCPCs. Bank financed
activities have laid the foundation of what can be considered an effective preparation and
response structure. In the aftermath of the January 2010 earthquake, the international
community has provided a surge of financial and technical support to the DPC and the
CCPCs. To institutionalize the progress achieved since the earthquake, the proposed Project
would build on recent advances in institutional capacity to further strengthen the GoH’s
disaster response capacity, effectively moving the GoH to Phase Two scaling up and
strengthening existing processes, systems, and capacity.
20. Following the January 2010 earthquake, the Bank supported program expanded to finance
hazard and vulnerability assessments at the national and municipal level (Port-au-Prince
Metropolitan area), with the objective of supporting the GoH’s neighborhood recovery and
housing repair program. Detailed hazard exposure profiles for priority neighborhoods were
produced and the preliminary structural and non-structural mitigation measures to address
these hazards were identified. Key data was collected and analytical methodologies were
developed with the support of international experts. The GoH now needs to enhance its
5
technical capacity to manage, analyze and apply this aquired knowledge in planning and
programming decisions.
21. In the transport sector, the Bank has focused on critical spot interventions since the
earthquake. Each of these interventions has aimed at increasing the resilience of the system in
key damaged and vulnerable areas. This has generated significant positive impacts and the
proposed Project would pursue the same approach to enhance the resilience of the road
network to natural hazards. It would also strengthen key institutions in the transport sector by
supporting the development of systems to better protect assets and investments.
C. Bank Response: The Project
Project Development Objectives
22. The proposed Project development objective is to support the Recipient in improving disaster
response capacity and enhancing the resiliency of critical transport infrastructure.
Summary of Project Components
23. Below is a brief summary of each component. A detailed description of the Project
components and activities can be found in Annex 1.
Component One: Natural Hazard Risk Assessment and Analysis SDR 2.18million
(US$3.5 million)
24. Strengthening the institutional capacity of the implementing Line Ministries to incorporate
natural hazard risks into development planning and collection of disaster risk data under a
technical assistance program.
Component Two: Support to Disaster Preparedness and Emergency Response SDR 9.06 million
(US$14.5 million)
25. Haiti has launched several initiatives over the past five years to increase its capacity to prepare
for, and respond to, adverse natural events, supported by different donors including the Bank,
UNDP, IDB, EU, WFP, and IOM. In particular, the Bank financed ERDMP (P090159) has
supported the establishment of CCPCs. Further investment is required to consolidate the
improvement in disaster preparedness and emergency response. Identified areas of
intervention include strengthening the DPC, the expansion of the CCPCs to cover the entire
country, improvement of the communication network and decision-support system for early
warning and emergency response, and implementation of a pilot shelter management program,
including the creation of an inventory of national emergency shelters and the construction and
repair of new and existing shelters.
26. This component would finance consultancies and services to strengthen the institutional
capacity of the DPC and the nation-wide network of CCPCs, the acquisition of goods for the
improvement of the national emergency communication network, consultants services as well
as works to support the national DPC multi-purpose center and the pilot emergency shelter
program. This component would consist of three core activities:
6
27. Subcomponent 2.1 Institutional Development of the DPC and Expansion of its CCPC
Network: This subcomponent would finance: (i) improved capacity of the DPC’s operational
efficiency; (ii) construction of a multi-purpose center for the DPC, to serve, among other
purposes, as national Civil Protection training center facility; (iii) enhanced capacity of the
existing Comité Communal de Protection Civile (CCPC), and the establishment of new
CCPCs with the objective to cover the 144 communes of the country; and (iv) simulation
exercises to, inter alia, evaluate the operational capacity of the CCPCs, and the Departmental
and Central branches of the Civil Protection System as defined by the National Response
Plan.
28. Subcomponent 2.2 Communication Network and Decision-support System: This
subcomponent would finance improving the communication network and decision-support
system, including: (i) establishing alert and communication protocols with the national
disaster response system , with a particular emphasis on the dissemination of warnings from
the central level to the community level (and vice-versa); (ii) developing a civil protection
communication system and procurement of alert equipment of priority CCPCs and possibly at
central or departmental level; and (iii) training for the use of CCPCs’ early warning system or
communication protocols and equipment.
29. Sub-component 2.3 Pilot Emergency Shelter Rehabilitation and Construction: Carrying out
of: (a) a comprehensive functional and structural assessment of the national shelter network;
and (b) rehabilitation and construction of priority shelters.
Component Three: Rehabilitation of Vulnerable and Damaged Critical Transport
Infrastructure SDR 23.13 (US$37 million)
30. To leverage the improved understanding of risk, and to ensure sustainability of the
institutional strengthening and capacity building efforts in previous and ongoing operations,
the proposed Project would finance structural investments in the transport sector and other
investments to protect local access to the national backbone road network. This component
would focus on strengthening the institutional capacity of the Ministry of Public Works,
Transport and Communication (MTPTC), and other relevant ministries, departments and
agencies, at both the central and local level, as well as explore innovative mechanisms in
which public entities, such as the National Center of Equipment (CNE- Centre National des
Équipements), and private sector entities can be mobilized quickly by the MTPTC for small
emergency reconstruction or urgent maintenance works. Activities are broken into three
subcomponents that complement investments under the ongoing Bank financed EBRVRP
(P114292 - closing December 2013), and the IIERP (P120895 – closing June 2013).
31. Sub-component 3.1 Institutional Strengthening and Capacity Building: This subcomponent
would finance capacity building activities and technical assistance focused on strengthening
the institutional capacity of the MTPTC and Road Maintenance Funds (FER – Fonds
d’Entretien Routier) for: (i) identifying vulnerabilities in the transport sector; (ii) building
resiliency in the transport sector; (iii) improving emergency response capacity to restore
access to isolated areas or urban neighborhoods by supporting MTPTC services at central
level through the Transportation Directorate or Public Works Directorate or at operational or
local level through the Urban and Rural Equipment Maintenance Unit (SEEUR – Service
d’Entretien des Équipements Urbains et Ruraux), the CNE and the Public Works
7
Departmental Directorates (DDTP – Direction Départemental des Travaux Publics); (iv)
promoting road safety; and (v) increasing the efficiency of the road maintenance system.
32. Sub-component 3.2 Critical Spot Interventions and Reconstruction Investments in Transport
Infrastructure: This subcomponent would finance the carrying out of construction and/or
reinforcement of identified investments in the transport sector, to be prioritized based on the
principle of greatest loss avoidance. Works would focus on rehabilitate damaged assets before
they fall to a level beyond repair. The works would include, inter alia, bridge and road repairs
such as rehabilitation of suspended Estime Dumarsais Bridge at Jeremie or construction such
as Riviere Gauche Bridge at Jacmel, as well as riverbank and road protection works, all
designs will integrate road safety best practices. Urban road repairs, including, inter alia,
rehabilitation and pavestone works and critical intersections such as former cemetery
crossroad of Petionville, would also be financed under this subcomponent, in addition to a
pilot coastal road protection project.
33. Sub-component 3.3 Investments to Protect Local Access to the Main Road Network:
Identifying critical investments to protect the local access to the main road network, and
carrying out of the design, rehabilitation, reconstruction and/or other work as may be required
to protect said investments. These investments would be identified by MTPTC in
coordination with the departmental delegates, the CCPC committees, and the MTPTC’s
DDTPs. Investments would be designed and implemented with the support of the MTPTC’s
regional offices.
Component Four: Emergency Response and Recovery SDR 0.62 million (US$1 million)
34. This component would facilitate rapid response upon occurrence of an Emergency, including,
the carrying out of emergency infrastructure reconstruction, rehabilitation and associated
studies (Emergency Response Activities). Following an adverse natural event that causes a
major disaster, the GoH may request the Bank to re-allocate project funds to support
emergency response activities. This component would draw resources from the unallocated
expenditure category and/or allow the GoH to request the Bank to re-categorize and reallocate
financing from other project components to partially cover emergency response and recovery
costs. Additional funds could also be made available through this window for the same
purpose.
35. Disbursements would be made against a positive list of critical goods or the procurement of
goods, works, and consultant services required to support the immediate response and
recovery needs of the GoH. All expenditures under this component, should it be triggered,
will be in accordance with BP/OP 8.0 and will be appraised, reviewed and found to be
acceptable to the Bank before any disbursement is made.
36. If not disbursed 12 months before the closing date of the proposed Project, the amount of SDR
0.62 million (US$1 million) can be reallocated to finance activities under the other proposed
Project components.
Component Five: Project Management and Implementation Support SDR 2.5 (US$4 million)
8
37. This component would finance the costs associated with strengthening and developing the
institutional capacity for Project management, coordination, implementation, and monitoring
and evaluation, as well as costs associated with supporting the project implementing agencies
compliance of the mitigation measures identified in the Operational Risk Assessment
Framework (ORAF).
38. Component 5 would be divided into two subcomponents. Sub-component 5.1 would finance
the strengthening of the capacity of the UCP-DPC for: (a) overall coordination of the Project
including, consolidation of financial and progress reports; and (b) management, coordination,
implementation, monitoring and evaluation of Components 1 and 2 of the Project. Sub-
component 5.2 would finance the strengthening of the capacity of the UCE-MTPTC for
management coordination, implementation, monitoring and evaluation of Components 3 and 4
of the Project. Activities financed under this component would include training and staffing
with institutional strengthening purposes, audits, equipment, vehicles, operational costs and
other activities associated with project execution.
Eligibility for Processing under OP/BP 8.0
39. The proposed Project is an Emergency Recovery Grant (ERG) processed under the
Operational Policy/Bank Procedures 8.00 (Rapid Response to Crises and Emergencies) in
response to the impact of the January 2010 earthquake and the damages caused by Hurricane
Tomas in November 2010. The proposed Project is fully aligned with the GoH’s response
strategy and the World Bank Group’s Interim Strategy Note FY12-F13 for the Republic of
Haiti, report # 65112-HT, to be discussed by Executive Directors on December 1, 2011. A
streamlined ERG with simplified preparation procedures is the most appropriate instrument to
respond to the continuing needs of Haiti to reduce vulnerability to natural hazards and
strengthen resilience of critical transport infrastructure.
Consistency with Interim Strategy Note FY12-13
40. The proposed ISN will be presented to the Board on December 1, 2011 together with this
project as well as projects in Education and Agriculture, for a total investment of US$170
million from IDA (and US$10 million from the Global Agriculture and Food Security
Program Trust Fund (GAFSP)).
41. The overarching objective of the Interim Strategy is to support the Government of Haiti in
implementing sustainable post-earthquake reconstruction. It has four Strategic Objectives: (i)
reduce Haiti’s vulnerability to disasters and crises and increase its resilience to shocks, (ii)
sustainable reconstruction in key infrastructure, (iii) build human, and (iv) revitalize the
economy. The strengthening of governance and capacity in favor of reconstruction will be its
only cross cutting theme, which will permeate all operations and drive the content of budget
support operations.
42. The proposed Project will play a central role in achieving the ISN’s objectives under strategic
objectives one and two by improving Haiti’s capacity to respond, manage and decrease the
impact of adverse natural events and by rebuilding vulnerable and critical transportation
infrastructure destroyed by the January, 2010, earthquake and subsequent events. The Project
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will also contribute substantially to the cross-cutting objective of improving governance and
capacity building across Haiti’s public sector by (i) strengthening the Government’s planning
capacity to reduce risks and its ability to protect vulnerable populations from natural disasters,
and (ii) by building the confidence of the population in the Civil Protection Services of the
State and financing infrastructure improvements that can provide immediate benefits to
vulnerable populations.
Expected Outcomes
43. Activities financed under the project are expected to decrease the impact of adverse natural
events as they would improve planning capacity to reduce development in high risk areas.
They would also increase capacity at the national and local levels to reduce loss of life,
injuries, property damage, and productivity declines, and improve access to the transportation
network immediately after natural disasters.
44. Expected output indicators include an increase in the number of line ministries developing an
action plan for vulnerability reduction; an increase in the share of population living in a
municipality with a certified CCPC; and a decrease in the number of cumulative road closure
days per year along the corridors where physical investment are implemented.
D. Appraisal of Project Activities
45. The physical works to be financed under the proposed Project are limited to the most urgent
rehabilitation and reconstruction activities. The scope of works in support of improving Haiti’s
capacity to prepare for, and respond to, disaster is limited to shelter rehabilitation and
construction. The scope of the transport infrastructure works include: (i) repairs of critical
points of infrastructure damaged by adverse natural events (i.e. earthquake, Hurricane Tomas);
(ii) reinforcement of existing infrastructure or critical points in order to improve resiliency; (iii)
new works to support an all-season transportation network; and (iv) small works to improve
local access to the backbone network.
(a) Economic and Financial Analysis
46. The benefits from the program supported by the project are direct and indirect as well as short
and longer-term. Improved understanding of hazards and their interaction with the built
environment will help reduce Haiti’s vulnerability to future adverse natural events. Further,
improved capacity to prepare for, and respond to, adverse natural events will save lives and
livelihoods.
