1.1 the project implementation manual (pim)
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FEDERAL REPUBLIC OF NIGERIA PROJECT IMPLEMENTATION MANUAL SECOND RURAL ACCESS AND MOBILITY PROJECT (RAMP-2) July 2013 FEDERAL REPUBLIC OF NIGERIA PROJECT IMPLEMENTATION MANUAL For SECOND RURAL ACCESS AND MOBILITY PROJECT (RAMP-2) - World Bank & French Development Agency - Funded Project - This document is developed in accordance with generally accepted standards & principles and consistent with the World Bank and AFD guidelines on procurement and financial management and should be updated to reflect new development during the life span of the Project. The document has a restricted distribution and may be used by the RAMP-2 Project Team only in the performance of their official duties. Its contents may not otherwise be disclosed without authorization. July 2013 – DOCUMENT DATA SHEET– Second Rural Access & Mobility Project (RAMP-2) Project: Project Implementation Manual Deliverable: Deliverable Description: This deliverable contains detailed guidelines and procedures relating to planning, budgeting, monitoring and evaluation, procurement, financial management, accounting and disbursements including reportingmodalities.. Author: Tayo Kayode Document Version Document Status Produced by Owned by: 1.1 Pre-Activation PIM Development Consultant RAMP-2(Federal Republic of Nigeria) Document Change History Review Date Approval (please indicate as appropriate by ticking) Name of Reviewer Approved ii Approved with minor changes Make Changes and resubmit for approval Signature Table of Contents Abbreviations and Acronyms ..................................................................................................... v THE PROJECT IMPLEMENTATION MANUAL (PIM) ....................................................................... 1 SECTION 1 – INTRODUCTION ...................................................................................................... 4 1.0 COUNTRY STRATEGIC CONTEXT ............................................................................................................4 1.1 PROJECT DEVELOPMENT OBJECTIVE (PDO) ..........................................................................................5 1.2 PRINCIPLES OF RAMP-2 PROJECT DESIGN .............................................................................................6 1.3 PROJECT COMPONENTS AND SUB-COMPONENTS................................................................................9 SECTION 2: INSTITUTIONAL AND IMPLEMENTATION ARRANGEMENTS ..................................... 25 2.1 BENEFICIARY AGENCIES & INSTITUTIONAL FRAMEWORK. ....................................................................25 2.2 ARRANGEMENTS FOR PROJECT COORDINATION (FEDERAL AND PARTICIPATING STATES LEVELS) ...26 2.2.7 THE FPMU TEAM AND THEIR MAIN FUNCTIONS ............................................................................30 2.3 ARRANGEMENTS FOR PROJECT COORDINATION AND IMPLEMENTATION AT THE STATES LEVEL:....40 2.3.2 THE STATE PROJECT IMPLEMENTATION UNIT and PROJECT FINANCIAL MANAGEMENT UNIT .....44 2.3.4 THE SPIUs TEAM AND THEIR MAIN FUNCTIONS .............................................................................49 SECTION 3 – OPERATIONAL PROCEDURES ................................................................................ 67 3.1 INTRODUCTION ...................................................................................................................................67 3.2 IMPLEMENTATION CYCLE .......................................................................................................................67 3.3 PLANNING PROCESS ...............................................................................................................................68 3.4. PROCUREMENT PROCEDURES ..................................................................................... 69 3.4.1. INTRODUCTION ...............................................................................................................................69 3.4.2 PROCUREMENT PLANNING AND IMPLEMENTATION ARRANGEMENTS .........................................69 3.4.3 PROCUREMENT CATEGORIES ..........................................................................................................70 3.4.4 PROCUREMENT METHODS..............................................................................................................74 3.4.5. PROCUREMENT RESPONSIBILITIES..................................................................................................79 3.4.6 PROCUREMENT IMPLEMENTATION CYCLE .....................................................................................80 3.4.13 3.5 AFD SPECIFIC PROCUREMENT REQUIREMENTS ................................................................ 102 FINANCIAL MANAGEMENT PROCEDURES .....................................................................106 3.5.2 FINANCIAL PLANNING AND BUDGETING ......................................................................................106 3.5.3 FINANCIAL AND ACCOUNTING POLICIES.......................................................................................110 iii 3.5.4 INVENTORIES –POLICIES AND PROCEDURES.................................................................................112 3.5.5 THE DEFINITION OF OTHER FINANCIAL TRANSACTIONS ARE DESCRIBED BELOW: ......................113 3.5.6 FINANCIAL AND ACCOUNTING PROCEDURES ...............................................................................114 3.6 MONITORING, EVALUATION AND REPORTING FRAMEWORK .......................................130 3.6.1 INTRODUCTION .............................................................................................................................130 3.6.2 MONITORING AND EVALUATION CYCLE .......................................................................................130 3.6.3 RESPONSIBILITY FOR THE M&E FUNCTION ......................................................................................132 3.6.4 M&E ORGANIZATION: STAFFING, LEVELS OF IMPLEMENTATION, TOOLS. ...................................133 3.6.12 3.7 PERFORMANCE INDICATORS ....................................................................................................135 INFORMATION, EDUCATION & COMMUNICATIONS .....................................................137 3.7.1 INTRODUCTION .............................................................................................................................137 3.7.2 PUBLIC DISCLOSURE POLICY AND IEC STRATEGY ..........................................................................137 3.8. ENVIRONMENTAL AND SOCIAL SAFEGUARDS ............................................................141 3.9. Governance and Accountability Action Plan .....................................................................174 ANNEXURE .............................................................................................................................177 iv Abbreviations and Acronyms AC AEA AECFR AFD AGS AIDS BIR BMPIU BPP CADP CAS CDD CDPs CFAA CoA CPAR CPAR CPS CSDAs CSDP CSOs DA DDR DfID DFRRI EA EC EIAs EMCAP EMP ERAP ESMF EU FCAs FCO FCT FGN FM FMARD FMF FMR FMT Asphalt Concrete Activities Executing Agency Accounting, Expenditure Control and Financial Reporting French Development Agency / Agence Française de Developpement Accountant General of the State Acquired Immune-deficiency Syndrome Board of Internal Revenue Budget Monitoring and Price Intelligence Unit Bureau for Public Procurement Commercial Agriculture Development Project Country Assistance Strategy Community Driven Development Community Development Plans Country Financial Accountability Assessment Chart of Accounts Country Procurement Assessment Review Country Procurement Assessment Report Country Partnership Strategy Community and Social Development Agencies Community and Social Development Project Civil Society Organizations Designated Account Demobilization, Disarmament and Rehabilitation Department for International Development (UK Government) Directorate of Food Roads and Rural Infrastructure Environmental Assessment European Commission Environmental Impact Assessments Economic Management Capacity Building Project Environmental Management Plan Ekiti Rural Access Program Environmental and Social Management Framework European Union Fadama Community Associations FADAMA Coordination Office Federal Capital Territory Federal Government of Nigeria Financial Management Federal Ministry of Agriculture and Rural Development Federal Ministry of Finance Financial Monitoring Report Federal Ministry of Transport v Abbreviations and Acronyms FPFMD FPM FPMU FRA FUGs FY GDP GL GPN HD HDI IBRD ICB ICR ICT IDA Federal Project Financial Management Division Financial Procedures Manual Federal Project Management Unit Federal Roads Authority Fadama User Groups Financial Year Gross Domestic Product General Ledger General Procurement Notice Human Development Human Development Index International Bank for Reconstruction and Development International Competitive Bidding Implementation Completion Report Information and Communication Technology International Development Association IDF IEC IGR IPMP IPSAS IRI IRR ITC LAMATA LAN LCB LCS LDPs LEEMP LGA LGAs LGCs LIB LSMS LUTP M&E MDAs MDGs MIS MoF International Development Fund Information, Education and Communications Internally Generated Revenue Integrated Pest Management Plan International Public Sector Accounting Standard International Roughness Index Internal Rate of Return Instructions to Consultant Lagos Metropolitan Transport Authority Local Area Network Limited Competitive Bidding Lease Cost Selection Local Development Plans Local Empowerment and Environmental Management Project Local Government Area Local Government Agencies Local Government Councils Limited International Bidding Living Standards Measurement Study Lagos Urban Transport Project Monitoring and Evaluation Ministries, Departments and Agencies Millennium Development Goals Monitoring Information System Ministry of Finance vi Abbreviations and Acronyms MQC MTEF MTSS MYBF NABTEB NCB NCR NDE NEEDS Minimum Qualification Criteria Medium Term Expenditure Framework Medium Term Sector Strategy Multi-year Budget Framework National Business and Technical Education Board National Competitive Bidding National Coordinator, RAMP National Directorate of Employment National Economic Empowerment and Development Strategy NGO NIP NPC NPRTT NTSC O&M OAGF OAGS OHCS OM OO OPRC ORAF OSAG PAC PAD PC PDO PEFA PEM PEMFAR PER PETS PFM PFMU PFO PIA PIM PIU PMP PMU PPP Non-Governmental Organization National Implementation Plan National Planning Commission National Policy on Rural Travel and Transport National Technical Steering Committee Operation and Maintenance Office of the Accountant General of the Federation Office of the Accountant General of the State Office of Head of Civil Service Operational Manual Operational Officer Output- and Performance-based Road Contract Operational Risk Assessment Framework Office of the State Auditor General Public Accounts Committee Project Appraisal Document Project Coordinator Project Development Objective Public Expenditure and Financial Assessment Public Expenditure Management Public Expenditure Management and Financial Accountability Review Public Expenditure Review Public Expenditure Tracking Survey Public Financial Management Project Financial Management Unit Project Finance Officer Project Internal Auditor Project Implementation Manual Project Implementing Unit Pest Management Plan Project Management Unit Public-Private Partnership vii Abbreviations and Acronyms PREM PRSP QBS QCBS RAMP-2 RAP RDSSN RFP RMT RPF RSDP RSDT RSM RTTP S&T SA SAG SBD SC ScoA SD SDN SEES SEEDS SFCO SGCBP SHoA SIL SIL SOE SPIU SPMC SPPA SPPRA SRFP SRRMT TA TC TNA TSA TTL TVE Poverty Reduction and Economic Management Poverty Reduction Strategy Paper Quality Based Selection Quality & Cost Based Selection Rural Access And Mobility Project (2) Resettlement Action Plan Rural Development Sector Strategy for Nigeria Request for Proposal Routine Maintenance Team (Rural Roads) Resettlement Policy Framework Road Sector Development Program Road Sector Development Team RAMP-2 Supervising Ministry Rural Travel and Transport Programme Science & Technology Special Account State Auditor General Standard Bidding Documents Steering Committee Standard Chart of Accounts Sustainable Development Sustainable Development Network State Economic Empowerment Strategy State Economic Empowerment and Development Strategy State Fadama Coordination Unit State Governance and Capacity Building Project State House of Assembly Specific Investment Lending Instrument Specific Investment Loan Statement of Expenditures State Project Implementation Unit State Project Monitoring Committee State Public Procurement Agency State Public Procurement Regulatory Agency Selected Request for Proposal State Rural Roads Maintenance Agency Technical Assistance Technical Committee Training Needs Assessment Treasury Single Account Task Team Leader Technical and Vocational Education viii Abbreviations and Acronyms TVT UBEC UN UNCITRAL UNDB UNDP US VAT VPD VSAT W/A WAN Technical and Vocational Training Universal Basic Education Commission United Nations United Nations Commission on International Trade Law United Nations Development Business United Nations Development Programme United States Value Added Tax Vehicles Per Day Very Small Aperture Terminal Withdrawal Applications Wide Area Network ix 1.0 1.1 SECTION 1 INTRODUCTION THE PROJECT IMPLEMENTATION MANUAL (PIM) 1. The Project Implementation Manual (PIM) provides a description of the operational procedures to be used during the implementation of the Second Rural Access & Mobility Project (RAMP-2). The PIM contains guidelines and procedures relating to planning, budgeting, monitoring and evaluation, social and environmental safeguards management, community engagement including gender mainstreaming, communitybased roads maintenance, social & environmental safeguards management, procurement, financial management, accounting and disbursements including reporting modalities. The PIM also explains the objectives, general framework of the budget systems and principles of the project design. 