47. To improve the resiliency of the transport network, the priorities pre-identified through initial
consultations with the GoH for repairs and on-site reconstruction are considered to be the
technically feasible and economically viable solution. A cost-effectiveness review will be
undertaken during project implementation and a consideration of alternatives will be made to
finance investments with the highest economic impact. The economic considerations are
discussed in Annex 10.
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(b) Technical
48. Investments under this proposed Project have been prioritized and pre-identified through
preliminary consultations with the relevant sector ministries and public agencies. Activities
focus on three core areas, including mainstreaming of natural hazard risk in development
planning within line ministries, improving the GoH’s preparedness and response capacity, and
increasing the resiliency of the transport network to adverse natural events. In each area,
investments will be narrowly focused in order to generate the biggest impact and promote a
sustainable outcome. For example, the majority of Component 1 funding will be directed
towards technical assistance to improve the capacity of line ministries to interpret hazard-risk
data, while Component 2 will focus on strengthening the DPC at the national and local levels
and Component 3 will target the majority of investments in three vulnerable corridors in
southern Haiti. To the extent possible, proposed activities should have minimal
environmental and social safeguards issues, including avoidance of land acquisition and
resettlement, to improve the likelihood of the project being executed within the proposed
Project life.
(c) Institutional and Implementation Arrangements
49. Overall project implementation will be assured by the Ministry of Interior and Regional
Authority’s (MICT) Directorate of Civil Protection (DPC). The MICT’s DPC is supported by
a dedicated Project Coordination Unit (Unité de Coordination de Project: UCP-DPC) that has
extensive experience implementing Bank financed projects and has been appraised to have
sufficient technical and human resources to effectively support the coordination of the
proposed Project’s implementation. In addition to coordinating the overall proposed Project’s
implementation, the UCP-DPC would be responsible for the implementation of Components
1, 2 and 5.1 of the project.
50. The MTPTC’s Central Executing Unit (Unité Centrale d’Exécution: UCE-MTPTC), would be
responsible for the implementation of Components 3, 4 and 5.2 of the project. This unit has
experience managing other Bank-financed infrastructure projects. While the UCE-MTPC has
been successful in assuming the fiduciary responsibility associated with these operations, it
has demonstrated a limited capacity in handling technically complex interventions under a
tight schedule. However, the UCE-MTPTC remains the best available alternative to manage
transport investments. It will be reinforced by technical assistance.
51. A more detailed assessment and description of the institutional and implementation
arrangements is found in Annex 7.
(d) Financial Management
52. UCP-DPC will be responsible for the overall reporting of the project, including consolidation
of the interim financial management reports transmitted by the UCP-DPC. The detailed
implementation arrangements are provided in Annex 7.
53. The UCP-DPC will ensure that, on a semi-annual basis, the Interim Un-Audited Financial
Reports (IFR) are produced and transmitted to the Bank along with a Project Activity Report
no later than 45 days after the end of the six month period in question. On an annual basis, not
later than six months after the fiscal year, annual audited financial statements will be sent to
the Bank.
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54. Disbursements will be made in accordance with procedures outlined in the Disbursement
Handbook for World Bank Clients and will allow for use of advances, reimbursement, direct
payment, and issuance of Special Commitment. The Special Commitment method allows
IDA to provide an irrevocable commitment made at the request of the Borrower that
undertakes to reimburse a Commercial Bank for payments it makes to a supplier against a
Letter of Credit. Two designated accounts will be authorized for implementation of the
activities, including: (i) Designated Account A, managed by the UCP-DPC, will be used for
the implementation of Components 1, 2 and 5.1; and (ii) designated account B, managed by
UCE-MTPTC, will be used for the implementation of activities under Components 3, 4 and
5.2.
(e) Environment
55. The Project is rated as a category B project because the physical activities considered relate to
the rehabilitation and strengthening of existing infrastructure and are not expected to produce
any large-scale, significant and/or irreversible impacts.
56. Annex 9 provides a detailed analysis of the social and environmental safeguards policies
triggered by the project. Draft ToRs for the preparation of the Environmental and Social
Management Framework (ESMF) and the Resettlement Policy Framework (RPF) associated
to the Project have been prepared. Under this proposed Project, rehabilitation and construction
works could potentially have minor negative environmental and/or social impacts. Negative
environmental impacts may be related to waste/debris removal and disposal, worker and fire
safety, soil removal and erosion, increased levels of dust and noise, oil spill or leakage from
machinery etc. Despite this, the environmental and social impact of the project is expected to
be low because the works are small in scale and the project will adequately screen to ensure
these works do not occur in environmentally sensitive sites. To ensure that all possible
impacts are mitigated, an ESMF will be prepared under OP/BP 8.00 Rapid Response to Crisis
and Emergencies within six months of effectiveness. Any negative impact will be mitigated
and the Bank will follow up regularly with reports on the environmental aspects of the project
and implementation of the ESMF.
(f) Social
57. Social impacts may include land acquisition and minor resettlement. A RPF will be prepared
within the first 6 months after effectiveness to assess potential impacts which may include any
potential impact of land acquisition (unlikely or limited), physical and/or economic
displacement. The RPF will include: (i) principles, review of policy regulations; (ii)
institutional arrangements, roles and competences; (iii) consultations disclosure and grievance
redress mechanisms; and (iv) monitoring and reporting processes. If necessary, the RPF will
be used to prepare Resettlement Action Plans and these will be implemented and monitored
according to Bank guidelines.
Lessons Learned and Reflected in Project Design
58. The proposed Project design takes into account lessons learned from previous emergency
operations in Haiti and from the Bank’s global experience with emergency response
operations.
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59. Simplified objectives and limited scope improves efficiency. While the needs are significant,
complex multi-sector operations are difficult to implement. The proposed Project focuses on
two main issues: (i) improving national capacity to prepare for and respond to adverse natural
events, and (ii) rehabilitation of damaged and vulnerable critical transport infrastructure.
60. With regards to improving the national capacity to prepare for and respond to adverse natural
events, the Bank’s experience in Haiti in the field of disaster risk management are the
following:
(i) Disasters tend to first affect the most vulnerable populations with no or little access to
services. Haiti’s experience over the last seven years demonstrates the importance of
strengthening the national disaster risk management system at the municipal level. The
CCPCs, supported by the Bank, have greatly facilitated post-disaster response efforts,
which has contributed to lower fatalities through improvement of early warning,
evacuation and sheltering; and
(ii) The experience of past infrastructure/transport projects with MTPTC has shown that
good technical supervision of construction works carried out by/for the national disaster
risk management system was essential for good quality and sustainable results. The
involvement of MTPTC in the supervision of works carried out under Component 2 is
crucial and will be done, at all stages, jointly with the DPC.
61. With regards to the rehabilitation of vulnerable and critical transport infrastructure, the Bank’s
experience in Haiti and other low income, low capacity environments are the following:
(i) Regular maintenance is critical to sustainability of transport investments, and is the
most cost effective investment in the transport sector. This was evidenced in Haiti after
FGHI in 2008, when better maintained infrastructure proved more resilient; and
(ii) Appropriate design, construction and rehabilitation standards are essential to reduce
future maintenance liability. Inappropriate standards make for poor road performance,
higher unit costs and increased future maintenance liability.
62. Lastly, the Bank’s experience recognizes the systematic challenges posed by the weak
institutional capacity and the need to strengthen internal systems through targeted technical
assistance and investments. Notwithstanding, the Bank’s experience has shown that
emergency projects are not the best vehicle to support wholesale institutional reforms,
however continuity of support to institutional strengthening is deemed essential and beneficial
in Haiti’s current context.
Bank Policy Exceptions
63. No exceptions to Bank policy are sought under this project.
E. Implementation Arrangements and Financing Plan
64. Two implementing agencies will be engaged to implement the proposed Project, namely the
MICT and the MTPTC. Both Ministries are established World Bank project implementation
partners that have recovered their administration and implementation capacities following the
earthquake.
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65. Overall project implementation will be coordinated by the MICT’s DPC, which benefits from
the support of the UCP. The UCP-DPC would also be responsible for the implementation of
Components 1, 2 and 5.1. The UCP-DPC has experience in managing Bank-financed disaster
risk management projects, including the ERDMP (P090159) and has a sound fiduciary track
record. The unit currently has a Project Coordinator, a Procurement Specialist, a Financial
Management Specialist, and an Assistant Project Coordinator / M&E Specialist to implement
the project. It would be reinforced with the hiring of a Communications Specialist, a
dedicated Monitoring and Evaluation Specialist, a Team Assistant and an additional Fiduciary
Specialist.
66. The UCE-MTPTC would be responsible for the implementation of Components 3, 4 and 5.2
of the project. This unit has experience managing other Bank-financed infrastructure projects.
While the UCE-MTPC has been successful in assuming the fiduciary responsibility associated
with these operations, it has demonstrated a limited capacity in handling technically complex
interventions under a tight schedule. However, the UCE-MTPTC remains the best available
alternative to manage transport investments. It will be reinforced by technical assistance.
Project Cost and Financing
67. The proposed Project will be financed by an IDA grant for an amount of SDR 37.52 million
(US$60 million). The lending instrument is an Emergency Recovery Grant (ERG).
Table 1: Project Cost and Financing
Project Components Project
cost
(US$M)*
IDA
Financing
(US$M)
%
Financing
1. Natural Hazard Risk Assessment and Analysis 3.5 3.5 100
2. Disaster Preparedness and Emergency Response 14.5 14.5 100
3. Rehabilitation of Vulnerable & Damaged Critical Transport Infrastructure 37 37 100
4. Emergency Recovery and Response 1 1 100
5. Project Management 4 4 100
Total Project Costs 60 60 100
* All costs shown inclusive of technical and financial contingencies
Financial Management and Disbursement
68. The UCP-DPC and the UCE-MTPTC would be responsible for the financial management of
the project. The UCP-DPC would be responsible for the financial management of
Components 1, 2, and 5.1. The financial management of Component 3, 4 and 5.2 would be
the responsibility of the UCE-MTPTC. The overall financial situation of the proposed Project
would be consolidated by UCP-DPC following procedures that would be documented in the
Operations Manual.
69. The findings of the financial management capacity assessment carried out during project
preparation by the Bank are taken into account in the financial management and disbursement
arrangements described in Annex 5.
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Table 2: Project Financing Table by Component and Year of Implementation
Estimated disbursements (Bank FY/US$m) *
FY 2012 2013 2014 2015 2016 2017 Total
Component 1 0.2 0.8 0.8 0.9 0.7 0.1 3.5
Component 2 0.4 4 4.5 4 1.3 0.3 14.5
Component 3 2 10 10 10 4.6 0.4 37
Component 4 0 0 0 0 1 0 1
Component 5 0.5 0.8 0.8 0.8 0.8 0.3 4
Total 3.1 15.6 16.1 15.7 8.4 1.1 60
Cumulative 3.1 18.7 34.8 50.5 58.9 60
Procurement Arrangements
70. Procurement for Project activities would be carried out in accordance with the World Bank
Procurement and Consultant Guidelines dated January 2011, the emergency procedures
described in OP/ BP 8.00 , and with the provisions of the Financing Agreement. The various
items under different expenditure categories are described in Annex 6. For each contract to be
financed by the Grant, the different procurement methods or consultant selection methods, the
need for pre-qualification, estimated costs, prior review requirements, and time frame are
agreed between the implementing agencies and the Bank and noted in the Procurement Plan.
The Procurement Plan would be updated at least twice a year or as required to reflect the
actual project implementation needs and improvements in institutional capacity.
71. A tentative SPP has been prepared for the proposed Project, with suggested activities for the
first six months of project implementation. The proposed Simplified Procurement Plan is
found in Table 2 of Annex 6.
Results Monitoring and Evaluation
72. Collaboration arrangements between the UCP-DPC, the UCE-MTPTC and the participating
measures concentrate on the risks that have the potential to derail implementation and could
affect the achievement of the PDOs.
81. First, the January 2010 earthquake had a severe impact on in-country human capital. This
condition has led to loss of technical capacity and institutional memory. The project would
therefore aim to train existing government staff as well as new staff.
82. Second, the implementing agency level risks include inadequate coordination, quality control,
and information sharing mechanisms across various agencies and levels (national and
municipal). To improve government coordination and to promote data and information
sharing, the proposed Project would provide technical assistance to relevant government
institutions. To ensure quality control, the proposed Project would, in the context of project
supervision, carry out independent inspections and plans to establish critical path inspection
procedures and integrate them into construction contracts.
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83. Finally, project level risks include the application of the triggered safeguards: OP 4.01
(Environmental Assessment), OP 4.11 (Physical Cultural Resources) and OP 4.12
(Involuntary Resettlement) are triggered. To address these risks, an ESMF will be prepared.
OP 4.04 (Natural Habitats), OP 4.36 (Forests), OP 4.09 (Pest Management) and OP 4.10
(Indigenous Peoples) are not triggered based on the proposed activities. The ESMF, and if
required the RPF, will guide investments such that any potential activity that would have an
impact on natural habitats or the management of natural forests or that would implicate pest
management would be screened out.