2. The purpose of this Project Implementation Manual (PIM) is to guide all the stakeholders, including members of the State Project Monitoring Committee (SPMC), State Project Implementation Unit (SPIU) and staff towards the achievement of the set goals in the implementation of the Second Rural Access & Mobility Project (RAMP-2). Consequently, it would be made available for reference purposes to all parties who may be interested in understanding all aspects of the RAMP-2 project. 3. Legal basis and objectives of the PIM The Project Implementation Manual (PIM) is one of the conditions of the project effectiveness, as stipulated in the PAD and indeed in the negotiated Financing Agreement (Schedule 2, Section E), which states: "The Recipient shall prepare and adopt, and cause each participating state to adopt, a Project implementation manual in form and substance satisfactory to the Association, containing detailed arrangements and procedures for: (a) the selection and continued participation in the Project of Participating States and the selection of the roads and the river crossings to be upgraded and rehabilitated under Part 1 of the Project; (b) institutional coordination and day-to-day execution of the Project; (c) disbursement and financial management; (d) procurement; (e) environmental and social safeguards management; (f) monitoring and evaluation, reporting and communication; and (g) such other administrative, financial, technical and organizational arrangements and procedures as shall be required for the Project.” Each Participating State shall ensure, that the Project is carried out in accordance with the arrangements and procedures set out in this PIM (provided, however, that in case of any conflict between the arrangements and procedures set out in the PIM and the provisions of this Agreement, the provisions of this Agreement shall prevail), and shall not amend, abrogate or waive, or permit to be amended, abrogated or waived, the PIM or any of its provisions without prior approval in writing by the Association. 1 The major objective of the PIM is to provide guidelines for effective implementation of the RAMP-2. Specifically, the PIM's objectives are to: (i) (ii) (iii) (iv) (v) 4. Promote greater understanding of the processes so that working relationships among implementing units are enhanced. Standardize procedures and processes, across States and Local Government Areas; Ensure the setting-up of appropriate administrative arrangements, at all levels of operation, and provide adequate management skills for project managers; Ensure sustainability of interventions in terms of maintenance of assets created and collective management of common property resources; and Provide broad criteria for measuring achievements in line with set targets. Adoption and Amendment Process This manual has enjoyed ownership and commitment to its contents as it is emerging from series of interactions of relevant stakeholders (fund providers, Federal, State and local tiers of government.) In this wise, the manual has been fully adopted by stakeholders. 5. This PIM is a “living document”. To this end, every effort would be made to maintain the procedures as current as possible in order to make it contemporary. The Federal Ministry of Finance, Federal Ministry of Agriculture and Rural Development, National Planning Commission as well as the Governments of Adamawa, Enugu, Niger and Osun states would monitor its use and assess its effectiveness during the process of implementation. Also, stakeholders are urged to provide feedback on the various procedures and lessons learnt from experiences to the National Coordinator, Federal Project Management Unit (FPMU) and the State Coordinators of the participating State Project Implementation Unit (SPIU). The review should be undertaken during project review meeting and comments and suggested changes be forwarded through the National Coordinator, FPMU to the Bank and AFD. The content of such a review would not be operational until a “NoObjection” from the Bank and AFD has been obtained. In keeping with the above, this manual review should incorporate lessons of experience gained in the process of implementing RAMP-2especially during the project mid-term review. 6. Audience for and Structure of the Manual This Manual is designed principally for use of FPMU, SPIUs, PFMUs (National & States), Supervisory MDAs at the state level and generally for the stakeholders who are involved in the implementation arrangement of the RAMP-2. They include: National Technical Steering Committee (NTSC) at the Federal Level. State Project Monitoring Committee (SPMC) at the state level Federal Ministry of Agriculture and Rural Development 2 7. Federal Ministry of Finance. Project Facilitators i.e. the Federal, State and Local Government levels officials, operations officers and donor agencies. The general public, particularly those interested in ensuring good governance at the local government level. Communities and civil society organizations who will be actively involved in the project implementation especially in monitoring of the project The various sections of the PIM are as follows: SECTION ONE Provides an introduction that describes the country and sector issues, development goals &objectives and project components. SECTION TWO Describes the institutional framework of the project. This section also provides an overview of the institutional arrangements and the key roles and functions of the various agencies and institutions that would be involved in implementing agreed activities of the project. SECTION THREE Provides a summary of the steps and operational procedures on planning, financial management, procurement, monitoring and evaluation guidelines and information, education and communication framework. ANNEXES: This part of the manual contains various tables, forms and other information as supporting documents for the main sections of the manual. 3 – 1.2COUNTRY STRATEGIC CONTEXT Achieving the Millennium Development Goals (MDGs) in Nigeria will require a special focus on rural poverty. Despite the economic performance of the past decade, Nigeria is currently behind its targets to meet most of its MDGs. Poverty is particularly acute in rural Nigeria: more than half of the population (54 percent) lives in the countryside and 63 percent of that population earns a daily income which is below the poverty line. Agriculture remains the backbone of Nigeria’s rural economy. Although. Agriculture employs the bulk of the labour force, especially in the rural areas; a large number of agricultural households in Nigeria are poor.1 At some point, Nigeria was the world's largest exporter of groundnuts, cocoa and palm oil and a significant producer of coconuts, citrus fruits, corn, millet, cassava, yams and sugar cane. However, the sector was neglected in favour of the oil sector and due to low productivity many small farmers rely today on subsistence agriculture to survive. A modernization of the sector is needed, with the provision of incentives and means for farmers to adopt better-technology, scale up from subsistence to commercial agriculture, encourage public-private partnerships (PPP) in irrigation, and investment in related infrastructure, particularly roads and power. Lack of accessibility - caused by highly deteriorated infrastructure, is a key determinant of rural poverty and agricultural productivity. Due to the lack of good and properly maintained infrastructure, about 30 million Nigerians currently live in near isolation and lack access to income-generating opportunities and social services. As a result of isolation, insufficient connectivity and high transport costs, farmers have difficulties sourcing and transporting key inputs (like seeds or fertilizers) to their farms and evacuating their products to the local and regional markets. A significant part of perishable products are lost or damaged in transit. Lack of access also affects human capital, as poor households cannot send their children to local schools nor access social services provided in health or community centres. The “Nigeria Agriculture Transformation Agenda” (NATA) is designed by the Federal Government to modernize the sector by boosting the competitiveness of selective high-value crops. The NATA is focusing on increasing the infrastructure stock in rural areas with high agriculture potential, and ensuring effective connectivity between production areas, processing zones and markets are another important priority that would be addressed through improving the conditions of selected feeder roads. Capturing the full growth potential of the Nigerian agriculture sector will require significant investments in infrastructure, particularly irrigation, markets and rural roads. Also critical attention will need to be paid to sustainability of such investments through in particular establishing efficient road maintenance mechanism. 1Source: Nigeria – Country Partnership Strategy, the World Bank (2009). 4 In an attempt to tackle these issues, the World Bank, in close collaboration with other donors like the French Development Agency (AFD, cofinancing RAMP 2), has been actively partnering with the Federal Ministry of Agriculture and Rural Development (FMA&RD) to provide support in operationalising and implementing NATA especially in the area of providing accessibility infrastructure in the rural areas of Nigeria. However, the experience from RAMP-1 highlights the importance of road prioritization, road maintenance, institutional development at the sub-national level, as well as some recommendations for project design. Consequently, the Second Rural Access & Mobility Project (RAMP-2) is focusing exclusively on the issue of improving access in selected Nigerian states (Adamawa, Enugu, Niger and Osun). 1.2.1 PROJECT DEVELOPMENT OBJECTIVE (PDO) The project development objective (PDO) of RAMP-2 project is to improve transport conditions and bring sustained access to the rural population, through rehabilitating and maintaining key rural transport infrastructure in a sustainable manner in selected Nigerian states. Specifically, the PDO is to: Increase rural access thus promoting a diversification outside of the oil sector and contributing to rural poverty reduction, through increasing agricultural productivity and contributing to the implementation of the NATA. 5 Promote agricultural productivity for small farmers and thus contribute to the country’s Transformation Agenda for the agriculture sector. Contribute to improving governance at state level through its performancebased approach, based on the CPS governance criteria.2 Promote the economic growth of the non-oil sectors and increase the average income of poor rural households who mostly depend on agriculture for subsistence. A reduction of poverty levels in the targeted rural areas is therefore expected and the project should contribute to broader goals including progress with the MDGs. The achievement of the PDO will be monitored using the following outcome indicators: 1) Direct Project beneficiaries, including % of females ( Percentage) 2) Roads in good and fair condition as a share of total classified roads (Percentage) 3) Share rural population with access to an all-season road (Proportion) 4) Roads receiving adequate levels of maintenance (Kilometre) Ultimately, the project supports the three development pillars of the Country Partnership Strategy (CPS) for 2010-2013which focuses on: (a) Improving governance; (b) Maintaining non-oil growth; and (c) Promoting human development. 1.2.2 PRINCIPLES OF RAMP-2 PROJECT DESIGN One of the critical lessons for the success of multi-state projects in Nigeria is the need to setup robust institutional arrangements for coordinated design and implementation.RAMP-2 has been designed by leveraging on the experience from RAMP-1, to address this challenge by setting up institutional arrangements for coordination at both federal and state levels, with the federal level (Federal Ministry of Agriculture and Rural Development) providing macro level and inter-state coordination and support, while each state has its own State Project Implementation Unit(SPIU) to provide inter-agency coordination and support for implementation as well as enhance inclusiveness and ownership. The project design takes stock of country specific lessons and of international best practices for rural transport operations. In particular, country-specific lessons include the RAMP-1 under implementation. Key lessons include in particular the following: (a) Participatory planning can help improve the effectiveness of rural transport investments: 2 (i) Performance of the state on projects funded by the donors who subscribed to this governance based approach. (ii)Completion of a public expenditure review and/or a public expenditure and financial accountability review with follow-up action plans. (iii) Draft of Fiscal Responsibility and Public Procurement Bills. 