G. Terms and Conditions for Project Financing
84. The proposed Project would be financed by IDA through an Emergency Recovery Grant of
SDR 37.6 million (US$60 million equivalent) over an implementation period of five years.
Project financing by Disbursement Category in shown in Table 1 of Annex 5. The amount of
the Financing Agreement, US$ 60 million, was converted to SDR based on the exchange rate
of the last day of the previous month - i.e. July 31, 2011 for US$ 1 = SDR 0.62539087 - i.e.,
US$ 60 Million x SDR 0.62539087 = SDR 37,523,452.20 rounded up to the highest hundred
thousandth. Therefore the proposed IDA Grant is in the amount of SDR 37,600,000.
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Annex 1: Detailed Description of Project Components
THE REPUBLIC OF HAITI
Disaster Risk Management and Reconstruction Project
Component One: Natural Hazard Risk Assessment and Analysis SDR 2.18 million
(US$4 million)
1. Since the earthquake, resources have been directed at improving the national level awareness
of natural hazard risk and the understanding of related vulnerabilities. Given the technical
nature of these activities, and the weak capacity within the GoH, a key challenge is to
institutionalize increased awareness of disaster risk. This component would build on the
success and results of the multi-hazard risk assessment initiative launched by the Bank by
strengthening the institutional capacity of the implementing Line Ministries to incorporate
natural hazard risks into development planning and collection of disaster risk data under a
technical assistance program (TAP). Based on the emerging needs of line ministries and an
analysis of the results from the existing hazard risk assessment, new disaster risk data, focusing
on some key issues, would be acquired to fill current knowledge gaps. Filling these knowledge
gaps may include support and capacity building activities for the GoH, aiming to improve the
understanding of hazard risk of the line Ministries so as to better inform their decision-making
processes. This component would finance extensive technical assistance along with data
collection and interpretation of, inter alia, seismic and hydro meteorological data. This
component would also finance the procurement of goods such as servers, computers, software,
technical monitoring and data collection equipments and, if necessary, small works.
2. The TAP would involve four phases, including: (i) identification; (ii) preparation of Terms of
Reference (TOR); (iii) definition of work-plan; and (iv) implementation. During identification,
line ministries would be prioritized based on their specific needs for information on hazard risk
vulnerability. This would include preliminary consultations with potential line ministries and
institutions involved with the objective of identifying project priorities. Once line ministries
and institutions have been identified as participants in the TAP, the TOR of the TAP would be
prepared, describing the scope of work and the detailed technical and institutional partners.
Under the implementation stage, the TAP would provide a long-term and "hands-on” training
process, with consultants serving within line ministries and other institutions receiving support.
3. Throughout the TAP, new information needs to better understand natural hazard risks would
evolve. Based on the needs, funding would be available to collect and interpret additional data.
Component Two: Support to Disaster Preparedness and Emergency Response SDR 9.06 million
(US$14.5 million)
4. Haiti has launched several initiatives over the past five years to increase its capacity to prepare
for, and respond to, adverse natural events, supported by different donors including the Bank,
UNDP, IDB, EU, WFP, and IOM. In particular, the Bank financed ERDMP (P090159) has
supported the establishment of CCPCs. Further investment is required to consolidate the
improvement in disaster preparedness and emergency response. Identified areas of
intervention include strengthening the DPC, the expansion of the CCPCs to cover the entire
country, improvement of the communication network and decision-support system for early
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warning and emergency response, and implementation of a pilot shelter management program
to identify and retrofit existing shelters.
5. This component would finance consultancies and services to improve institutional capacity of
the DPC and the nation-wide network of CCPCs, the acquisition of goods for the improvement
of the national emergency communication network, as well as works to support the DPC
training center and the pilot emergency shelter program. This component would consist of
three core activities:
6. Subcomponent 2.1 Institutional Development of the DPC and Expansion of its CCPC Network:
This subcomponent would finance: (i) improved capacity of the DPC’s operational efficiency;
(ii) construction of a multi-purpose center for the DPC, to serve, among other purposes, as
national Civil Protection training center facility; (iii) enhanced capacity of the existing Comité
Communal de Protection Civile (CCPC), and the establishment of new CCPCs; and (iv)
simulation exercises to, inter alia, evaluate the operational capacity of the CCPCs, and the
Departmental and Central branches of the Civil Protection System as defined by the National
Response Plan.
7. Under the IDA financed ERDMP, a disaster preparedness and response training program was
developed and implemented in 73 CCPCs. This component would finance the expansion of the
DPC CPPCs network to 144 communes. Based on lessons learned from implementation of
ERDMP, the CCPCs are not represented by a large number of women, and as a result, the
unique needs of women are not taken into account in emergency preparations and response.
Additional training would be included in the curriculum to include gender needs and the
project would support the recruitment of women on CCPCs.
8. Subcomponent 2.2 Communication Network and Decision-support System: This subcomponent
would finance improving the communication network and decision-support system, including:
(i) establishing alert and communication protocols with the national disaster response system ,
with a particular emphasis on the dissemination of warnings from the central level to the
community level (and vice-versa); (ii) developing a civil protection communication system and
procurement of alert equipment; and (iii) training for the use of CCPCs’ early warning system
or communication protocols and equipment.
9. Current capacity to measure hydro-meteorological events is limited and the ability of the GoH
to disseminate warning messages at the national and local levels is constrained. This
subcomponent would augment ongoing efforts by the GoH, with support from the donor
community, to strengthen the national early warning system. Aspects of the system that can be
strengthened under the project would be identified during project implementation and executed
in coordination with other actors, through the GoH.
10. Sub-component 2.3 Pilot Emergency Shelter Rehabilitation and Construction: This
subcomponent would finance : (i) a comprehensive functional and structural assessment of the
national shelter network, resulting in a country-wide inventory of emergency shelters; (ii)
standard and functional designs for rehabilitation and construction of emergency shelter; and
(iii) rehabilitation and construction of priority shelters, as defined by selection criteria to be
established in the shelter management plan.
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11. This component would finance a comprehensive emergency shelter4 assessment initiative with
the objective of identifying suitable emergency weather shelters that respond to the specific
requirements of each population. Shelters would be assessed based upon their structural,
functional and geographic characteristics, with the objective of identifying specific shelter
rehabilitation and construction needs. Based on the assessment, rehabilitation and retrofitting
works would be prioritized based on specific criteria developed in the shelter analysis.
Standard and functional designs for emergency shelters will be established. Based on lessons
learned from shelter programs throughout the Caribbean, the needs of women (for example,
gender specific bathrooms, etc) are not always taken into consideration in shelter construction.
These gender needs would be taken into account in the shelter management plan and in the
pilot shelter rehabilitation and construction works.
4 An emergency shelter is defined as a building that provides temporary refuge to at risk populations before, during
and shortly after an adverse natural event.
Box 1. Tropical Storm Emily (August 4, 2011) – World Bank Contributing to Preparation
In anticipation of the hurricane season 2011, the Bank has been assisting the DPC, MTPTC and MAST (Ministry
of Social Affairs and Labour) in a collaborative project consisting of evaluating buildings to be used as refugees in
case of a crisis (such as hurricane). The project designed to reduce the extreme vulnerability of the population
living in camps. In June and July 2011, teams of DPC/MAST agents and MTPTC engineers conducted an in-
depth assessment of the structural resilience and functional capacity of public buildings (mostly schools and
churches) and identified those that can serve as refugees for natural adverse events. These refuges have been
mapped, with information on capacity and functional assets. The database is housed within the Crisis Unit at
MTPTC and DPC, and has been shared with other partners, such as WFP, UNICEF, MINUSTAH and IOM, who
have been working to locate and provide missing goods and equipment necessary in the event of an emergency.
Key points of the project:
177 refugees identified within the earthquake affected area where vulnerable camp populations are
concentrated;
Collaboration among Bank projects: (i) engineer trainings were financed through the structural building
safety assessments under IIERP; (ii) DPC’s capacity strengthened through the ERDMP; (iii) IOM’s
contribution (logistics and materials) through the Bank-financed hurricane refuge project (State Peace-
Building Fund); and (iv) GIS, data-analysis and distribution by Bank financed Bureau Technique
d’Evaluation des Bâtiments (BTEB) of MTPTC;
Collaboration among multiple national and international institutions: DPC, MTPTC, MAST, Ministry of
Education, IOM, UNDP, UNOPS, and World Bank.
Additionally, the Bank (through the ERDMP) supported a National Hurricane Preparedness Simulation Exercise
carried out in July 2011, jointly with the Haitian Red Cross, the UN Office for the Coordination of Humanitarian
Affairs and MINUSTAH. The objective was to test preparedness and response of the National Disaster Risk
Management System (SNGRD) to a hurricane, as defined in national, departmental and municipal response plans:
capacity to alert, evacuate, respond and assess damages. It also tested communication and coordination between
the SNGRD and its main international partners. The national Emergency Operation Center in Port-au-Prince, 2
departmental Centers and 4 municipal Centers took part in the exercise which mobilized more than 500
participants and observers.
Finally, the Bank (through ERDMP and GFDRR) provides support to: (i) the development of the Hurricane Season
National Contingency Plan 2011, which was presented in May 2011; (ii) the National Awareness and
Communication Campaign that started on June 1, 2011, through national media, concerts and other public events;
and (iii) the Training for Trainers on Cholera Prevention for Community Health Workers in 3 departments that
have been the most affected by the outbreak and are at high risk of flooding during the hurricane season.
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Component Three: Rehabilitation of Vulnerable and Damaged Critical Transport
Infrastructure SDR 23.13 million (US$37 million)
12. To leverage the improved understanding of risk, and to ensure sustainability of the institutional
strengthening and capacity building efforts in previous and ongoing operations, the proposed
Project would finance structural investments in the transport sector and other investments to
protect local access to the national backbone road network. This component would focus on
strengthening the institutional capacity of the Ministry of Public Works, Transport and
Communication (MTPTC), and other relevant ministries, departments and agencies, at both the
central and local level, as well as explore innovative mechanisms in which public entities, such
as the National Center of Equipment (CNE- Centre National des Équipements), and private
sector entities can be mobilized quickly by the MTPTC for small emergency reconstruction or
urgent maintenance works. Activities are broken into three subcomponents that complement
investments under the ongoing Bank financed EBRVRP (P114292 - closing December 2013),
and the IIERP (P120895 – closing June 2013).
13. Sub-component 3.1 Institutional Strengthening and Capacity Building: This subcomponent
would finance capacity building activities focused on strengthening the institutional capacity of
the MTPTC and FER for: (i) identifying vulnerabilities in the transport sector; (ii) building
resiliency in the transport sector; (iii) improving emergency response capacity to restore access
to isolated areas; (iv) promoting road safety; and (v) increasing the efficiency of the road
maintenance system.
14. Activities to be financed would include a study of the vulnerability of the national primary and
secondary road network and identification of critical points. This study would then be used to
help identify and prioritize works to be financed under Subcomponent 3.2 and 3.3. Technical
assistance would be engaged to support the design of construction, rehabilitation and
maintenance guidelines for transport infrastructure works, as well as training activities and
materials. Capacity building to improve the effectiveness of emergency response in the
transport sector would also be financed under this subcomponent.
15. Institutional support to improve road maintenance would include training, consultant services,
equipment and operating costs, mainly for the MTPTC’s maintenance service. Road
maintenance activities would be planned based on recommendations from the road
maintenance technical assistance to the MTPTC financed under the Bank’s IIERP project
(P120895) and the Haitian National Road Maintenance Strategy. These activities would
mainstream risk reduction practices.
16. Activities to be financed would also include technical assistance and institutional support for
the creation of a road safety unit at the MTPTC and would include training, consultant
services, equipment and operating costs for this unit. A road safety approach would be
developed in collaboration with other financial and technical partners in the transport sector.
17. Sub-component 3.2 Critical Spot Interventions and Reconstruction Investments in Transport
Infrastructure: This subcomponent would finance the carrying out of construction and/or
reinforcement of identified investments in the transport sector, to be prioritized based on the
principle of greatest loss avoidance. Works would rehabilite damaged assets before they fall to
21
a level beyond repair. The works would include, inter alia, bridge and road repairs or
reconstruction, as well as riverbank and road protection works and all designs will integrate
road safety best practices. Urban road repairs, including, inter alia, rehabilitation and
pavestone works, would also be financed under this subcomponent, in addition to a pilot
coastal road protection project.
18. To ensure consistent access across the backbone road system, key portions of the transport
network are in need of rehabilitation and strengthening. This subcomponent would support
reconstruction works for selected transport infrastructure, as well as the corresponding
supervision activities and, as needed, associated technical studies or technical assistance. A list
of priority reconstruction activities has been prepared in preliminary consultation with the
MTPTC. Activities would focus on three road corridors in the Grande Anse, South and South-
East departments to help maintain community access to the main Haitian road network and
prevent isolation in the event of adverse natural events. In the Port-au-Prince area, pre-
identified urban road repairs and development works including pavestone works would be
financed.
19. An unallocated reserve would finance additional infrastructure works to be prioritized by the
GoH and through the use of analytical tools and services funded by the project. Prioritization
criteria would include: (i) risk of losing infrastructure assets in the immediate, short and
medium term (or level of vulnerability of assets); (ii) national and local importance; (iii)
potential safety and isolation threats to vulnerable population groups; (iv) costs of works and
availability of resources; and (v) consistency with sector policies and strategies. Eligibility of
these criteria would be determined through studies of infrastructure vulnerability and post-
disaster damage assessments (see Subcomponent 3.1), exposure to hazards and system-based
assessments.
20. In addition, this subcomponent would support a pilot project to improve coastal road
protection. The objective of the activity would be to show the possibility to increase the
resilience of the transport infrastructure located along the coast, to adverse natural events. The
corridors to host this pilot project are to be selected in coordination with the Government.
21. Sub-component 3.3 Investments to Protect Local Access to the Main Road Network:
Identifying critical investments to protect the local access to the main road network, and
carrying out of the design, rehabilitation, reconstruction and/or other work as may be required
to protect said investments. These investments would be identified by MTPTC in coordination
with the departmental delegates, the CCPC committees, and the MTPTC’s regional offices (the
Departmental Directorates). Investments would be designed and implemented with the support
of the MTPTC’s regional offices.
22. Investments to protect the local access would be identified under project implementation. The
identification process would include two stages. First, investments would be identified in
coordination with representatives of the Central Government, decentralized bodies representing
local governments, in addition to the CCPCs and the MTPTC’s regional offices. Second, a
prioritization exercise would be managed at the level of each department in which the key
stakeholders would decide and endorse the list of priority investments. Prioritized investments
would then be designed and implemented with the support of the MTPTC’s DDTPs.
22
Component Four: Emergency Response and Recovery SDR 0.62 million (US$1 million)
23. This component would facilitate rapid response upon occurrence of an Emergency, including,
the carrying out of emergency infrastructure reconstruction, rehabilitation and associated
studies (Emergency Response Activities). Following an adverse natural event that causes a
major disaster, the GoH may request the Bank to re-allocate project funds to support
emergency response activities. This component would draw resources from the unallocated
expenditure category and/or allow the GoH to request the Bank to re-categorize and reallocate
financing from other project components to partially cover emergency response and recovery
costs. Additional funds could also be made available through this window for the same
purpose.
24. Disbursements would be made against a positive list of critical goods or the procurement of
goods, works, and consultant services required to support the immediate response and recovery
needs of the GoH.
25. If not disbursed 12 months before the closing date of the proposed Project, the amount of SDR
0.62 million (US$1 million) can be reallocated to finance activities under the other proposed
Project components.
26. All expenditures under this component, should it be triggered, will be in accordance with
BP/OP 8.0 and will be appraised, reviewed and found to be acceptable to the Bank before any
disbursement is made. In accordance with BP/OP/ BP 8.00 , this component would provide
immediate, quick-disbursing support to finance goods (positive list of imports agreed with the
GoH), works and services needed for response, mitigation, recovery and reconstruction
activities. The funds under this component would allow the GoH to recover emergency
expenditures incurred following the disaster instead of diverting resources from other pre-
disaster budgeted expenditure. Emergency operating costs eligible for financing would include
the incremental expenses incurred by the GoH for early recovery efforts arising as a result of
the impact of major natural disasters.
27. Goods, Works and Services under this component would be financed based on review of
satisfactory supporting documentation presented by the government including adherence to
appropriate procurement practices where applicable. Accelerated procurement procedures for
national and international competitive bidding applicable under OP 8.0 would apply to
procurement of expenditures under this component. All supporting documents for such
expenditures must also be verified by the Internal Auditors of the GoH and by the DPC Project
Coordinator, certifying that the expenditures were incurred for the intended purpose and to
enable a fast recovery following the damage caused by adverse natural events, before the
Application is submitted to the Bank. This verification should be sent to the Bank together
with the Application.
28. Specific eligible expenditures under the category of Goods include: (i) construction materials;
water, land and air transport equipment, including spare parts; (ii) school supplies and
equipment; (iii) medical supplies and equipment; (iv) petroleum and fuel products; (v)
construction equipment and industrial machinery; and (vi) communications equipment.
23
29. Specific eligible expenditures under the category of Works may include urgent infrastructure
works (repairs, rehabilitation, construction, etc.) to mitigate the risks associated with the
disaster for affected populations.
30. Specific eligible expenditures under the category of Services may include urgent studies (either
technical, social, environmental, etc.) necessary as a result of the effects of the disaster
(identification of priority works, feasibility assessments, designs of adequate works, delivery of
related analyses, etc.).
Component Five: Project Management and Implementation Support SDR 2.5 million
(US$4 million)
31. This component would finance the costs associated with strengthening and developing the
institutional capacity for Project management, coordination, implementation, and monitoring
and evaluation, as well as costs associated with supporting the project implementing agencies’
compliance of the mitigation measures identified in the Operational Risk Assessment
Framework (ORAF).
32. Component 5 would be divided into two subcomponents. Sub-component 5.1 would finance
the strengthening of the capacity of the UCP-DPC for: (a) overall coordination of the Project
including, consolidation of financial and progress reports; and (b) management, coordination,
implementation, monitoring and evaluation of Components 1 and 2 of the Project. Sub-
component 5.2 would finance the strengthening of the capacity of the UCE-MTPTC for
management coordination, implementation, monitoring and evaluation of Components 3 and 4
of the Project. Activities financed under this component would include training and staffing
with institutional strengthening purposes, audits, equipment, vehicles, operational costs and
other activities associated with project execution.
24
Annex 2: Results Framework and Monitoring
THE REPUBLIC OF HAITI
Disaster Risk Management and Reconstruction Project
Program Development Objective (PDO): The objective of the Project is to support the Recipient in improving disaster response capacity and enhancing the resiliency of critical transport
infrastructure.
PDO Level Results
Indicators* Co
re
Unit of
Measure Baseline
Cumulative Target Values**
Frequency Data Source/
Methodology
Responsibility
for Data
Collection
Notes
YR 1 YR 2 YR3 YR 4 YR5
Indicator One: Line
ministries developing
an action plan for
vulnerability reduction
# of line
ministry
0 0 1 3 5 5 Annual Annual
assessment5 by
Bank team and
UCP DPC
MICT
UCP DPC
MICT
During project
implementation, the
preliminary TAP
assessment would
ascertain demand among
line ministries and
provide assistance to
develop an action plan.
Indicator Two:
Share of population
living in a municipality
with a certified CCPC
(Comité Communal de
Protection Civile)
X
% of
population
20% 25% 30% 35% 40% 40% Annual UCP-
DPC/MICT
UCP-
DPC/MICT
Access to the emergency
network is defined by
living in a municipality
that has a certified and
fully operational CCPC
with certified volunteers
Indicator Three:
Number of cumulative
road closure days per
year
# of
closure
days
To be defined
under project
TBD <100 <75 <50 <25 Annual UCE/MTPTC
operational
report
UCE/MTPTC The backbone road
network vulnerability
assessment to be
completed under the
project would define the
baseline, along with
inputs from the
MTPTC’s regional
offices
INTERMEDIATE RESULTS
5 Methodology for the assessment to be developed by the Project, including assessment of the number of Ministries receiving training and of their capacities on a
scale of 1 to 10.
25
Component 1 Level Result – Natural Hazard Risk Assessment and Analysis
Intermediate Result
indicator Co
re
Unit of
Measure Baseline
Cumulative Target Values**
Frequency Data Source/
Methodology
Responsibility
for Data
Collection
Notes
Intermediate Result
indicator one: Number
of technical assistance
days completed
Days 0 200 400 600 800 1000 Annual Annual
assessment by
consultant firm
Consulting Firm
and UCP MICT
Number of days training
is delivered to line
ministry officials.
Consultants would be
based in line-ministries
to train and mentor
selected staff.
Intermediate Result
indicator one: Number
of ministry officials
benefitting from TAP
program training
# of
People
To be defined
under the
project
Annual Annual
assessment by
consultant firm
Consulting Firm
and UCP MICT
Number of days training
is delivered to line
ministry officials
Component 2 Level Result – Support to Disaster Preparedness and Emergency Response
Intermediate Result
indicator Co
re
Unit of
Measure Baseline
Cumulative Target Values**
Frequency Data Source/
Methodology
Responsibility
for Data
Collection
Notes
Intermediate Result
indicator one: Number
of civil protection staff
trained and certified
1,100 1,100 1,400 1,700 2,000 2,300 Annual UCP-
DPC/MICT
UCP-
DPC/MICT
Number of staff at
central, departmental and
municipal levels that
would successfully
complete DPC training
program and received
certification
Intermediate Result
indicator two: Number
of operational
Municipal Civil
Protection Committees
73 73 100 120 144 144 Annual UCP-
DPC/MICT
UCP-
DPC/MICT
A CCPC is defined to be
operational after
receiving certification
from DPC, which would
be based on the number
of staff that have been
certified to have
completed the DPC
training programs
26
Component 3 Level Result – Rehabilitation of Vulnerable and Damaged Critical Transport Infrastructure
Intermediate Result
indicator Co
re
Unit of
Measure Baseline
Cumulative Target Values**
Frequency Data Source/
Methodology
Responsibility
for Data
Collection
Notes
Intermediate Result
indicator one: Roads
km rehabilitated (rural
and non-rural)
km 0 TBD TBD TBD TBD TBD Annual UCE/MTPTC
operational
report
UCE/MTPTC This indicator measures
the cumulative number
of kilometers of all roads
reopened to motorized
traffic, rehabilitated, or
upgraded under the
project
Intermediate Result
indicator two: Number
of new bridges built and
repaired with
satisfactory technical
standards
# 0 0 2 3 4 5 Annual UCE/MTPTC
operational
report
UCE/MTPTC The design and
preparation of bidding
documents for these
works, as well as the
supervision of their
execution, would be
undertaken by
international firms
Intermediate Result
indicator three Number
of spot interventions to
protect the local access
executed with
satisfactory
technical standards
# 0 TBD TBD TBD TBD TBD Annual UCE/MTPTC
operational
report
UCE/MTPTC This would include
repairs, reinforcement
and construction of small
civil works, river
crossings and road
sections
27
Annex 3: Summary of Estimated Project Costs
THE REPUBLIC OF HAITI
Disaster Risk Management and Reconstruction Project
Component 1- Natural Hazard Risk Assessment and Analysis 3,500,000
Component 2- Support to Disaster Preparedness and Emergency Response 14,500,000
Institutional Development of the Directorate of Civil Protection and Expansion of its
CCPC Network 6,000,000
Communication Network and Decision-Support System 2,000,000
Pilot emergency shelter rehabilitation and construction 6,500,000
Component 3- Rehabilitation of Vulnerable and Damaged Critical Transport
Infrastructure 37,000,000
Institutional Strengthening and Capacity Building 2,250,000
Critical Spot Interventions and Reconstruction Investments in Transport Infrastructure 31,250,000
Investments to Protect the Local Access to the Main Road Network 3,500,000
Component 4- Emergency Response and Recovery 1,000,000
Component 5- Project Management and Implementation Support 4,000,000
Disaster Risk Management and Reconstruction Project
Project Development Objective(s)
The Project Development Objective is to support the Recipient in improving disaster response capacity and enhancing the resiliency of
critical transport infrastructure.
PDO Level Results
Indicators:
1. Line ministry developing an action plan for vulnerability reduction
2. Share of population living in a municipality with a certified CCPC (Comité Communal de Protection Civile)
3. Number of cumulative road closure days per year is fewer than twenty five along the corridors where the
physical investments are implemented
Risk Category
Risk
Rating
Risk Description Proposed Mitigation Measures
Project Stakeholder Risks
High
Moderate
Borrower Interest
Donor Relations
The Project’s key counterparts are not political
appointees and close collaboration would thus be
maintained with the PIUs, UCE-MTPTC and UCP-
DPC. Furthermore, technical and policy notes
would be prepared to inform the new appointees on
how the Bank is supporting their institution.
The Bank has engaged in active dialogue during
project preparation with major donors (including
IDB, EU and UNDP) in both DRM and
infrastructure sectors to ensure good donor relations
and avoid duplications of efforts. The Bank would
continue this regular dialogue during supervision and use the Groupe Sectoriel Transport and the
DPC as the coordination entities with the other
29
Moderate
Direct Stakeholder – Beneficiaries
DRM and infrastructure focused-donors, and NGOs
where necessary.
The CCPCs trained under the ERDMP relied on
heavy community involvement, coordination and
discussion. The proposed Project would follow the
same method so as to avoid potential spoilers.
Implementing Agency Risks
High
Substantial
Substantial
Capacity of Implementing Agencies
Capacity of DPC
Capacity of CCPCs
The proposed activities would be implemented by
implementing agencies with a satisfactory track
record in managing IDA funds. The Bank would
work closely with UCP-DPC and UCE- MTPTC to
provide the requisite support during
implementation and supervision. Component 5
would finance institutional support and capacity
development for project management and
implementation, including training, staffing and
project development activities associated with
project execution. Resources are still available, if
necessary, to hire additional procurement, financial
and technical staff to support the implementation of
all components.