6 Rural roads to be rehabilitated under RAMP-2 have been or will be selected, using a prioritization methodology involving local and state-level stakeholders. Rural stakeholders have been found to have a better knowledge of their transport needs. This participatory approach will be further deployed during implementation especially to identify the next batch of rural roads to be rehabilitated in each participating state and also for M&E. (b) A robust Monitoring and Evaluation (M&E) framework can help monitor project’s outcomes and impacts, and inform project design: Rural transports operations are well-known to bring direct (e.g. reduction in transport cost and transport time) as well as indirect (e.g. increased access to social services and to economic opportunities) benefits to rural populations. (c) Ensuring the maintenance of rural roads is a difficult challenge which could be addressed through different innovative approaches: Road maintenance is generally the most critical challenge of rural roads projects. The project will introduce a community-based approach to routine road maintenance. (d) Road maintenance can become sustainable only if there is a sustainable financing mechanism in place: The project introduces a decreasing financing scheme through which state and local governments would progressively increase their contribution. It is estimated that this scheme would have a better chance of being sustained beyond the project’s closing date. (e) Well-maintained earth roads can provide a cost-effective and sustainable solution to rural access: Rural roads generally do not have traffic levels that are sufficient to justify paving.3While earth roads are economically the best technical option, they also have less durability if not maintained. The project does not intend to pave rural roads but instead to put in place an efficient and sustainable road maintenance model. There is large evidence internationally that well-maintained earth roads can have their life cycle extended to 12 years or more. (f) Women from poor rural communities may have different rural transport needs and can also contribute to road maintenance: A gender action is particularly justified in the case of rural transport operations, because, rural roads are well-known to be a key factor to increase access of girls to education and women can also be actively involved in the routine maintenance activities thereby increase economic and labour opportunities for women while enabling access to other social services. A specific gender action plan has therefore been prepared as part of the preparation of the project. 300 vehicles per day (vpd) or above is generally required for paved roads while 50 vpd or less is observed on rural roads which justified unpaved roads.. 3 7 Further information on gender mainstreaming is detailed in the RAMP-2 Gender Action Plan. Drawing from the gender assessment exercise, the proposed gender mainstreaming action plan focus on: (i) Integrate the participation of different groupings of women: (ii) Use gender sensitive language and imagery in all relevant manuals and documentation. (iii) Carry out community sensitization with community leaders, men and women to explain the value added which women’s participation can bring to the process and why it is important (iv) Develop gender specific indicators for the RAMP monitoring and evaluation templates (v) Adapt some of the best practices from the FADAMA or similar projects, viz: Encourage women to engage as groups of women rather than as individuals. Embark on an intensive community sensitization outreach processes which target both men and women Provide specialized training for women based on already identified capacity deficits. Showcase the benefits of the RAMP-2/FADAMA project in the lives of selected women in the community who are also respected as female gatekeepers. Setup RAMP-2 Maintenance groups and appointing women as heads Furthermore, building on successful and proven projects in Nigeria, the RAMP-2 is designed to respond to both the short term needs and medium term needs of the participating states. Principle and approaches that will be adopted during the implementation are: Strengthening demand side governance for accountability and sustainability: The success of flagship projects in the Nigerian portfolio, including FADAMA and other CDD projects, underscores the importance of working with communities and Civil Society Organizations (CSOs) in project design and implementation. Given the focus of RAMP-2 on Upgrading and Rehabilitation of Rural Transport Infrastructure as well as Community-based road maintenance, there will be need to strengthen demand side governance by mainstreaming social accountability tools such as feedback mechanisms, grievances mechanisms, independent monitoring and CSO involvement in activities, including budget, procurement, demand for audit, youth employment and community development. On the supply side: 8 The Project acknowledges the need for institutional framework/reform that will support a sustainable road construction/maintenance programme. Consequently, RAMP-2 participating states selection was based on a few project readiness criteria: (a) establishment of a State Project Implementation Unit (SPIU); (b) identification of institutional arrangements and funding sources for road maintenance; (c) preparation of a Prioritized Rural Road Investment Program; and (d) number of km of prioritized roads with completed feasibility studies. Involvement of Local Government: The project will build on the experience of RAMP-1, FADAMA and CSDP in working with local governments in each of the participating states. 1.2.3 PROJECT COMPONENTS AND SUB-COMPONENTS RAMP-2 will intervene in the participating states (Adamawa, Enugu, Niger and Osun), selected for their project implementation readiness. However, project activities would be concentrated in the areas of higher agricultural production, building on the strategic priorities of Nigeria’s Agriculture Transformation Agenda. Project components and subcomponents descriptions are detailed below: 1.2.3.1 Refinancing of Project Preparation Facility Advance: This facility will refinance the withdrawn balance of the Project Preparation Advance (PPA), already expended on relevant project preparation activities while any undisbursed balance of the PPA will be reallocated to finance other eligible project expenditures. The PPA activities include the preparation of the design and safeguards studies for the initial 800 km of prioritized rural roads in the four selected states, as well as some institutional strengthening activities to help set up the State Project Implementation Units (SPIUs) and some other preparation studies. 1.2.3.2 Component 1: Upgrading and Rehabilitation of Rural Transport Infrastructure This component will finance the following sub-components: 1. Sub-Component 1.1: Upgrading and/or Rehabilitation of Rural Roads& Related Technical supervision and consulting Services. This sub-component will finance design studies, upgrading and/or rehabilitation costs and related supervision activities for some selected existing rural and state roads in the participating states. An estimated 1,450 km rural roads (or state roads on a case by case basis with connectivity purposes) in the participating states (i.e. Adamawa, Enugu, Osun and Niger States) would be upgraded and/or rehabilitated. Approximately 800 km of rural roads (200 km/state) have been pre-identified as part of project preparation. The remaining 650 km (140 km additional for Adamawa and 170 km each for the other three states) will be identified during implementation after an updating of the prioritization studies prepared in each state. 9 2. Sub-Component 1.2: Upgrading and/or rehabilitation of River-crossings& Related Technical supervision and consulting Services. This sub-component will finance design studies, safeguard assessments, upgrading and/or rehabilitation costs and related supervision activities for approximately 65 river crossings on rural roads in the participating states in order to ensure minimal access at locations selected for their importance for agricultural productivity or to give access to social services. River crossings include causeways, fords, box culverts as well as small bridges. It is expected that most if not all of the roads to be intervened under this component will remain earth roads. Civil works will be contracted out to private construction firms through competitive bidding, following Bank procurement procedures. 1.2.3.3 Component 2: Community-based road maintenance and annual mechanized maintenance This component will finance the following: 1. Road Maintenance The maintenance of the roads includes those that are rehabilitated under Component 1, as well as a few other pilot roads, to build up the maintenance system while the roads are being rehabilitated. Pilot programs will be initiated in each one of the tier-one states for up to 50 km of rural roads rehabilitated through other means. Permanent routine maintenance would be performed by communities living alongside the rehabilitated roads, organized in “maintenance groups”. 2. Technical Assistance/Consulting Services This component will finance all related activities such as: technical assistance for the conformation of the community-based organization, external supervision, monitoring of activities and road condition, and technical audits. Maintenance groups would be incorporated and contracted by the SPIUs in line with the Bank procurement procedures. Two annualized mechanized maintenance each year, before and after each rainy season, would be performed through global maintenance contracts contracted out to the private sector. Maintenance contracts would be cofinanced by IDA with the State or Local Government Authority (LGA) counterpart funds (in case of LGA funds, State Authorities would have to guarantee the availability of such funds). The decreasing formula to be adopted for IDA funding, in order to build up sustainability is as shown below: 100 percent IDA for years one and two, 50 percent for years three and four, and zero percent for year five and after. SPIUs will be encouraged to build up a strategic partnership with an existing community development program (such as the Nigeria Fadama Development III Project), and indeed to pay Special attention to the gender dimension, in 10 order to help develop the entrepreneurial capacity of community-based maintenance groups. Component 1 &2 Activities: The components will finance key activities with value chains that generate employment, namely: Road maintenance works contracts. The employment generation activities for road maintenance will include: (i) Cleaning of travelled surface and road sides (ii) Cleaning of drainages (iii) Removal of debris on the roads (iv) Cleaning of roadside drainage structure and drainage outlets (v) Patching of potholes (vi) Maintenance and trimming vegetation growth on roads Key results4 to be achieved include: Direct project beneficiaries, (including the % of female) (percentage) Roads in good and fair condition as a share of total classified roads (percentage) Share of rural population with access to an all-season road (proportion) Roads receiving adequate levels of maintenance (kilometers) increase in the number of people with access to services supported in targeted communities (disaggregated by specific services: water points, electricity connections, Market, School, Hospital, improve sanitation facilities, etc.); increase in number of people employed in selected communities (disaggregated by self-employed, formal employment, and gender); and increase in the income of rural farmers supported by RAMP-2 project. 