The proposed Project would be implemented, in
part, by the UCE and UCP whose capacities to
support the MTPTC and the DPC-MICT in times of
crisis have improved substantially in recent years,
with activities under the project aimed at enhancing
this emergency operational capacity, including
early warning system trainings. The proposed
Project would also support the crisis management
unit within the MTPTC to boost the Ministry’s
institutional capacity to manage and reduce
vulnerability to adverse natural events.
Activities to be financed under Component two
would provide support in the form of training and
capacity building of CCPCs to further enhance their
preparation and response capacity.
30
Moderate
Substantial
Moderate
Effective Procurement Implementation
Implementing Agency Coordination
Transparency and Controls
Procurement activities would be carried out by
UCP-DPC and UCE-MTPTC, both of which are
already satisfactorily managing procurement under
ERDMP, EBRVRP, TTDP and IIERP. Bank
supervision in this area would be thorough,
additional training and possible staff would be
financed for the PIUs, if deemed necessary.
UCE-MTPTC and UCP-DPC have developed a
successful working relationship under IIERP and
financing has been allocated to build their project
management capacities. The proposed Project was
developed in close consultation with both PIUs
who would assume full ownership over their
respective components, have a vested interest in
achieving the PDOs, and have maintained a strong
working relationship with the Bank on previous
projects.
Furthermore, they will actively provide information
on their websites on availability of bidding
documents, contract awards and other relevant
information.
Bank supervision would be intensified, as well as
the use of technical and/or operational audits
whenever necessary. Additionally, through its
governance program, the Bank is supporting the
strengthening of the procurement and public
financial management policies and procedures.
The Anti Corruption Guidelines and the Fraud and
Corruption Clauses (version October 2006 with
revision January 2011 version) will be applied in
the framework of the proposed Project
Project Risks
Design
Moderate
Inappropriate Project Design
The project would hire experienced engineering
firms to prepare designs and integrate improved
31
Moderate
Substantial
Intervention Area
Implementation/Institutional Arrangement
Complexity
technical standards for major works, including
roads and bridges, and would promote preventative
maintenance of infrastructure. Reinforced design
and construction standards would be applied and
particular attention would be given to both the
infrastructure and the immediate environment (soil
stabilization, protection of river banks against
erosion).
Project team and PIUs would work closely with
national and municipal actors, including heavy
consultation at the municipal level to ensure that
choice areas are elected transparently. Primary
infrastructure works have been pre-identified in the
South along 3 main transit corridors based upon the
principle of greatest loss avoidance. Other works
would be identified based on an agreed upon select
criteria and on third-party recommendations.
The UCP-DPC and UCE-MTPTC have developed a
successful working relationship under IIERP, and
would maintain open channels of communication
during implementation to ensure appropriate
sequencing of project activities and balanced,
timely implementation. Close follow-up on
implementation would occur on more frequent
Bank supervision missions.
Social and
Environmental
High
Limited Safeguards Implementation and
Supervision Capacity
The UCE-MTPTC has a social specialist in place to
cover safeguards aspects of Bank projects and an
environmental specialist would be hired to provide
further assistance with environmental aspects.
Following the earthquake, despite the emergency
situation, E&S safeguards measures were
successfully applied in other Bank projects.
Experiences and instruments developed for the
ERDMP/EBRVRP/TTDP/IIERP projects would
also be consulted.
32
Moderate
Moderate
Ecological Degradation
Involuntary Resettlement
The Bank also collaborates closely with other
donors (IDB) on both these aspects. For example, a
joint Bank/IDB social and environmental
safeguards workshop was organized in September
2010 to raise the importance of these issues with
the GoH and discuss their integration in all
projects.
The project team and PIUs would work with
ongoing initiatives to ensure reconstruction
materials are procured from existing and reputable
firms.
Resettlement is not envisioned under this project.
However, the project would prepare a Resettlement
Policy Framework that provides principles and
guidance on involuntary resettlement and micro-
scale resettlement programs within the project
target areas. The PIUs, in collaboration with the
Bank team, would also ensure that sufficient and
appropriate capacity is transferred to implementing
partners on the ground to manage the application of
social and environmental safeguards adequately.
Overall, project would be a category B project.
Program and Donor
Moderate Donor Coordination The Bank has engaged in active dialogue during
project preparation with major donors (including
IDB, EU and UNDP) in both DRM and
infrastructure sectors to ensure good donor relations
and avoid duplications of efforts. The Bank would
continue this regular dialogue during supervision
and use the Groupe Sectoriel Transport and the
Directorate of Civil Protection as the coordination
entities with the other DRM and infrastructure
focused-donors, and NGOs where necessary.
Annex 15 highlights other donor-financed activities
in the DRM and transport sectors.
33
Delivery Quality
Substantial
Quality of Rebuilt Infrastructure Infrastructure works would be selected based on
heavy consultations with national and municipal
actors and based on the principle of greatest loss
avoidance. Close follow up of implementation
would be performed through more frequent Bank
supervision missions to ensure Bank standard
quality.
Overall Risk Rating at Preparation
Overall Risk Rating During Implementation
Comments
High High The overall risk rating is high driven largely by
technical and fiduciary capacity weaknesses and more
generally governance issues in Haiti.
34
Annex 5: Financial Management and Disbursement Arrangements
THE REPUBLIC OF HAITI
Disaster Risk Management and Reconstruction Project
1. The UCP-DPC and the UCE-MTPTC would be responsible for the financial management
of the project. The UCP-DPC would be responsible for the financial management of
Components 1, 2, and 5.1. The financial management of Component 3, 4 and 5.2 would
be the responsibility of the UCE-MTPTC. The overall financial situation of the project
would be consolidated by UCP-DPC following procedures that would be documented in
the Operations Manual.
Budgeting
2. The grant agreement and project cost tables would be the main inputs for the project
budgets. The UCP-DPC would follow prescribed governmental budgetary heads and
would prepare at least:
(a) the annual work plan classified by work lines, with goals/objectives, physical and
financial programs;
(b) the budget proposal specifying the sources of funds, the summarized and detailed
expenditures by major areas, accounts, and specific objects;
(c) the semi-annual report on evaluation of budgetary execution to be issued within 45
days after the end of the six month period in question.
Financial Management Risk Assessment
3. The findings of the financial management capacity assessment carried out during project
preparation by IDA are taken into account in the arrangements proposed below. The key
risks that UCP-DPC and UCE-MTPTC may face in achieving its objectives emanate from
the weak capacity for financial management generally in Haiti. The experience that UCP-
DPC has in implementing Bank-financed projects in addition to the additional Fiduciary
Specialist that would be engaged would help mitigate these risks. UCP-DPC would
ensure that staffing arrangements continue to be adequate throughout the implementation
period.
Flow of Funds and Disbursement Arrangements
4. Disbursements would be made in accordance with the procedures outlined in the
Disbursement Handbook for World Bank Clients. The flow of funds for this project calls
for Grant funds to be channeled to the project through two Designated Accounts
denominated in US Dollars to be opened in a commercial bank on terms and conditions
acceptable to IDA. Designated Account A would be operated by UCP-DPC to finance the
activities of components 1, 2 and 5.1; while Designated Account B would be operated by
UCE-MTPTC to finance the activities of components 3, 4 and 5.2. Initial advances to the
Designated Accounts of the UCP-DPC and UCE-MTPTC would be ten percent of the
Financing agreement amount – i.e respectively SDR 1.87 million (US$ 3 million) for
Designated Accounts A and B. Disbursements would be made on the basis of Statement
of Expenditures (SOEs). The Designated Accounts A and B would be audited annually in
conjunction with the audit of the project financial management statements. In addition,
35
reasonable transaction charges related to direct payments financed through the Designated
Accounts are considered as eligible for reimbursement.
5. The Direct Payment, Reimbursement and Special Commitment method would also be
retained as disbursement options. Under the Direct Payment method, and at the request of
UCP-DPC or UCE-MTPTC, direct payments may be made by the Bank to contractors
based on the requirements as specified in the Manual of Operations. The minimum
application size for direct payment, reimbursement and special commitment would be the
equivalent of 20 percent of the Advance ceiling amount respectively for Designated
Accounts A and B.
Figure 1: Flow of Funds
Statement of Expenditures - SOEs:
6. Necessary supporting documents would be sent to the Bank in connection with contracts
that are above the prior review threshold, except for expenditures under contracts with an
estimated value of (a) US$ 1,000,000 or less for Works, (b) Goods US$ 150,000 or less,
(c) consulting firms US$ 100,000 or less and (d) for individual consultants, operational
costs or training US$ 50,000 or less would be claimed on the basis of SOEs. The
documentation supporting expenditures would be retained at the UCP-DPC and UCP-
MTPTC and would be readily accessible for review by the external auditors and periods
Bank supervision missions. All disbursements would be subject to the conditions of the
Financing Agreement and disbursement procedures as defined in the Disbursement Letter.
Reporting of Grant Proceeds:
7. Supporting documentation should be provided with each application for withdrawal as set
out below:
8. For requests for Reimbursement and for reporting eligible expenditures paid from the
Designated Account:
IDA - Washington
Grant Account
Direct
Payments Withdrawal
applications
UCE-MTPTC
Designated Account
International & National Goods/Service
/Work Providers, NGOs, Financial Agents
Withdrawal
applications
UCP-DPC
Designated Account
36
(a) SOE
9. For requests for Direct Payment:
(b) Records evidencing eligible expenditures, e.g., copies of receipts, supplier
invoices.
(c) Frequency of Reporting Eligible Expenditures paid from the Designated Account
would be as needed.
Accounting Systems, reporting and auditing
10. Accounting. The UCP-DPC is currently using the ACCPAC accounting systems for
accounting of development projects, which would be adequate to prepare timely financial
reports for the project. For Bank monitoring purposes, the UCP-DPC would report on
detailed information at the project level, specifically the advances to the Designated
Accounts and the use of those advances (expenditures) classified by activity/
subcomponent and disbursement category.
11. Reporting. Consolidated IFRs would be prepared every six months (following the
periodicity of the activity report) by UCP-DPC reflecting all components of the project
and submitted to IDA no later than 45 days after the closing of the period. The IFRs
would include financial information and form part of the detailed project reports due semi-
annually. In addition to the consolidated IFRs, UCP-DPC and UCE-MTPTC would
prepare separately, annual financial statements reflecting the financial transactions for the
respective special accounts they manage. The statements would include a statement of
sources and uses of funds as well as the schedule of SOEs, and a reconciliation of their
respective Designated Accounts.
12. Auditing. The consolidated IFRs and project financial statements would be audited
annually, in accordance with International Standards on Auditing, by independent auditors
and in accordance with TOR both acceptable to IDA. The auditors would be contracted
no later than six months after grant effectiveness.
37
Table 1: Project Financing Table by Disbursement Category
Category
Amount of the
Financing Allocated
(expressed in US$)
Percentage of
Expenditures to be
Financed (inclusive of
taxes)
1. Goods, non- consultant services,
consultants’ services, and training for
Part 1 of the Project
3,500,000 100%
2. Goods, works, Non-consultant
services, consultants’ services and
training for Part 2 of the Project
14,500,000 100%
3. Goods, works, non-consultant
services, consultants’ services, and
training for Part 3 of the Project
37,000,000 100%
4. Goods, works, non-consultant
services, consultants’ services and
operating costs for Part 4 of the Project
1,000,000 100%
5. Goods, non-consultant services,
consultants’ services, operating costs
and audit fees for:
Part 5.1 of the Project 2,555,000 100%
Part 5.2 of the Project 1,445,000 100%
TOTAL AMOUNT 60,000,000 100%
38
Annex 6: Procurement Arrangements
THE REPUBLIC OF HAITI
Disaster Risk Management and Reconstruction Project
1. Procurement Arrangements: Procurement for the proposed Project would be carried out
in accordance with World Bank "Guidelines: Procurement of goods, works and non-
consulting services under IBRD Loans and IDA Credits and Grants", dated January 2011;
and "Guidelines: Selection and Employment of Consultants under IBRD Loans and IDA
Credits and Grants by World Bank Borrowers" dated January 2011, the emergency
procedures described in OP/BP 8.00, and with the provisions of the Financing Agreement.
For each contract to be financed by the Grant, the various procurement methods or
consultant selection methods, the need for pre-qualification, estimated costs, prior review
requirements and timeframe have been agreed upon by the Recipient and the Bank and
recorded in the Simplified Procurement Plan. While some contracts are subject to
post-review, the Recipient will required to follow the Bank’s procurement procedures and
the IDA will conduct routine procurement supervision missions, to ensure that the
procedures are being respected.
2. Procurement of Works: Works to be procured under the proposed Project would include,
inter alia: (i) for Component 2: the rehabilitation and construction of emergency shelters
and a new National Civil Protection Training Center; and (ii) for Components 3 and 4: the
rehabilitation and reconstruction of damaged and vulnerable transport infrastructure,
including: repairs of critical points of infrastructure damaged by adverse natural events
and completion of new works to support an all-weather transportation network. The
procurement would be done using the Bank’s standard bidding documents (SBD) for all
international competitive bidding (ICB), SBD satisfactory to the Bank for other
procurement methods, and Force Account in accordance with paragraph 3.9 of the Bank’s
Procurement Guidelines with prior IDA approval.