1.2.3.4 Component 3: Project Management and Strengthening of State & Federal Road Sector Institutional, Policy and Regulatory Framework This component aims at addressing institutional capacity gaps at the sub-national level with regard to rural road assets’ management, as well as at developing and implementing sound rural transport policies. It will also provide a comprehensive institutional development package at the state and federal levels to: i. support an effective implementation of the project (including through technical audits, whenever needed); ii. design and implement sound rural transport policies; iii. improve the planning and execution of public expenditures in rural transport; and iv. promote the dissemination of best practices, as well as to prepare a possible scaling up of the project in the participating states. The component is split in two sub-components. SPIU and FPMU will monitor all key results stated in the PAD/PIM. However, they will be held accountable only for the results that are stated in the Results Framework of PAD/PIM. 4 11 1. Sub-Component 3.1: Project Management Activities (States Level). This sub-component will finance activities in the participating states. These include: a. preparation or updating of prioritization studies and GIS-based road inventories; b. operational costs, training, safeguards management and fiduciary support(including SPIU costs except staff costs of civil servants); c. technical assistance for road asset management, including road condition monitoring and support to road planning and maintenance policies; d. development of rural transport regulations (including heavy vehicles’ weight control, road ownership), establishment of sustainable road data management systems, and preparation of Intermediary Means of Transport (IMT) strategies5; e. technical assistance for reform of state road sector institutions, including institutionalization of the SPIU within states’ organizational chart for rural roads’ management and coordination with eventual state road maintenance agencies; f. institutional support and training to local governments (e.g. on safeguards management and compliance, fiduciary management, governance and accountability, infrastructure planning); and g. technical assistance for ensuring stakeholders and civil society participation in processes that assures road quality, efficiency of works, transparency and social inclusion. This sub-component will be financed exclusively from IDA funds while some operational costs (e.g. wages of civil servants or top up allowances) and any potential safeguards-related compensation will be financed by state counterpart funds. 2. Sub-Component 3.2: Project Management Activities (Federal Level). This sub-component will finance Project Management activities at the Federal level. These include: (a) day to day administration, financial management, procurement, and monitoring and evaluation of Project activities at the federal level; (b) eligible operational costs, training and fiduciary support, including project audits for the tier-one states to be contracted by the Federal Government; (c) technical assistance for monitoring of non-participating states (i.e., monitoring of CPS Governance criteria to consider expanding tier one and two lists) and preparatory activities for program's scaling up; (d) technical assistance for dissemination of lessons learnt and best practices (including consultants and workshops); (e) baseline and impact evaluation surveys; and These policy reforms will be closely coordinated with the World Bank-managed, Sub-Saharan Africa Transport Policy (SSATP) program 5 12 (f) development of federal policies for the improvement of rural transport (including road standards for low-volume roads) and alignment with the NATA and with federal transport policies. This sub-component will be financed exclusively from IDA funds. Additional activities may be financed by federal counterpart funds. Key results will include6: (i) Achievement of key results of Components 1 and 2 (ii) improved quality of skills acquired by project staff members; (iii) Increase in the number of staff with requisite skills in project management, Procurement, financial management, monitoring & evaluation, social and environmental safeguards. (iv) Availability of actionable State and Federal Road Sector Institutional, Policy and Regulatory Framework (v) Availability of a functional content drivenRAMP-2 website 1.2.3.5 Unallocated funds: Unallocated funds represent about nine percent of the project’s total funds and will be used to finance contingencies (financial and physical) by way of reallocation to the other eligible categories of expenditure as the needs arise during project implementation. This activity will generate employment for the youth in the participating states, through the award of small competitive contracts to the private sector to improve public spaces, reduce environmental hazards and enhance the efficiency of the existing road space, reduce vehicle operating cost and improve road safety, in particular pedestrian safety. Contractors will be expected to employ youths from the state where contracts are being executed. 1.2.3.6 PROJECT ENVIRONMENTAL AND SOCIAL SAFEGUARDS7 The Rural Access and Mobility Project (RAMP-2) is a category B project which indicates minor and non-cumulative potential impacts on the environment and social life of the people in the participating states especially as the project does not contemplate building new roads and will essentially remain within the existing rightof-way. As such the project impacts can easily be managed to acceptable level. It is expected that the rehabilitation of the roads would result in net positive environmental and social impacts through enhanced access for the rural populations, as well as increased agricultural productivity. On the environmental side, improved SPIU and FPMU will monitor all key results stated in the PAD/PIM. However, they will be held accountable only for the results that are stated in the Results Framework of PAD/PIM. Details provided in M&E section (3.6). 7 This section is further elaborated in section 3.8 of this PIM. 6 13 road asset management will reduce the need for frequent road reconstruction. However, minor social or environmental impacts may arise during the rehabilitation and maintenance activities. To mitigate the risks of potential negative impacts as identified in the RAMP-2 Environmental & Social Management Framework (ESMF), namely; elite capture and undue influence in project or subcomponent activities, the project is designed to turn the communities into agents of change and champions of the project by assuring that they not only share in the benefits of the project, but they also are able to participate in executing and giving feedback on the entire project implementation activities. Consequently, the project components will incorporate a range of social accountability elements and ensure active community participation in project allocation, monitoring and evaluation. Component 2, will involve community participation in and oversight of project, including permanent routine maintenance which would be performed by communities living alongside the rehabilitated roads, organized in “maintenance groups”. The component will also incorporate project-related grievance redress and citizen feedback mechanisms and oversight by citizens. Component 3, will involve clear roles definition, information sharing mechanisms, processes and procedures as well as capacity building for all key actors at both the federal and states levels. This component will also incorporate project-management related skills acquisition and the need to develop the right attitude especially toward accommodating divergent views and opinions from the citizenry. Section 3.8 (Environmental & Social Safeguards) provide further details process and procedures on RAMP-2 safeguards. 1.3 Project Beneficiaries 1.3.1 State selection: Based on stakeholders’ consultations, the 2010-2013 Country Partnership Strategy (CPS) for Nigeria clearly states that enhanced governance-support will be provided to states which meet transparent and objective standards for improved governance. The performance of states in meeting these objective standards is measured through the use of three specific criteria: Performance of the state on projects funded by the donors who subscribed to this governance-based approach. Completion of a public expenditure review and/or a public expenditure and financial accountability review with follow-up action plans. Draft of Fiscal Responsibility and Public Procurement Bills Consequently, a two-phase selection approach was undertaken by the FPMU after the selection methodology was agreed with all 36 states and the Federal Capital 14 Territory during a workshop held in Abuja on February 10, 2011. Two states (Kaduna and Cross River) were not considered for selection since they are already involved in the implementation of the RAMP-1. The first phase – completed in April 2011, was based on the three CPS governance criteria with a total of twelve states selected – two per each one of the country’s six geopolitical zones. The list of these states were periodically updated by the FPMU during project implementation, based on the evolution of states’ performance and after receiving no-objection from the World Bank and the French Development Agency (AFD). The second phase – completed in September 2011, was based on a few project readiness criteria: (a) establishment of a State Project Implementation Unit (SPIU); (b) identification of institutional arrangements and funding sources for road maintenance; (c) preparation of a Prioritized Rural Road Investment Program; and (d) number of km of prioritized roads with completed feasibility studies. A total of four states, tagged “tier-one states” were selected at the end of this second phase: Adamawa, Niger, Osun and Enugu. The states that passed the first stage of the selection process but not the second stage (“tier-two” states) constitute a pool of candidate states for an eventual scaling up should additional resources become available during project implementation. Scaling up would also be opened to “tier-one” states. The FPMU will ensure regular update of the list of “tier-one” states during implementation in case scaling up to new states was to be decided and/or if the performance of project implementation in one or several states initially listed as “tier-one” was not satisfactory. Table 1.0 : Outcome of State Selection as of February 2012 Geopolitical zone South-Eastern North-Eastern South-South List of all states Abia Anambra Ebonyi Enugu Imo Adamawa Bauchi Borno Gombe Taraba Yobe Akwa Ibom Bayelsa Cross River Tier-two states Tier-one states X X X X X RAMP-1 state 15 North-Central South-Western North-Western 1.3.2 Delta Edo Rivers Benue Kogi Kwara Nassarawa Niger Plateau Ekiti Lagos Ogun Ondo Osun Oyo Jigawa Kaduna Kano Katsina Kebbi Sokoto Zamfara X X X X X X RAMP-1 state X Road selection. In each state, a road prioritization study was conducted in order to prioritize intervention areas based on a combination of selection criteria including: the population of the communities living along the links, agricultural production, environmentally sensitive areas, markets and community preferences. Secondly, priority rural roads were identified within each prioritization area, using criteria such as: connectivity, traffic levels, rural transport hubs or connection to health and education facilities. Each “tier-one” state has used the results from these prioritization studies in order to come out with a list of about 200 km of rural roads, packaged in three clusters. The length of these roads was reconfirmed through field visits with a Global Positioning System (GPS). As part of project preparation, detailed design studies and safeguards studies were prepared, so that the rehabilitation works of these identified prioritized roads can be ready to be procured by project’s approval. The remaining roads to be rehabilitated by the proposed project (about 300 km per tier-one state) will be identified during implementation based on the outcome of the prioritization studies 16 but also on the priorities of the NATA. Identified Prioritized Rural Roads in the States and Agricultural Potential are presented in Table 1.0 below. Table 1.1: Prioritized Rural Roads in the States and Agricultural Potential State Adamawa Enugu Niger Osun Cluster of roads Cluster 1 (Jambutu, Njoboli, Kwana Waya, Labondo) Cluster 2 (Mildo, Bazza, Kaya, Shuwa) Length of Roads (Km) 57.9 73.2 Cluster 3 (New Demsa, Kpasham, Bille, Gyawana) 70.3 Cluster 1 (Udi, Abor road, Egede, St. Mary, Ugwuoba) 59.4 Cluster 2 (UNTH, Umuaniagu, Mbogodo, Nomeh) 57.2 Cluster 3 (Neke, Umualor, Mbu, Obollo Eke) 42.2 Cluster 4 (Ukpabi, Ikwuoka, Adani) 44.8 Cluster 1 (Wuya, Enagi, Mokwa) Cluster 2 (Diko, Kabo, Tafa, SabonWuse, Ijagwari, Suleja, Abuchi Izom) Cluster 3 (Auna, Tunga Jika, Wawa, Malali) 94.8 48.0 Cluster 1 (Abogimole, Agbowu, Eleke, Pataara, Agoro) Cluster 2 (JagunOsin, Elebu, Osi, Alogba, Owode) Cluster 3 (Odojbo, Jabu, Ira, Oligeri, Oniyo) 64.6 109.2 40.5 58.0 Main crops Rice, cassava Sorghum, cassava, fish farming, millet Rice, cassava, cotton, groundnuts Palm wine, palm oil, cassava, yam, maize Cassava, yam, maize, palm oil, palm wine, bread fruit, rice, okro, cocoyam, eggs, poultry Yam, maize, palm oil, cassava, rice Yam, maize, palm oil, cassava, rice Rice Cassava, rice Fish farming, rice, cassava, Millet and Sorghum Yam, cassava, rice Cocoa, citrus, maize Cocoa, rice, yam, beans The remaining roads to be rehabilitated by the project (about 300 km per state) will be identified during implementation based on the outcome of the prioritization studies and the priorities of the NATA. To this end, updated road prioritization studies will be prepared under component 3.1. An improved road prioritization methodology will first be developed, based on a spatial analysis of the targeted territories. This methodology aims at identifying those roads that connect key areas of production of high value crops to processing centres (e.g. staple crop processing zones, rice mills) and/or marketing (local or regional markets) or consumption areas states. An on-going, World Bank-supported, spatial analysis initiative has been launched in order to map existing data about agriculture production and productivity, as well as processing areas and marketing centres and rural infrastructure assets. The initiative will in particular use, as key inputs, the GPS-based road inventories – to be prepared as part of the project’s component 3.1., as well as a database of small farmers, under preparation as part of the FADAMA project. 