3. Procurement of Goods: Goods to be procured under the project would include, inter
alia: (i) information technology equipment for component 1; (ii) communication, early
warning/alert and emergency preparedness equipment for component 2; (iii) material,
small tools and gasoline for simple and labor intensive works to be executed by the
DDTPs, as well as project implementation equipment and vehicles for component 3, (iv)
humanitarian response and recovery goods for component 4; and (v) project supervision
equipment and vehicles for component 5. The procurement would be done using the
Bank’s SBD for all ICB and SBD satisfactory to the Bank for other procurement methods.
4. Selection of Consultants: Consultants services are expected to be required for the
Project, inter alia: (i) to prepare technical studies and supervision works under component
2; and (ii) to carry out a number of sector studies, technical assistance, technical audits,
and social and environmental assessments under components 1, 2 and 3, as well as
capacity building activities and training. A number of these activities may be carried out
by individual consultants or by NGOs or by consulting firms. Short lists of firms for
services estimated to cost less than US$100,000 equivalent per contract may be composed
entirely of national consultants in accordance with the provisions of paragraph 2.7 of the
Consultant Guidelines.
5. Operating Costs. These costs would include consumable goods required to implement
the project and other expenditures related to maintenance of office equipment, salary and
39
per diem, transport and logistics, as well as the costs of conducting supervision and
training. These items would be procured using the agency’s administrative procedures,
which were reviewed and found acceptable to the Bank.
6. Assessment of the Agencies’ capacity to implement Procurement. Procurement
activities would be carried out by both the UCP-DPC, which is already managing
procurement for the IDA financed Emergency Recovery and Disaster Management project
(ERDMP), and by the UCE-MTPTC, which is currently managing the IDA financed
Transport and Territorial Development Project the Emergency Bridge Reconstruction and
Vulnerability Reduction Project and the Institutions and Infrastructure Emergency
Recovery Project. The Bank’s assessment of UCP-DPC’s capacity to implement
procurement actions for this project is based on that institution’s satisfactory performance
to date in implementing the ERDMP project. In order to supplement the capacity of the
existing project unit, the UCP-DPC would hire an additional Fiduciary Specialist for the
new project. By the same token, the UCE-MTPTC project unit has been performing well
as the implementing agency for the two projects mentioned above and is fully familiar
with the requirements of Bank procurement policy. Nonetheless, given the larger scale of
the new operation, the UCE-MTPTC would also hire an additional Procurement Specialist
to strengthen their procurement capacity.
7. While both the UCP-DPC and UCE-MTPTC procurement teams are well equipped to
execute procurement according Bank guidelines, the overall public procurement system in
Haiti remains relatively weak. Despite recent reforms in the legal and institutional
framework for procurement, there is still a lack of skilled personnel with knowledge of
international norms, limited planning and contract management capacity, and insufficient
use of standard documents and procedures. Consequently, the overall project risk for
procurement is assessed as high.
8. Procurement Plan, Thresholds for Procurement Methods and Bank Review. A
tentative Simplified Procurement Plan (SPP) for implementation of the project was agreed
between the Recipient and the Bank in July 2011 and is included below in Table 2. The
plan would be updated at least twice a year or as required to reflect the actual project
implementation needs and improvements in institutional capacity. The recommended
thresholds for the use of the procurement methods specified in the Financing Agreement
are identified in Table 1 below. Supervision of procurement would be carried out
primarily through prior review supplemented by supervision missions at least twice a year.
40
Table 1: Thresholds for Procurement Methods and Prior Review
Expenditure
Category
Contract Value (Threshold)
US $ thousands
Procurement
Method
Contracts Subject to
Prior Review *
1. Works
>1,000 ICB All
100-1,000 NCB All
<100 Shopping All
Regardless of value Direct Contracting All
Regardless of value UN Agencies All
25 - 100 Shopping All
< 25 Shopping None
2. Goods, Supplies and
Equipment
>100 ICB All
25-100 NCB All
<25 Shopping All
Regardless of value Direct Contracting All
Regardless of value UN Agencies All
< 20 Shopping None
3. Consulting
Services
- 3.A Firms/NGOs
Regardless of value QCBS, QBS, FBS, LCS All
<100 CQS All
Regardless of value Single Source All
Regardless of value UN Agencies All
< 50,000 In accordance with Chapter
V of Consultant Guidelines
In accordance with
paragraph 5.4 of
Consultant Guidelines
- 3.B Individuals Regardless of value Comparison of 3 CVs in
accordance with Chapter V
of the Guidelines
All
* In Haiti, all contracts are subject to prior review. However, exceptions are being considered (currently under
discussion) and in case Bank’s procurement procedures change during the years of implementation, they would
automatically apply to the proposed Project.
Abbreviations:
ICB = International Competitive Bidding QCBS = Quality- and Cost-Based Selection
NCB = National Competitive Bidding QBS = Quality-Based Selection
DC = Direct Contracting FBS = Fixed Budget Selection
LCS = Least-Cost Selection SSS = Single Source Selection
CQS = Selection Based on Consultants' Qualifications
A tentative SPP has been prepared for the project, with suggested activities for the first six
months of project implementation. The proposed SPP is presented below (See Table 2).
41
Table 2: Simplified Procurement Plan
Component 1- Natural Hazard Risk Assessment and Analysis Contract Type Amount Procurement method Estimated date of award TAP Consultancy Consult. TBD TBD ND Data Management Goods Goods TBD TBD ND Data Acquisition Services Consult. TBD TBD ND
Component 2- Support to Disaster Preparedness and Emergency Response Institutional Development of the DPC and Expansion of its CCPC Network (Subcomp. 2.1) Revision of National Training Program and Training of Trainers Consult. TBD ND Training of 140 CCPC Consult. TBD ND First Responder Equipment & Uniforms Goods ICB ND Preparation of Community Mapping Methodology & Training Program Consult. CQS ND Survey Equipment for Community Mapping Goods Shopping ND SIMEX Consult. CQS ND Technical Support to National DPC Training & CCPC Coordinators Consult. TBD ND Advisory Services Consult. TBD ND Multi-Purpose Training Center for DPC Works ICB ND Communication Network and Decision-Support System (Subcomp. 2.2) Preparation and dissemination of communication protocols Consult. 100,000 CQS ND Feasibility study for community based early warning and communication system Consult. 125,000 TBD ND Early warning and communication equipment Goods 1,075,000 ICB ND Training of 140 CCPC on use of early warning and communication equipment Consult. 700,000 TBD ND Shelter Rehabilitation and Construction (Subcomp. 2.3) Shelter Assessment Consult. 100,000 CQS ND Design & Supervision of rehabilitation and construction Consult. 550,000 TBD ND Shelter rehabilitation and construction Works 5,850,000 ICB ND
TBD (Total of 6,000,000)
42
Component 3- Rehabilitation of Vulnerable and Damaged Critical Access Infrastructure
Institutional strengthening and capacity building (Subcomp. 3.1)
Study of national primary and secondary road network vulnerability and identification of critical points Consult. 250,000 TBD Mar-12
Development of construction and rehabilitation guidelines for Haitian transport infrastructure Consult. 200,000 TBD ND
Elaboration of training modules for guidelines and training Consult. 100,000 CQS ND
Printing and copying of guidelines Goods 50,000 Shopping ND
Training of MTPTC personnel for rapid post-disaster damage assessments Consult. 50,000 CQS or SSS ND
Consultant services for rapid post-disaster damage assessments Consult. 200,000 Comparison of 3 CVs ND
Provision international technical experts Consult. 400,000 TBD ND
Equipment and operating costs for MTPTC's maintenance service Goods 100,000 TBD ND
Training and consultant services for MTPTC's maintenance service Consult. 300,000 TBD ND
Equipment and operating costs for FER Goods 100,000 TBD ND
Training and consultant services for FER Consult. 50,000 CQS ND
Equipment and operating costs for MTPTC's regional offices (DDTPs) - Great South, including Thiotte district Goods 450,000 TBD ND
Consultant services for MTPTC's regional offices (DDTPs) - Great South Consult. 300,000 TBD ND
Vehicles (6) Goods 150,000 Shopping or NCB ND
Construction of MTPTC district office in Thiotte Goods 300,000 ICB ND
Critical consolidation and reconstruction investments in transport infrastructure (Subcomp. 3.2)
Transport infrastructure work (repair, construction, protection work, etc..) Works ND
Supervision of transport infrastructure work Consult. ND
Design studies or assessments or other consulting services Consult. ND
Operating costs Goods ND
Investments to protect local access to main road network (Subcomp. 3.3)
Consultant for prioritization exercise related to the identification of works Consult. 300,000 TBD ND
Identified works (to be identified by the prioritization process) Works 3,000,000 TBD ND
Component 4- Emergency Response and Recovery
Emergency response and recovery Goods 0 TBD ND
Emergency response and recovery Works 0 TBD ND
Emergency response and recovery Services 0 TBD ND
Component 5- Project Management and Implementation Support
Goods for implementing agencies Goods 1,595,000 TBD ND
Consulting services for implementing agencies Consult. 2,405,000 TBD ND
Audits Consult. 200,000 QCBS Mar-12
TBD (total of
30,700,000)
ICB, QBS, QCBS, NCB,
Shopping, SSS, DC,
CQS, or UN Agencies
43
Annex 7: Implementation and Monitoring Arrangements
THE REPUBLIC OF HAITI
Disaster Risk Management and Reconstruction Project
1. Overall project implementation will be coordinated by the MICT’s DPC. The DPC benefits
from dedicated support provided by a project coordination unit (UCP). The UCP-DPC has
extensive experience supporting the implementation of Bank financed projects. The unit
currently has a Project Coordinator, a Procurement Specialist, and a Financial Management
Specialist and an Assistant Project Coordinator / M&E Specialist to implement the project.
The unit may be augmented with an additional Fiduciary Specialist, a Communication
Specialist, a Team Assistant and a full-time Monitoring and Evaluation Specialist.
Project Implementing Agencies
2. The two project implementing agencies described below would be engaged to implement the
proposed Project. Both agencies are established Bank project implementation partners and
since the 2010 earthquake have recovered their operational capacities.
3. The UCP-DPC would be responsible for the implementation of Components 1, 2 and 5.1 of
the project. They would also be responsible for overall project reporting responsibilities.
The UCP-DPC has experience managing Bank-financed disaster risk management projects,
including the ERDMP.
4. The UCE-MTPTC would be responsible for the implementation of Components 3, 4 and 5.2
of the project. This unit has experience managing other Bank-financed infrastructure
projects. While the UCE-MTPTC has been successful in assuming the fiduciary
responsibility associated with these operations, it has demonstrated a limited capacity in
handling technically complex interventions under a tight schedule. However, the UCE-
MTPTC remains the best available alternative to manage transport investments within
MTPTC. A firm would be hired to prepare bidding documents for major works and
supervise execution.
Implementation Details by Component
5. For the purposes of this Annex, project implementation is defined as fiduciary responsibility
for the component - such as procurement, financial management and monitoring – and the
application the Bank’s anti-corruption guidelines, while project execution is defined as the
technical inputs required, such as drafting terms of reference, etc.
6. Component 1: Through a comprehensive technical assistance program supported by the
EBRVRP (P114292), the Ministry of Planning’s Vulnerability Reduction Unit (Cellule de
Réduction de Vulnérabilité - CRV) is positioned with the technical capacity to support the
implementation the TAPs program and to analyze sophisticated hazard and vulnerability
maps. Therefore, project activities would be implemented by the UCP-DPC, while CRV
would be responsible for supporting the beneficiary line ministries with project execution.
44
7. Component 2: The DPC would be the beneficiary of this component, which aims to
strengthen the institutional and technical strength of the DPC, particularly at the municipal
level. Therefore, project execution and implementation would be managed by UCP-DPC.
8. Component 3: The MTPTC would be the beneficiary of this component, which aims
rehabilitate damage and vulnerable critical transport infrastructure. Therefore, project
execution and implementation would be managed by UCE-MTPTC.
9. Component 4:, In an event of an emergency, the recipient will: (a) clearly establish a causal
relationship between the relevant emergency and the need to withdraw the proceeds of the
Grant; and (b) prepare and submit to the Bank a list of potential emergency recovery
activities, including a procurement plan and implementation arrangements for the proposed
emergency recovery activities. The emergency recovery activities will be implemented by
the UCE-MTPTC.
Monitoring and Evaluation Arrangements
10. The monitoring and evaluation system that would be strengthened is designed to assess
whether or not the proposed Project is being implemented in line with the proposed
objectives and to ensure fulfillment of agreed targets. Detailed progress reports would be
prepared by the UCP-DPC on a semi-annual basis and submitted to the Bank. The UCP-DPC
would be responsible for collecting the information related to component 3 from the UCE-
MTPTC. The detailed progress reports would be submitted no later than 45 days after the
end of the period. The reporting periods are as follows: (i) October 1 to March 31; and (ii)
April 1 to September 30.