17 1.3.3 Community Engagement The involvement of the communities in the implementation of RAMP-2 cannot be over-emphasised. Component 1 & 2, will involve citizen/community participation in roads prioritization, works implementation, oversight of project. Also permanent routine maintenance would be performed by communities living alongside the RAMP-2 intervention roads, organized in “maintenance groups”. The component will also incorporate project-related grievance redress and citizen feedback mechanisms and oversight by citizens. The Maintenance groups would be incorporated and contracted by the SPIUs using the procurement process and model contract format stipulated in the procurement plan cleared by the Bank, as detailed in this document. Annual mechanized maintenance – to be performed at the end of the rainy season, would be performed either through global maintenance contracts contracted out to the private sector which will also provide ample employment opportunities for the communities. This component will also finance all related activities, such as: technical assistance for the conformation of the community-based organization, external supervision, monitoring of activities and road condition, and technical audits. Special attention will be granted to the gender dimension, since routine maintenance contracts could offer employment opportunities to poor women living in the communities beside the roads. Routine maintenance is generally highly labour-intensive (about one full-time, permanent equivalent worker per km of road) and it does not require a skilled labour force. SPIUs will be encouraged to build up a strategic partnership with an existing community development program (such as the Nigeria Fadama Development III Project ) in order to help develop the entrepreneurial capacity of community-based maintenance groups. 1.3.4 Community Engagement Mechanism Community participation in the maintenance of rural road could be more cost effective and equally have important developmental spin-offs. These would include improved cash income opportunities, skill development and a greater sense of ownership, by the communities. For rural roads, the benefits of community participation particularly apply to routine maintenance, which suits the skill profile of farming communities and can be adapted to fit in with the agricultural calendar. Table 1.2: Types of Participation PARTICIPATION TYPE CHARACTERISTIC Passive participation People participate by living in the area of the project. They may be told what is going to happen or has already happened but will have no other input. Participation for material incentive People participate by being paid for labour in food or cash, for a pre-determined project. This may be as a 'community' or as groups. 18 Participation by resource contribution People participate by contributing a resource such as labour or money, to a predetermined project. Participation by consultation People participate by being consulted (perhaps with options) on projects where the majority of the decisions have been made. Their view may/may not be considered. Interactive participation. People participate by joining with external professionals in analysis of their situation, developing action plans and determining common projects. Spontaneous mobilisation People participate by taking their own initiative independent of external professionals to change their situation. This may lead to self-help projects or requests to other institutions for assistance. 1.3.5 PROJECT STEPS FOR COMMUNITY PARTICIPATION The following figure summarises the process undertaken to engage communities in community participation. Figure 1.1 : Project steps for community participation 19 1.3.5.1 Screening Screening is the first step in the process of community participation. Screening serves two purposes: firstly to assess whether road maintenance is a priority to the community; and secondly to assess whether the project lends itself to community participation. 1.3.5.2 Assessment of capacity At the community level, capacity can be explored in the following areas: Community organisational capacity Natural resources, e.g. timber, soil, gravel and rock deposits can be used for 20 maintenance. Human resources e.g. labourers, supervisors, technicians or monitors can cut project costs and increase community responsibility and participation. Financial resources. 1.3.5.3 Organisation forming and linking From the capacity assessment, knowledge of the administrative or community leadership structure will be gained. Within this structure there could be a number of group or sub-committees that deal with different activities or sectors in the community. This may include Community infrastructure, Community Transport Committee, etc. At this stage it will be clear whether or not the community members are adequately prepared to participating effectively in the project. If the necessary structure is not in place then they may be the need to institute one or completely restructured, using a simple election with seats allotted to specific groups in the community e.g. men, women, traders and farmers. 1.3.5.4. Planning and design The previous three steps can all feed into or be an integral part of the planning stage in a project. The majority of the information collected can be used to shape the way in which the process of participation is going to continue in to the more detailed design and implementation stages. However, to maintain the trust and relationship with the community that has been developed so far, their inclusion in the planning stage is vital. This stage involves both planning for the physical activities as well as managerial aspects. Community representatives may not have high levels of technical knowledge but they will have knowledge of the local area and the problems they face and this knowledge can be of great value in deciding and prioritising which roads can be improved. When planning works using community labour the following factors should be considered: The number of people in the community who are able to work. The time of year -is it a busy time of the year? When are the traditional times of year for community work? Who is organising the labour? It is often easier to let the community committee organise this kind of labour. The management of these inputs is best left to the community, however, a trained engineer/works supervisor should be involved in the supervision of works. The parameters and timetable for both these contributions should be agreed before implementation and possibly in a contractual form. As mentioned above women can be better contractors than male led contractors, in terms of speed, quality and ease of construction. However more women are not participating in road works largely because they may not have anyone to care for their children, or work on the roads is seen as demeaning by the wider community. Thus, when planning works and wanting to enable women to participate planners 21 must consider a woman's wider needs, such as working hours, crèche, feeding and toilet facilities. 1.3.5.5 Implementation The implementation of a project rests on a bed of good planning. Therefore, for active and sustained community participation the previous steps are essential for good participation in the implementation stage. The following section gives a guide for the elements of project implementation in which a community can most actively participate. Contractors The use of contractors presents an excellent opportunity to allow the local communities to physically participate in the implementation of a project. This participation may be at a number of levels: • Skilled to unskilled labour for a large contractor. • Unskilled and semi-skilled for a petty contractor. • As contractors themselves. The use of large contractors is common in the reconstruction and rehabilitation of rural roads. The use of local people can be as skilled to unskilled labourers. Most local people will not have construction skills and will be employed as unskilled labour, with the contractor bringing their own semiskilled and skilled labour. In some cases the contractor will train local labourers, and may even use them again in subsequent works. Petty contractors who are usually locally based are best contracted to conduct maintenance works of a routine or periodic nature. Community members can be employed on a semi regular basis as semi and unskilled labourers to carry out tasks such as grass clearing and drain/culvert cleaning. With the use of labour-based techniques the participation of these labourers can be expanded to periodic works such as re-surfacing or earth works repair. Small contractors may not have the resources - staff, machinery to register as recognised contractors. This can be avoided by enacting a local by-law to allow small contractors form co-operatives in order to be registered. This will enable them to bid for works contracts. If this is not possible, small contractors can be sub contracted by the larger contractors. The training of small contractors on how to run a business can ensure some sustainability as they will have the skills to bid for and run contracts after the project have finished. If this training and their experience are in routine and periodic maintenance works it more likely that there will regular work than for construction or rehabilitation works. Although, sufficient funds must be allocated to ensure the maintenance works can continue. Advertising of works 22 If the contractors are not to be employed directly, advertisements to tender for works need to be well placed. Channels for doing this may include local newspapers and other media. This will serve two purposes: firstly more contractors will see the advertisement; and, secondly the community will be alerted to the fact that works will be commencing in the area. In many projects, especially for routine maintenance, women contractors have been more effective and produced a better quality of work than male led contractors. Therefore, the advertisement may want to encourage female applications. Assessment of tenders There will be a set of procedures for assessing tenders for works that are based on a technical & financial basis and in line with IDA & AFD procurement guidelines. To further encourage the participation of communities, .the evaluation criteria should include some items such as the number of local people to be employed, the use of local materials, gender desegregation, etc. The issue of the choice of construction method is also relevant as it can have impact on the involvement of communities. Choice of construction technique The choice of construction technique will depend on the machinery available, human resources and financial resources. In the context of community participation the application of labour based methods is favourable for the following reasons A greater number of local people can directly benefit by earning money. The community is more involved in road works, which may engender a responsibility toward the local infrastructure. Labour-based projects usually train even the unskilled labourers, these skills can be used in continued maintenance or other jobs. If the population density is sufficient along the road, contractors can be village based. Maintenance works can be done on piecework rates that can take up to half a day to allow female community members to conduct other tasks such as child care or farm work. 1.3.5.6 Monitoring and evaluation The monitoring and evaluation of a rural road project is usually concerned with the physical monitoring i.e. length of kilometres improved, amount of material used, quality of works, etc. Others are the social and economic effects and impact. Communities can participate in both of these stages and a third stage that is the monitoring and evaluation of the actual community participation. At the evaluation stage the community can play a great part. For example community members along a reconstructed/rehabilitated/maintained rural road can 23 effectively monitor and gauge the quality of work done and report accordingly to the appropriate quarters. They may also have inside information if the contractor has been using local labour. Also if there is a part of the works that they feel needs changing they can often assess this more quickly than the engineer in charge. 1.3.5.7 Sustainability Maintenance is a long-term activity, therefore if community participation has proved to be useful it needs to be sustained. For sustainability there is a need for the willingness of all the stakeholders (community, SPIU and other local officers). This willingness can be engendered in a number of ways the most practical are highlighted below: Routine meetings -many committees will only meet when there is an emergency such as the wash out of a road section and/or the loss of a bridge. Committees convening on this basis rarely meet and as a result issues such as mobilising labour or money for routine or periodic maintenance will not be discussed. Therefore, when setting up or revitalising a committee, regular meetings should be convened at least once every four months, from the start. Agenda -Even if there are regular meetings they will need an agenda of some substance. Maintenance activities lend themselves well to this, due to their cyclic nature. Therefore, the committee can be planning, implementing and assessing future and past activities. Reporting back -If the above activities are documented in meeting minutes that are copied back to the SPIU, it ensures the meetings are monitored and progress is checked. 24 SECTION 2: INSTITUTIONAL AND IMPLEMENTATION ARRANGEMENTS In order to ensure effective project implementation, the Federal Project Management Unit (FPMU) at the Federal level and the State Project Implementation Unit (SPIU) at the states level will carry out regular coordination of project activities. To sustain the capacity of the FPMU and SPIUs, continuous support will be provided through the project to strengthen the capacity of their staff with the following objectives in mind: Effective collaboration between the institutions responsible for project implementation; Ease in the delivery of the project as a basis for promoting ownership and accountability; Promotion of mainstreaming of procedures with the current government structures; Provision of an appropriate link between government and development partners; Promotion of adequate stakeholder consultation; and Promotion of government leadership as a basis for ensuring program sustainability. 2.1 BENEFICIARY AGENCIES & INSTITUTIONAL FRAMEWORK. Project Beneficiaries The main beneficiaries of the project are the four participating state governments with selected Ministries, Departments & Agencies and Communities especially poor rural communities living alongside the roads in Adamawa, Enugu, Niger and Osun States. Specifically the direct beneficiaries, by each component are as follows: Component 1 & 2 – Upgrading and/or Rehabilitation of Rural Roads/River-crossings and Community-based maintenance Rural communities living alongside the roads in participating states Youths and poor rural women who are unemployed and/or seeking to be employed as road maintenance workers, The MDAs and government institutions in charge of road construction/maintenance in the states. The state Ministries of Works and Agriculture& Rural Development. The state agencies responsible for public works. Community groups and associations in the four participating states, including farmers, women groups and youths in the rural areas. Component 3 – Project Management and Strengthening of State & Federal Road Sector Institutional, Policy and Regulatory Framework The component will provide technical assistance to support reforms and capacity building in: Ministry of Agriculture & Rural Development Project Staff Members (Federal & Participating States Levels): 25 Table 2.0 Responsible Federal & States MDAs8 Federal & States RAMP-2 Anchoring MDAs & Their Addresses (1) (2) (3) (4) (5) (6) (7) 2.2 Federal Project Management Unit (FPMU), Federal Ministry of Agriculture & Rural Development, NAIC House, Central Business District, Abuja, Nigeria. National Planning Commission, Plot 421, Constitution Avenue, Central Business District, Abuja, Nigeria Federal Ministry of Finance, Federal Secretariat, Central Business District, Abuja,, Nigeria Ministry of Rural Infrastructure and Community Development, State Secretariat Complex, Yola. Adamawa State Ministry of Works and Infrastructure, Enugu State Secretariat, Enugu, Enugu State. Ministry of Agriculture and Rural Development, Abdulkareem Lafene Secretariat, Paiko Road, Minna, Niger State Ministry of Rural Development, Water Resources and Community Affairs, State Secretariat, Abeere, Osun State ARRANGEMENTS FOR PROJECT COORDINATION AND MONITORING/IMPLEMENTATIONAT THE FEDERAL AND PARTICIPATING STATES LEVELS: The Project sets up two levels of project coordination/management and implementation arrangements, one for the individual state project implementation and another for the overall project coordination at the federal level. 2.2.1 Relationship between FPMU and SPIUs RAMP-2 will be implemented by participating State Governments, and coordinated by the Federal Government. At the Federal level, the FPMU in the Ministry of Agriculture and Rural Development will be responsible for coordinating the Program. It will screen new participating states, provide technical backstopping during preparation and implementation, and consolidated project monitoring reports to submit to the Bank. The FPMU will also be responsible for providing targeted technical assistance to the states. The FPMU is currently responsible for coordination the First RAMP, and manages the PPA resources. As such, it is familiar with Bank’s safeguard requirements and it should play a key role in providing oversight and coordinating support to participating states. Specifically, the FPMU shall among other coordinating activities to the SPIUs: provide overall guidance to the participating states, this include review of annual Work plan and Procurement Plan prior to the World Bank's annual Procurement Clinic. Support and ensure smooth implementation of the program in adherence to service standard laid down in the Project's guidelines and Procedures. This would be in form of monitoring & evaluation and provision of technical backstopping when necessary. 8Further elaborated in Appendix 13. 26 Ensure regular and timely submission of quarterly progress report to IDA and AFD. Assist in organizing quarterly review meetings and ensure annual auditing of accounts by external Auditors Provide technical support to the SPIU’s in it core activities ranging from Procurement, Monitoring and Evaluation, Financial management, Infrastructure, Development Communication, Environmental and Social Sageguards. The State PIUs will implement their respective components. They will be responsible for the procurement and management of all contracts assigned to them, including all civil works components and consultancy services. 2.2.2 Management and Implementation Arrangements at the Federal Level: The coordination and facilitation of activities at the National level will be the responsibility of the Rural Access and Mobility Project (RAMP) Federal Project Management Unit (FPMU), located in the Federal Ministry of Agriculture and Rural Development (FMA&RD), NAIC House, Central Business District, Abuja. The FPMU operates under the strategic oversight of National Technical Steering Committee (NTSC), an existing structure within FMA&RD. This steering committee comprises of the following members: Permanent Secretary of FMA&RD (chair person) Technical Ministries representatives as well as Coordinators of all IDA-financed agriculture and infrastructure programs in FMA&RD. The NTSC committee meets on a quarterly basis and is also involved in the implementation of the Nigeria Agriculture Transformation Agenda (NATA).This arrangement is expected to facilitate the alignment of RAMP-2 with the NATA initiatives launched in the participating states. The FPMU is currently implementing the RAMP-1 project and it is a fully staffed (with civil servants and consultants recruited competitively) and well equipped institution with a satisfactory track record in project management. Furthermore, the Federal Project Financial Management Division (FPFMD) located in the office of the Accountant General of the Federation is responsible for financial management for all Bank-funded projects implemented at the Federal level and will assign relevantly qualified accountant, Project Finance officer and internal auditor to the FPMU to support the use of financial resources under RAMP-2 in an economic, efficient and effective manner, in compliance with the financial management requirements of the World Bank and the State Government. The Head of the FPFMD/PFMU is are part of the Project management team and will be invited to all its management meetings while the designated Project Accountant & 27 Internal Auditor will be invited to all project staff meetings. Top level arrangements of the institution arrangement at the national level can be represented as follows: Figure 1.0: Project’s Institutional Framework. 2.2.3 FUNCTIONS OF THE NATIONAL TECHNICAL STEERING COMMITTEE The main functions of steering committee is as follows: (i) Ensuring proper alignment between RAMP2 and other FMA&RD programs and initiatives to support the implementation of the NATA; (ii) Reviewing implementation progress; and (iii) Providing guidance to FPMU on strategic issues (e.g. program’s scaling up, communication, dissemination of best practices). 2.2.4 FUNCTIONS OF FPMU The FPMU is led by a National Coordinator. The main responsibilities of the FPMU include: (a) Coordinate and facilitate activities in the participating states; (b) procure and implement project preparation activities financed by the PPA and the French Development Agency’s (AFD’s) preparation funds; (c) ensure state selection and monitoring of state performance by preparing for scale-up tier 2 states to tier 1 states; 28 (d) (e) (f) (g) (h) (i) (j) (k) 2.2.5 Provide targeted technical assistance/support and capacity building support to participating states in order to help them establish their State Project Implementation Unit (SPIU); ensure project alignment with federal rural development policies (such as the Transformation Agenda for the Agriculture Sector) and contribute to the design and implementation of sound rural transport policies; facilitate the overall coordination of the project, including consolidating project work plans , budgets, and reports and liaising with the two financers (IDA and AFD), commission financial and technical audits; manage project activities listed under sub-component 3.2 and prepare an eventual scaling up; promote peer learning as well as dissemination of best practices and lessons learnt through effective monitoring and impact evaluation; ensure the involvement, whenever required, staffs of the Federal Ministry of Finance in key field supervision missions; provide regular public updates on progress, M&E results; and ensure that public grievances or complaints are responded to by the appropriate authorities. FUNCTIONS OF THE FEDERALPROJECT FINANCIAL MANAGEMENT DIVISION (FPFMD) The FPFMD at the federal level will ensure the following: All transactions and balances relating to the project are correctly and completely recorded; Preparation of regular, timely and reliable financial statements; Safeguarding of the entity’s assets; and Existence of auditing arrangements acceptable to IDA. 2.2.6 Staff Performance and remuneration (FPMU) Performance of all staff shall be reviewed annually on the basis of agreed criteria related directly to achieving the objectives of the annual approved work programme. Members of the FPMU that do not meet performance criteria will be put on an action plan for 6 months after which they will be re – evaluated. Non – performing staff will be replaced. Performance evaluation criteria for each staff shall be prepared and used during the staff evaluation process. All Core staff shall occupy specialist positions in the FPMU which shall attract remuneration comparable with their counterparts in similar projects. Similarly remuneration of all support staff and seconded staff at the PFMU shall be comparable with those of their counterparts in similar projects. The Coordinator shall be placed on a negotiated contract comparable to his counterparts in similar Bank funded projects. The guiding principle shall be harmonization of the overall remuneration/allowances of FPMU staff from the public sector with those of their counterparts doing similar jobs in order to avoid discriminatory allowances within the 29 same office. The other guiding principle is that Bank credit shall not be used for remuneration or allowances of staff not recruited through an open competitive process and for which Bank’s No Objection has been provided. The core staff of the FPMU shall be recruited through advertisements in two widely circulated national daily newspapers while a Project Accountant and Project Internal Auditor will be assigned to the FPMU from the office of the Accountant General of the federation. 