11. These detailed progress reports should indicate the progress made under the different
components of the proposed Project and measure performance against the results indicators
established in the Results Framework (Annex 2). In addition, the detailed progress reports
would include information regarding: (i) disbursement performance over the period and an
updated disbursement calendar; (ii) a procurement report for the period in question, and an
updated procurement plan for the activities under each component for the subsequent six
months; (iii) overall progress in the implementation of the proposed Project identifying, inter
alia, potential development that could affect project implementation, which should consist of
a review of the main risk and the impact of the mitigation measures envisages at appraisal
(see Annex 4); and (iv) and annual operation plan for the following year presented in the
second semi-annual detailed progress report.
12. Collaboration arrangements between the UCP-DPC, the UCE-MTPTC and the participating
decentralized ministerial entities (i.e. DDTP, CCPC) for monitoring of relevant outcome
indicators and intermediate indicators would be included in the Operational Manual (OM).
The OM would provide specific reporting procedures, templates and monitoring and
evaluation responsibilities at the decentralized and national levels.
45
Annex 8: Project Preparation and Appraisal Team Members
THE REPUBLIC OF HAITI
Disaster Risk Management and Reconstruction Project
Activity Planned Actual
Appraisal July 4, 2011
Negotiations August 30, 2011
Board Approval December 1, 2011
Planned Date of Effectiveness January 1, 2012
Planned Date Mid-Term Review January 1, 2014
Planned Closing Date December 31, 2016
Name Title Unit
Fabio Pittaluga Sr. Social Development Specialist LCSSO
Gaetano Vivo Disaster Risk Management Analyst GFDRR
Hassine Hedda Finance Officer CTRFC
Edith Mwenda Sr. Counsel LEGAF
Jean-Martin Brault Consultant LCSUW
Luis Aviles Junior Professional Associate LCSUW
Michel Matera Sr. Disaster Risk Management Specialist GFDRR
activities will however largely take place in southern Haiti, which is the area most affected
by adverse natural events. The specific road networks to be repaired are not yet selected and
will be screened and identified by the MTPTC.
2. The safeguards policies that are triggered are summarized below:
Summary of Key Safeguard Issues
3. Emergency procedures (OP/BP 8.00). The project is being processed under emergency
procedures. Under these guidelines, the preparation of impact assessments and safeguards
instruments (when necessary), along with disclosure of documents, will be finalized
following Board approval. Prior to Decision Meeting, some draft TORs have been prepared
for the preparation of the ESMF/RFP. The ESMF/RPF will be finalized within 6 months
following effectiveness date and will elaborate all impacts, along with mitigation measures
and appropriate monitoring.
4. Environmental Assessment (OP/BP 4.01). The project is considered Category "B", and OP
4.01 is triggered. All works will focus on rehabilitation and reconstruction of infrastructure
damaged during adverse natural events, which are expected to be small and medium scale,
generating only minor and localized environmental impacts that can be easily identified,
Safeguard Policies Triggered Yes No
Environmental Assessment (OP/BP 4.01) X
Natural Habitats (OP/BP 4.04) X
Forests (OP/BP 4.36) X
Pest Management (OP/BP 4.09) X
Physical Cultural Resources (OP/BP 4.11) X
Indigenous Peoples (OP/BP 4.10) X
Involuntary Resettlement (OP/BP 4.12) X
Safety of Dams (OP/BP 4.37) X
Projects on International Waterways (OP/BP 7.50) X
Projects in Disputed Areas (OP/BP 7.60) X
47
mitigated and managed. No large scale, significant and/or irreversible impacts are expected.
Overall, the expected environmental impacts are mostly associated with the construction
phase of the rehabilitation works, and include debris management, including disposal, worker
safety, noise control, use of hazardous materials, dust, soil erosion etc. As mentioned in the
ISDS, the environmental and social impact of the Project is expected to be limited because
the works are small in scale and the Project will adequately screen to ensure these works do
not occur in environmentally sensitive sites. To ensure that all possible impacts are
mitigated, an ESMF will be prepared under O.P 8.0 within 6 months of effectiveness. Any
negative impact will be mitigated and the environmental specialist will follow up regularly
with reports on the environmental aspects of the Project and implementation of the ESMF.
The ESMF will detail the type of training and capacity building required for environmental
specialists as well as mitigation measures, monitoring, reporting and supervision that the
environmental specialist and Project implementing unit will undertake to ensure that there is
minimal or no negative environmental impact. In addition, the Bank will undertake regular
supervision missions that will include environmental supervision.
5. Works to be financed by the project. Works will be identified and selected during project
implementation. The team has already drafted a list of damaged assets located in South, in
consultation with the GoH, after the latest adverse natural events. The list will be prioritized
depending on the most urgent needs to date and some of the works financed by the project
will depend on the upcoming adverse natural events. The majority of investments will
finance the rehabilitation of existing transportation network infrastructure, based on the
principle of greatest loss avoidance and will generally focus on rehabilitating damaged assets
before they fall to a level beyond repair.
6. Physical cultural resources (OP/BP 4.11). Given the project's main focus on rehabilitating
existing infrastructure, no impacts to physical cultural resources are anticipated during
project implementation. However, the policy on "Physical Cultural Resources" (OP 4.11)
has been triggered as a precaution. The ESMF/RPF will include screening mechanisms for
physical cultural resources as part of the environmental screening process for subprojects,
and "chance find" procedures will be included in all works contracts. The Project
Operational manual, to be prepared for Grant effectiveness, will be updated, once the ESMF
is complete, to include a summary of the ESMF and the relevant screening and other
checklists.
7. Involuntary resettlement (OP/BP 4.12). Works financed under the project are envisioned
to be focused on the repair of existing infrastructure mainly. Moderate impacts may include
the need for temporary or permanent minor resettlement along road rights of ways. In
addition, land acquisition is a possibility if the road is broadened, extended or results in loss
of livelihoods. As a result of this, OP 4.12 is triggered and a Resettlement Policy Framework
(RPF) will be developed to guide the potential impact mitigation measures. The RPF can be
incorporated into the ESMF/RPF and will have to be finalized within the first 6 months after
approval. When needed, a Resettlement Action Plan (RAP) will be developed to address the
needs of project affected peoples. In cases where the number of individuals and/or families
to be resettled is below 200, an Abbreviated Resettlement Action Plan (ARAP) will be
prepared prior to construction.
48
8. The exact location of the specific activities to be financed will be defined during project
implementation. The ESMF/RPF will illustrate the modalities by which compliance with
OP/BP 4.12 will be ensured, and will lay out a series of processes for the identification of
resettlement impacts and the modalities by which these can be mitigated or avoided as
needed. The RPF will be based on the one that was developed for the recent CDD projects
(PRODEP, PRODEPUR, and PREKAD, also called the Neighborhood Housing
Reconstruction Project), which is applied to both rural and urban areas. The ESMF/RPF will
illustrate a clear and simple procedure to be applied to each project that is easily understood
by implementing partners.
Potential indirect and/or long-term impacts due to anticipated future activities in the
project area
9. All works will focus on rehabilitation and reconstruction of infrastructure damaged during
adverse natural events, which are expected to be small and medium scale, generating only
minor and localized environmental impacts that can be easily identified, mitigated and
managed. No large scale, significant and/or irreversible impacts are expected. Overall, the
expected environmental impacts are mostly associated with the construction phase of the
rehabilitation works, and include debris management, including disposal, worker safety,
noise control, use of hazardous materials, dust, soil erosion etc.
Describe measures taken by the borrower to address safeguard policy issues. Provide an
assessment of borrower capacity to plan and implement the measures described
10. The majority of the physical investments will be undertaken under Components 2, 3 and 4 of
the proposed Project. Component 2 will be the responsibility of the UCP-DPC. The
implementing agency for Components 3 and 4 is the UCE-MTPTC. Both UCP-DPC and
UCE-MTPTC have a history with Bank-financed projects and are experienced in
implementing and supervising the projects. Throughout the infrastructure and transport
projects, UCE-MTPTC has had experience with handling Bank safeguards, even more
intensively since the earthquake and the most recent Emergency project (Infrastructure and
Institutions Emergency Recovery Project). Although they are aware of the issues and benefit
from the experience of the implementing agencies in other ministries, UCP-DPC has less
practice in addressing environmental and social safeguard issues, with less experience in
construction/rehabilitation activities. This lack of capacity will be mitigated by the
recruitment of an environmental specialist for the project. Currently, there are already
environmental specialists at both UCE and UCP. However, the specialist at UCE has a
heavy workload with other donor projects and cannot take on another one, while the
specialist’s contract at UCP will expire in December, 2011. Therefore, the proposed Project
intends to recruit consultants (one or two) whose responsibilities would be specifically
related to environmental and social safeguard policies compliance. The recruited
environment specialist will cover all the environmental aspects for the Project. In addition, a
series of joint WB/IDB social and environmental safeguards workshops have started: the first
one was organized in September 2010 to raise the importance of these issues with the GoH,
discuss their integration in all projects and particularly address the environmental safeguard
policies. The second one is planned for the fall of 2011, with a focus on social safeguard
policies (resettlement policy frameworks). The proposed Project would benefit from this
past experience (IIERP) through training sessions and cross-learning workshops. With
49
further capacity building strengthening, both financed by the IIERP and this project, the
project should have adequate capacity for project implementation. In addition, the project
supervision team would review safeguard activities to assure compliance with Bank
requirements.
11. Lessons learned. The Bank has been financing the rehabilitation of roads and community
level infrastructure (PTDT: Projet de Transport et de Développement Territorial, EBRVRP,
IIERP, etc.). The proposed Project would incorporate these experiences and lessons learned
in the drafting of the ESMF/RPF. Training in the implementation of Bank safeguards would
be provided to UCE-MTPTC and implementing partners to ensure compliance. The
proposed Project would also benefit from the ongoing CDD Projects with regard to land
tenure issue in Haiti, which is especially unclear as a result of the earthquake. Those projects
are in the process of carrying out social assessment studies to develop better understanding of
these challenges, including a study on gender issues to assess how resettlement can affect
women differently from men. These studies would provide useful information for any case
of resettlement (in all projects). Cross-learning workshops are also planned to share the
concrete experience of CDD projects’ Project Implementing Unit in the implementation of
Bank safeguards.
12. Conflict resolution mechanisms. During the preparation and implementation phases, the
local population may have various disputes, complaints and/or grievances on a variety of
issues including inclusion of their own person/family in the census, entitlement to assistance,
or on the manner in which the assistance is provided. It is important, therefore, to have
widely disseminated, easily accessible, and well functioning conflict resolution mechanisms
in place prior to the beginning of any works under Component 3 in which people can reach a
focal point to ask questions, express a concern, file a complaint, etc. The newly recruited
social specialist at UCE-MTPTC would oversee the project grievance mechanisms.
Representatives of the local authorities, NGOs and/or consulting firms involved in the works,
may be of additional support to UCE-MTPTC in conflict resolution mechanisms.
13. Mechanisms for consultation and disclosure of key safeguards instruments. Many
citizens will be positively affected by the rehabilitation of the damaged roads. They would
benefit not only from passable roads but also from improved access to areas that were
previously difficult to access. During the preparation of the ESMF/RPF, a consultation
process will be initiated and conducted with communities, NGOs, development partners,
government and local officials to fully solicit their views. These are an important input to the
preparation of the ESMF/RPF. The final documents would be publically disclosed in-
country by the Project Implementing Agencies through their respective websites in French.
Summaries of safeguard documents would be made available in Creole as well, and the
documents would be available in a location that is publically accessible such as a school or
other convenient location. The documents would also be disclosed through the Infoshop.
Any feasibility and detailed design studies financed by this operation would also adhere to
Bank safeguard policies relating to consultation and disclosure.
Principles of the Environmental and Social Management Framework
14. In the context of an Emergency project, the ESMF/RPF needs to be simple and efficient and
designed so that it can be applied in a realistic way without neglecting the social and
50
environmental risks and the necessity to minimize those. For the proposed Project, the
policies particularly triggered are OP/BP 4.01 (Environmental assessment), OP/BP 4.12
(Involuntary resettlement) and OP/BP 4.11 (Physical cultural resources). The following
sections reflect6 the experience of the Infrastructure and Institutions Emergency Recovery
Project in particular, in which urgent road repair works, urgent public works in general
following the earthquake and in anticipation of the rainy season were undertaken –
successfully.
Fundamental principles
15. Basic principles for post-disaster reconstruction in general:7
i. The institutions in charge of the implementation of the project have a very important
role and good coordination lead to better results;
ii. Resettlement needs to be avoided or minimized; when unavoidable, the impacts must
be minimized;
iii. Civil society and the private sector can play an important role in the solutions;
iv. Having a consistent monitoring and evaluation system lead to better results;
v. Long-term development requires adopting sustainable development principles.
16. Basic principles for the ESMF/RPF: Disasters usually amplify already-existing
environmental and social challenges. The proposed Project is an opportunity to deal with
vulnerabilities, solve if not reduce them, avoid if not mitigate the negative impacts on the
populations and their environments. The approach needs to be adapted to each situation,
with a balance compromise between the urgent need for action and the mitigation of
environmental and social risks. The issues need to be understood and integrated into the
overall process (from identification stage to implementation and follow up). The
fundamental principles that need to lead the process with regard to environmental and social
safeguards include the following:
(i) Prioritize emergencies with the top ones being the ones mitigating risks and
increasing the safety and security of the populations;
(ii) Implement sustainable actions, despite the urgent aspect of the needs;
(iii)Encourage the participation of the populations and make their priorities and concerns
first;
(iv) Mitigate resettlement, disruption of economic activities, land acquisition;
(v) In case resettlement cannot be avoided, design compensation plans with proper and
thorough consultation;
(vi) Increase employment opportunities within vulnerable communities, for instance
through cash-for-work activities, encouraging gender equality;
(vii) Mitigate environmental negative impacts;
(viii) Follow national law/regulation and do impact assessments;
(ix) Strengthen institutional capacity;
(x) Communicate in French and/or Creole.
6 And are based on the documents that were produced with regard to environmental and social safeguards policies, by consultants
hired by the Government of Haiti in the framework of the emergency recovery projects. 7 Extracts from World Bank 2010 Safer homes, Stronger Communities, A Handbook for Post-Disaster Reconstruction
51
Environmental and social risk management strategy
17. Identification phase:
(i) Data collection, with supporting tools and instruments (check-lists for surveys, data
collection in the field, qualified staff and adequate time); complete census of affected
populations (how many, socio-economic characteristics, type and duration of
impacts);
(ii) Consultation work with local communities, local authorities, civil society, NGOs;
(iii)Consultation and coordination with institutions at the national and regional levels, in
order to maximize synergies and mitigate dysfunctions and loss in efficiency and in
the system;
(iv) Identification of all the risks and opportunities, short medium or long-term; however
in emergency phase only imminent risks shall be taken into account;
(v) In case of temporary or permanent land acquisition: exact identification of the area,
size, land tenure status, land use;
(vi) Identification and analysis of environmental risks (type and size);
(vii) Identification and formulation of opportunities for improvement (that could
potentially be implemented during a later project).
18. Preparation phase:
(i) In case resettlement cannot be avoided, prepare in consultation with the population,
resettlement action plans or other form of compensation plans;
(ii) In consultation with the local populations, identify appropriate mitigation strategies;
(iii)For urgent activities: the methodology for identification would be adapted to each
unique situation, leading to a compromise balanced compromise between the urgent
need for action and the mitigation of environmental and social risks;
(iv) Set up project grievance mechanism(s);
(v) Inform the local communities about the activities (objectives, implementation
strategy, duration of works, etc.);
(vi) Mobilize local human resources for the works, encouraging gender equality
(vii) Environmental impact assessment (if required by the category of project);
(viii) Environmental management plan;
(ix) Monitoring and Evaluation (M&E) systems to follow up and control the works and all
the phases;
(x) Plan special mechanisms to rectify potential deviations (from standard procedures).
19. Implementation phase:
(i) Encourage the participation of local communities in the works (for instance cash-for-
work activities);
(ii) Finalize land acquisition and compensation for resettlement in case it was not possible
during preparation phase;
(iii)Inform the population about the project, the works, with supporting communication
mechanisms established during preparation phase;
(iv) When appropriate, support livelihood restoration for affected populations;
52
(v) Plan the works so that the negative impacts on the populations are minimized, including
disruption of economic activities for surrounding communities;
(vi) Activate project grievance mechanism(s);
(vii) Implement mitigation measures, to ensure there is minimal negative impact.
Stakeholders in the implementation of ESMF/RPF:
20. Considering the capacity of UCE-MTPTC at present, the stakeholders in the implementation
of the ESMF/RFP would be organized this way:
(i) Engineering consulting firm with an environmental specialist or environmental engineer
as part of the firm or an environmental specialist as a consultant: responsible for social
and environmental impact assessment during identification and preparation phases;
collaboration with the local Commission d’Expropriation, a joint Commission between
several ministries, would be sought;
(ii) In case some opportunities for social and/or environmental improvements or mitigation
strategies or negative impacts have been identified, qualified entities (community-based
organizations, NGOs, private sector) would be responsible for their implementation;
(iii)Depending on the projects, the grieving mechanism can be set up within the local
government, NGOs, the private sector or others;
(iv) Recommendation: assess environmental and social results through an independent
auditing system. Reactions from the population shall be documented and close follow up
of implementation plan would facilitate assessment of the results.
21. UCE-MTPTC would be supervising the whole process, and contribute to the design of
resettlement action plans and compensation plans.
Contents of ESMF/RPF: best practice
22. The ESMF/RPF, in accordance with national law and international best practice, includes: (i)
subproject screening and classification based on potential environmental impacts of the
project type and site sensitivity; (ii) decision-support matrices for identifying the required
environmental work (which sub-projects require what type of Environment Management
Plan (EMP)); (iii) a monitoring and evaluation section to supervise the implementation of
appropriate mitigation measures; and (iv) institutional arrangements. The RPF for the project
would be folded into the ESMF/RPF and will define procedures to be adhered to when either
lands will be acquired under the project or people need to be resettled (physical and/or
economic resettlement) as a consequence of project activities, define compensation measures
that would be put in place that are in compliance with OP 4.12, define modalities to be
followed by the project to consult with people who would be affected by land acquisition
and/or resettlement; propose key eligibility criteria for determining entitlements for the
relevant project affected persons, prepare the modalities by which a RAP would be prepared
when needed, define disclosure requirements for specific RAPs if these are needed, define
the institutional mechanisms, define reporting mechanisms to follow up implementation and
supervision of resettlement programs when these are required.
23. Example of methodology for census (for eligibility for compensation plans). The need to
design a clear methodology for census to identify and qualify (or not) as eligible the people
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who would benefit from any compensation plan is crucial. The census can be articulated the
following way:
(i) Preliminary visit, mainly documented with photographs in order to assess the scope of the
census and draw a baseline situation, before doing the actual census;
(ii) Census between date X and date Y (limited in time and precisely defined), question/data
sheet used to identify and count the number of people who are affected and eligible to the
plan: (i) presentation of the project and its context, filling in the census data sheet; (ii)
inscription of census number; (iii) photographs and GPS coordinates; and (iv) delivery of
census check to the interviewee;
(iii)Eligibility period for compensation stops at the end date of the census. Anyone claiming
anything after that date or before the beginning of the census but who wasn’t there during
the census is not eligible.
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Annex 10: Economic and Financial Analysis
THE REPUBLIC OF HAITI
Disaster Risk Management and Reconstruction Project
This project is being prepared with a framework approach, therefore specific project activities
would be defined during implementation, and based on the results of planning and preparation
studies. Investments to be made would be selected based on the greatest economic return.
Identified repairs and on-site reconstruction works would be implemented with the best
technically feasible and economically viable solution
Component One: Natural Hazard Risk Assessment and Analysis
1. The economic benefits of investments in hazard and vulnerability mapping to identify natural
hazard risk are significantly greater than the costs. The cost of analysis involves data
gathering to understand hazard dynamics and to develop an asset inventory, and probabilistic
modeling to define the likelihood that assets are lost, is negligible compared to the benefits.
Once the vulnerability of specific public assets is measured, decision makers would be able
to more efficiently prioritize their retrofitting program based on the greatest benefits
delivered at the lowest costs. Without risk analysis, decision makers cannot rely on hard
data, making their investment prioritizations less efficient and more likely exposed to
political capture.
Component Two: Support to Disaster Preparedness and Emergency Response
2. The economic benefits of investments to strengthen the GoH’s ability to prepare for, and
respond to, disasters are greater than the costs. The costs of institutional strengthening
include training, technical assistance, awareness building campaigns, establishment of early
warning systems and development of emergency protocols. Outputs from these investments
include development and enforcement of building and land use planning codes, public
campaigns to raise disaster awareness and an increased ability for decision makers to respond
to hazard events. The tangible benefit of greater resilience can be measured in terms of lives
saved. Measuring the specific number, and value, of lives saved is problematic; however, it
is significantly in excess of the limited costs associated with increasing institutional capacity
to prepare for and respond to major events.
Component Three: Rehabilitation of Vulnerable and Damaged Critical Transport
Infrastructure
3. Investments to be indentified during project implementation would be prioritized based on
highest estimated economic impact. Physical works would be undertaken mainly in the
southern part of Haiti and would focus on reinforcing critical points of the backbone
infrastructure network. Vulnerable access points that are envisioned to be unable to
withstand a one in ten year event would be the primary focus. The cost of lost access to the
primary road network is substantial, and the financial impact of works that strengthen the
most vulnerable points of the network would be far in excess of the costs.
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4. The following issues are also considered to provide an insight of the project economic and
financial benefits:
(i) Construction of small civil and protection works to provide alternative “ways out” (or
“ways in” for emergency response) for the local population and prevent isolation in times
of adverse natural events;
(ii) Construction of new bridges or river crossings;
(iii)Rehabilitation, repairs or reinforcement of existing bridges and other civil works to
maintain community access to the primary and secondary road networks and ensure that
this infrastructure does not fall in a state beyond repair;
(iv) The list of identified and non-identified interventions in the proposed Project consist of
spot interventions (bridge reconstruction, river crossing construction, drainage
improvement, road repair, small civil works construction and rehabilitation, river and
coastal road protection) on critical points that are key to ensuring the transitability and
bring access to local populations. Spot interventions on critical points are the key to the
least-cost design and usually have high rates of return.
5. The following measures would also be considered to minimize reconstruction and
construction costs:
(i) The construction of fords or river crossings equipped with culverts would be considered
on the main pre-identified sites, instead of bridges. This solution is the cheapest (and a
quick) solution to restore access. In particular, given that few provisional bridges are
immediately available in Haiti, this solution is cheaper than having provisional bridges
thrown across rivers;
(ii) The project does not contemplate installing provisional bridges before permanent bridges
are built. This disposition would save the cost of an intermediate phase between the
emergency response and the reconstruction;
(iii)On a longer run, for the reconstruction phase, the bridges would use as much as possible
standardization and prefabrication to reduce the related design / construction /
supervision costs.
6. Some works, specifically for the two bridges of Estimé Dumarsais and Rivière Gauche,
would potentially be carried out on main Haitian structuring roads, namely National Road No
7 and the crossing from National Road No 4 to the Jacmel Valley. Interventions on the main
road network, where largest volumes of traffic are observed, would maximize the benefits for
the population. Experience from other Bank-financed projects in Haiti has shown very high
economic returns on high-volume roads such as the National Roads. The ERR of
reconstruction works on such roads has reached an average of 63 percent (varying from 38
percent to more than 100 percent). On lower traffic level roads, the IRR of rehabilitation
works has been estimated to at least 15 percent.
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Annex 11: Donors Activities
THE REPUBLIC OF HAITI
Disaster Risk Management and Reconstruction Project
This Annex includes ongoing and planned activities carried out by the main international
partners of (i) the DPC for disaster preparedness and response over the period 2011-2012, and
(ii) the MTPTC for transportation infrastructure.
DPC: Disaster Preparedness & Response
Inter-American Development Bank (IDB)
National Early Warning System Project (PNAP) establishing Early Warning Systems for
hydro-meteorological disasters in 32 municipalities / 13 watersheds, setting up warning
levels and developing large maps with evacuation plans/routes/shelters and related
training program
Setting up a national rainfall data information system including pluviometric stations and
central information system SDR 2.18 million (US$3.5 million)
United Nations Development Programme (UNDP)
Strengthening Civil Protection coordination at departmental level and department-
municipality communication via recruitment of Technical CP Coordinator and 2 staff in
each of the 10 departments SDR 0.62 million (US$ 1 million)
Stocktaking and standardization of DPC communication and training products
Support coordination between DPC, Red Cross and NGOs working in DRM through
creation of a monthly forum SDR 0.62 million (US$ 1 million)
Support coordination between DPC and international community SDR 0.62 million
(US$ 1 million)
EU Instrument for Stability SDR 13.13 million (US$ 21 million)
Pre-positioning of assets (300 containers with search and rescue equipment, including
water rescue) for 110 municipalities
Creation of a pool of 34 national and departmental DPC trainers and of 2,000 volunteers
across 110 municipalities for disaster response
Training on crisis communication for the DPC/SNGRD (central and municipal level);
government decision makers; and media professionals
Technical assistance to Ministry of Justice and Ministry of Interior to provide training to
emergency responders (Police; Fire brigades)
Equipment of the National Emergency Operation Center
Humanitarian Aid department of the European Commission (ECHO)
Development of a DRM methodology at community level (financing International
Federation of the Red Cross): community-level training modules (e.g. VCA);
contingency planning and preparedness at household level; sensitization of school
population. This approach would be rolled out by 8 NGO-executed projects in some 25
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municipalities across 8 departments – see list). Most of these project would end second
semester 2012 SDR 4.19 million (US$ 6.7 million)
Support to UNESCO for elaboration of tsunami flood models (linked to NATHAT)