2.2.7 THE FPMU TEAM AND THEIR MAIN FUNCTIONS FPMU comprise of core operational professional staff structure shown below: National Project Coordinator :1 Infrastructure/Site Engineer (Civil/Agricultural):1 M & E specialist:1 Project Accountant:1 Procurement Specialist:1 Development Communication Specialist:1 Environmental & Social DevelopmentSpecialist :1 Project Internal Auditor:1 Management Information Systems Specialist:1 Support Staff include: Project Secretary:1 Cashier / Finance Officer:1 Store Officer:1 Office Assistant Drivers The FPMU shall hire on contract basis the services of competent service providers for cleaning and security services rather than direct recruitment of staff for such services. The current FPMU staffing position is as shown below: National Project Coordinator Infrastructure Engineers (Civil/Agricultural) M & E Specialist Project Accountant 30 :1 :3 :1 :1 Project Internal Auditor Procurement Specialist Development Communication Specialist Environmental & Social Development safeguard Specialist :1 :2 :1 :1 Support Staff include: 2.2.8 Assistant Project Accountant Project Secretary Programme Secretary (HRM) Project Finance Officer Office Assistant Store Officer :1 :1 :1 :3 :1 :1 THE MAIN FUNCTIONS OF THE FPMUTEAM: 2.2.8.1 National Project Coordinator Description: The National Project Coordinator (PC) will be responsible in ensuring that the FPMU functions and responsibilities are carried out as detailed in the PIM. Also the PC will be accountable for the performance of the FPMU. Consequently, he/she will be responsible for the overall project progress by ensuring the realisation of the RAMP-2 goals and objectives at all levels. She/he will be accountable to the FPMU, operates under the strategic oversight of National Technical Steering Committee (NTSC), appropriate levels of government ministries and primary stakeholders for project progress, problems and strategy. Tasks and Responsibilities 1. Responsible for strategy, implementation and evaluation of impact and relevance of the project activities, regarding humanitarian needs in the area of intervention. 2. Ensure that systems for public communication & access to information, including receipt of and responses to complaints and redressal of grievances are established and functional. 3. Draw-up annual work plans, and ensure the implementation of the approved work plans. 4. Ensure that the activities carried out in the project are in line with the objectives defined and the action plan. 5. Keep a close collaboration and follow up with the entire Federal project team. 6. Ensure there are sufficient and appropriate personnel with the right level of resources and other support needed for successful implementation of the project. 7. Keep in touch with key stakeholders including Federal government officials, NGOs, national and international organisations, civil and military authorities, as well as with other relevant sections of the society in the project area. 8. Negotiating collaboration and agreements between authorities at project level. 9. Develops and maintains a detailed project schedule which includes administrative tasks and all sites involved in the project. 31 Coordinate meetings, including travel arrangements and expense reports. Delegate tasks and responsibilities to appropriate personnel. Identify and resolve issues and conflicts within the project team. Develop and deliver progress reports, proposals, requirements documentation, and presentations. 14. Coach, mentor, motivate and supervise project team members and contractors, and influence them to take positive action and accountability for their assigned work. 10. 11. 12. 13. 15. Ensure that the SPIUs follow the AFD’s specific financing eligibility requirements (AFD’s legal and regulatory obligations with regard to procurement) for all the contracts co-financed by AFD 16. Promote performance enhancement of staff and relevant stakeholders through Capacity Building. 2.2.8.2 Project Accountant Description: The designated Project Accountant is responsible for the Project Financial Management activities for RAMP-2 in the participating States. Tasks and Responsibilities 1. Prepare the budget (in consultation with key members of the FPMU/SPIU) for the fiscal year based on the approved work plans. 2. Maintain and update all accounting records promptly in line with approved accounting standards and in line with the Bank’s requirement and Government’s regulations. 3. Prepare and submit periodic reports, (i.e. monthly, semester and annually) in the formats agreed with the Bank within the stipulated submission deadline. 4. Ensure relevant books and records are maintained, including appropriate records for advances. 5. Prepare monthly bank reconciliation statements for all the bank accounts. 6. Ensure strict adherence to installed internal control arrangements and to the Financial Procedures manual. 7. Liaise with the internal/external auditors/Bank FM staff and follow up any audit queries/management letters/FM issues. 8. Prepare and submit Withdrawal Applications on regular basis to the Bank and when necessary to AFD. 9. Ensure payments are only made for eligible expenditures that are properly substantiated and in line with the financing parameter in the FA. 10. Ensure the annual financial statements are audited and submitted within the stipulated submission deadline to the Bank. 2.2.8.3 Project Auditor Description: The internal auditor shall ensure the orderly and efficient conduct of operations and have unrestricted access to any Project documents, files, or minutes. Tasks and Responsibilities 32 1. Administratively responsible to the PC and technically responsible to the Head PFMU. 2. Ensure that there is an adequate internal control within the project management and processes. 3. Prepare annual audit work plan with emphasis on the identified project risk areas. 4. Prepare on quarterly basis Internal Audit Report and submit to IDA, steering committee, SPIU and PFMU. 5. Ensure that expenditures are in line with approved budget line. 6. Pro-actively support and improve project quality assurance. 7. Lead and perform the internal audit function of all activities of the Project and review and evaluate the adequacy of the internal control structure as well as records and reports with a view to appropriately recommending improvements to the systems. 8. Develop and monitor audit programmes and procedures to cover all financial operations of the SPIU. 9. Point out irregularities to the Project Management without delay. 2.2.8.4 Infrastructure/Site Engineers (Civil & Agricultural) Tasks and Responsibilities 1. Preparation of transport investment plans least cost designs for rural roads and access infrastructure. 2. Ensuring that the standards and specifications of all engineering components of the project particularly the maintenance and the rehabilitation of rural infrastructure are implemented in accordance with relevant project documents. 3. Ensuring that the technical inputs in the road and other infrastructures components are properly specified and strictly implemented. 4. Ensuring sustainable rural road and access maintenance programme and quality standard within the Local government and other stake holders. 5. Ensuring linkages within and outside the project with the aim of drawing synergies for effectiveness. 6. Ensure linkages of infrastructures projects within the project preparing rural roads and access infrastructure inventory and assisting the states to carry out condition surveys for the gathering of data required for planning and programming of needed maintenance work by the participating Local Governments and communities. 7. Prepare in conjunction with the participating intervention areas methods and procedures for the control of performance and costs of rural road and access infrastructure maintenance and rehabilitation works. 8. Carry out necessary training and preparation of engineering and field reports. 9. project monitoring and implementation, with the aim of ensuring that all rural infrastructure works and services are carried out with due diligence. 10. Other tasks as assigned by the National Coordinator Coordinator. 2.2.8.5 Development Communication Specialist 33 Tasks and Responsibilities 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. 18. 19. Lead, develop, and support implementation of a Development Communications strategy and outreach plan for the project In close coordination with other team members and stakeholders, develop and ensure timely implementation of a work plan on communication and outreach. Oversee the development of appropriate communication and outreach materials, such as publications, posters, banners, flyers, fabrics, T-Shirts and brochures, amongst others, for the various target groups. Support the creation and administration of communication outlets for the project, such as a website, Newsletters-photo boards and bill boards etc. Supervise and guide the production of communication materials (including translation; where necessary). Monitor and work in collaboration with State Development Communications Specialist to implement state adapted communication strategy for the project. Prepare advertisement materials and messages for publication both in the electronic and print media. Creates appropriate links between the various communication means, including with project partners and national counterparts, as appropriate Explores and identify opportunities available to strengthen the project visibility. Take appropriate and pre-emptive measures to avoid unwarranted publicity on project activities Manages and advises the project leadership on potential and/or actual communication issues Organizes an avenue for the press to be abreast of with project activities and outcomes as well as the role of development partners (World Bank and AFD) Engages with electronic and print media (e.g. to explore the possibility of using radio/TV shows to enhance the project monitoring and visibility Compiles a database of various interlocutors and stakeholders, including the media Develops a list of useful members of the press and maintain good relationship with them Keeps abreast of news reports about the project and related matters Shares and responds to requests for information and assistance on the project Monitors public commentary and direct input to the SPIU, including response to public complaint and through dispute/grievance redressal systems, enable tracking of the responses made to the public inputs. Together with the Safeguards office, develop a framework for access to information both for the overall project and each specific component/subcomponent, including specific mechanisms for making project information 34 accessible to the public, specifying times and responsibilities to address citizens/ CSOs’ requests for information 2.2.8.6 Monitoring &Evaluation Specialist Description: The Monitoring and Evaluation Specialist shall oversee all monitoring and evaluation activities within the FPMU and in collaboration with the project team develop, coordinate and implement effective monitoring and evaluation systems that address the need of the project. Tasks and Responsibilities 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. Responsible for the monitoring and evaluation component of the project and generation of project specific information on progress, processes and performance. Monitor progress towards attainment of targets and to adapt targets to realities. Enhances and conduct baseline formative research, develop indicators based on KAP (knowledge, attitude and perceptions survey). Develops and implements a logical framework and performance-based monitoring and evaluation strategy for the project. Coordinates day-to-day research, design, monitoring, and evaluation activities of the project. Research and continuously follow existing monitoring and evaluation literature, frameworks, materials, methodologies, best practices, and Inform project team of current research that affects project outcomes. Designs and carry out various data collection methodologies to gather critical information that monitor and evaluate the project’s progress against targeted outcomes and impact. Develops strategies for involving the project’s local partners and community stakeholders in collecting data and learning from project findings. Leads training of the project’s M&E methodologies and tools for staff and project partners in the state. Establish and maintains a repository of resources on M&E for RAMP-2 in the state. Explores creative use of technology and media for M&E on RAMP-2 activities. Provides monthly and quarterly reports on activities, outputs, and relevant outcome indicators to the Project Coordinator and other relevant stakeholders, including non-state actors. 2.2.8.7 Procurement Specialist Description: Identifies, contracts, and manages the various ancillary trades and vendors for the implementation of the RAMP-2. He/She must obtain competitive pricing, negotiate 35 contracts, and then work with the project coordinator to ensure the vendors adequately perform their scope of work. Tasks and Responsibilities 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. Manages the project procurement through implementing all policies and procedures related to procurement activities & ensuring that the procurement guidelines and provisions are followed in all the project transactions; Develops procurement tools, such as standard format for Terms Of Reference, Technical Specifications, customized contracts for staff and other individual consultants; Post “Specific Procurement Notices” (SPN) and “Requests for Expressions of Interest” (EOI) for goods and consulting services respectively. Undertakes necessary advertisement on annual and periodic basis; Undertakes procurement activities, such as preparing/reviewing technical specifications for goods and terms of reference for consulting services; preparing bidding documents; writing evaluation reports; providing necessary assistance and tools for conducting evaluation processes; etc. Conducts market research and update price lists in respect of relevant Goods and Services; Develops and maintain a data base of suppliers and consultants to include their contacts, areas of expertise, relevance to project components Maintain a coherent filing system to include procurement preparation and contract management, correspondence, claims, reports, etc. Ensures that all Consultants deliverables are properly filed and referenced; Develop Annual Procurement Plans, and generate regular updates for the guidance of the SPIU project team as detailed in section 3 on Operational Procedures below; Develops tools for capturing procurement data and identify progress towards the achievement of procurement schedules; Participates in project technical committees or component team meetings in order to ensure timely implementation progress and a focus on procurement related activities; Ensuring that the standards and specifications of all engineering components of the project particularly the maintenance and the rehabilitation of rural infrastructure are implemented in accordance with relevant project procurement documents. Coordinate with the relevant Officers, including Project Accountant for regular preparation of Project Management Reports, as a part of the World Bank and AFD financial reporting requirements; Undertakes other procurement related duties and assist with other project management responsibilities as required by the Project Coordinator; 36 16. 17. 18. 19. 20. Prepare bid documents, provide instructions for bidders on procedure for submission of bids, and prepare technical specification for materials to be procured. Follow up on contracts recommendation and award, source price quotation from suppliers and ensuring insurance cover for all imports. Follow up on “No Objection” from IDA on all procurement activities. Organizing and coordinating procurement workshop and training for the SPIU and review of their annual procurement plan. Monitor procurement processing in close collaboration with the relevant Officers and maintain a realistic planning allowing proper budgeting; 2.2.8.8 Environmental Safeguard Specialist Description: The Environmental Safeguard Officer is responsible for developing, implementing and administering Environmental aspects in RAMP-2 operations. Work with project teams and other relevant stakeholders on issues related to World Bank's and AFD’s environmental safeguard policies. Tasks and Responsibilities 1. Review all EA Documents prepared by consultants and ensure adequacy under the Co-Financiers Safeguard policies 2. Ensure that the project design and specifications adequately reflect the recommendations of the EIA. 3. Provides environmental safeguards review and technical support to project implementation teams to enhance project quality and compliance on environmental safeguards in RAMP-2 operations in the states. 4. Advises Government agencies, project sponsors, consultants and nongovernmental organizations on the Co-Financiers' environmental safeguard policies, guidelines, procedures and best practices and assists them in preparing appropriate frameworks, plans and actions to address these issues during project development and implementation. 5. Liaise with relevant project stakeholders including SPIU Partner/Contractors and communities, in ensuring adherence to Co-Financiers' environmental safeguard policies, guidelines, procedures and best practices while executing RAMP-2 project 6. Ensuring effective integration of environmental considerations into all aspects of identification, consultation, planning and implementation of sub-project activities; 7. Review and approve the Contractor’s Implementation Plan for the environmental measures, as per the EIA and any other supplementary environmental studies that may need to be executed 8. Continuously interact with the NGOs and Community groups that will be involved in the project 37 9. Establish dialogue with the affected communities and ensure that the environmental concerns and suggestions are incorporated and implemented in the project 10. In conjunction with social development officer, provide guidance, training and support to environmental and social focal points at the state and local levels. 11. Coordinating, and liaising with the World Bank to ensure effective mainstreaming of environmental issues into the implementation of sub-project activities; 12. Ensuring that sub-project activities are consistent in their approaches to environmental issues, thereby supporting full blending at the operational level; 13. Ensuring that environment-related modules are incorporated in the training and capacity building programs designed at all the levels. 14. Identifying suitable consultants/institutions to be used on technical support activities and training & capacity building related to environmental aspects; 15. Defining, and subsequently monitoring, suitable environmental indicators for sub-projects; 16. Providing environmental inputs to monitoring, evaluation, and reporting activities; 17. Ensuring regular interaction with the External Consultants and World Bank Mission on Environmental aspects; 18. In conjunction with social development officer, guiding environmental and social focal points at SPIU Partner/Contractors in monitoring and evaluating social and environmental mitigation plans 19. In conjunction with social development officer, developing Terms of Reference (ToR) for communication experts for designing IEC materials and related awareness materials on social and environmental safeguards to be used at the state level. 20. In conjunction with social development officer, organizing stakeholders’ workshops to facilitate and guide leaders/members and contractors on social and environmental mitigation plans and monitoring 2.2.8.9 Social Development Specialist : Description: To support the SPIU in developing, implementing and administering social safeguards (people issues which include ensuring that risks of conflict and elite capture are mitigated) in RAMP-2 operations. Work with project teams and other relevant stakeholders on issues related to World Bank's and AFD’s social safeguard policies. Tasks and Responsibilities 1. Provides updated information and analyses on social safeguard aspects in the participating state; 2. Provides social safeguards review and technical support to project implementation teams to enhance project quality and compliance with guidelines and procedures established for social safeguards in the ESMF and RPF in the participating state; 38 Advises Government agencies, project sponsors, consultants and nongovernmental organizations on Co-Financiers social safeguard policies, guidelines, procedures and best practices and assists them in preparing appropriate frameworks, plans and actions to address these issues during project development and implementation in line to what is established in the project the ESMF and RPF; 4. Liaise with relevant project stakeholders including SPIU Partner/Contractors and communities, in ensuring adherence to Co-Financiers social safeguard policies, guidelines, procedures and best practices while executing RAMP-2 project; 5. Document all cases of compliance and non-compliance with Co-Financiers social safeguard policies, guidelines and procedures as well as mitigation actions taken in cases of non-compliance. 6. Design and develop mechanisms for adequate consultation with communities and CSOs at different stages of the project (i.e. design, implementation and monitoring), and ensure their adequate implementation and the integration of communities’ feedback into the project. 7. Jointly with SPIU communications officer, design and develop communication and education strategies for both the project as a whole and each specific component/sub-component, to ensure they are instrumental in raising awareness on project activities, targeted populations, mechanisms to be followed for the selection of beneficiaries (individuals, communities and institutions), mechanism for consultation and participation, project steps and procedures and mechanism to access further information and present complaints; 8. Design and develop feedback and complaints handling mechanisms for the overall project and each specific component/ sub-component. Mechanisms for the provision of feedback should be developed to serve the needs of each component, and yet still be integrated to the overall project monitoring and reporting system to ensure adequate, timely and transparent handling of both positive and negative feedback. 9. Together with the communications officer, develop a framework for access to information both for the overall project and each specific component/subcomponent, including specific mechanisms for making project information accessible to the public, specifying times and responsibilities to address citizens/ CSOs’ requests for information 10. Design and develop mechanisms for independent civil society verification of project performance indicators, and integration of their feedback in the reporting process. 2.2.8.10 Project Finance Officer 3. Tasks and Responsibilities 1. Ensure Petty Cash disbursements are appropriately and adequately documented. 2. Manage the Petty cash float and maintain the petty cash book. 3. Responsible for cheque writing and updating of Cheque Issued Register 4. Ensure invoices submitted for payment at the FPFMD/PFMU are promptly attended to and forwarded for processing. 39 5. Carry out other duties / special assignment as may be delegated by the Project Accountant 2.2.7.11 Project Secretary Tasks and Responsibilities 1. Assist the Project Coordinator in the day-to-day administration of the SPIU 2. Provide assistance, or undertake, project work including researching information and drafting documents and reports. 3. Prepare documents, including letters, minutes of meetings, reports, agendas and briefing material. 4. Maintains and manage databases and spreadsheets for reporting. 5. Works collaboratively with internal and external stakeholders to develop relationships, identify training needs and resolve issues. 6. Undertakes administrative duties as necessary, pertaining to the operation, coordination and maintenance of records and information. 2.2.8.12 Store Officer Tasks and Responsibilities 1. Receive goods into the store using SRV and issuing of goods using SIV. 2. Recording good received into a Goods Received Register (GRR) 3. Recording each item received into the store n the Bin cards and continuously updating it with issues and receipts. 4. Ensure that goods/ stocks are held in suitable place(s) and under responsible officers who shall see that they are kept under suitable storage conditions 5. Ensure appropriate records are maintained for stock issues. 6. Shall prepare stock reports which quarterly shall form part of the FMR. 7. Assist the SPIU’s in setting up of stores, inventory and stores management, receipt/issue of items in the stores. 2.3 ARRANGEMENTS FOR PROJECT COORDINATION AND IMPLEMENTATION AT THE STATES LEVEL: Management and Implementation Arrangements at individual State Level: Each state will have the primary responsibility for the implementation of the project at the state level. The Anchoring Ministry for each state, as detailed on Table 2.0, will be the responsible ministry with the overall responsibility for overall leadership, supervision and direction of project activities in the State. The parent Ministry shall establish a State Project Monitoring Committee (SPMC) responsible for oversight and monitoring functions. The responsible ministry in each participating state will also establish the SPIU as its principal operational unit to manage, coordinate and implement the project in their state (technical guidance, procurement, financial management and reporting). The financial management responsibilities, both for IDA and AFD financings, will be handled in by the Project Financial Management Units (PFMU), in co-operation with 40 the State Project Implementation Unit, as for all IDA-financed operations at state level. The arrangement for the sub-component 1.2 will equally leverage on the existing FADAMA III institutions at the state level. Top level arrangements can be represented as follows: PRINCIPAL RAMP-2 IMPLEMENTER Figure 2.0: Institutional Framework for Planning, Approval & Execution 2.3.1 State Project Monitoring Committee (SPMC): The SPMC shall be the highest decision making body for the project in the state, chaired by the Permanent Secretary of the supervising/anchored ministry. The SPMC will provide oversight function for the project in the state and the composition varied slightly from state to state, largely due to their peculiarities and the existing institution arrangement in the participating states. However, in all the states, committee is chaired by the Permanent Secretary of the RAMP-2 supervising Ministry in the state with the Project Coordinator as Secretary while other members are drawn from line MDAs, relevant LGAs, State based rural roads and transport user associations, the civil society and the private sector. The details of the membership of the State Project Monitoring Committee (SPMC) for the states are as follows: Adamawa State: 41 1. Permanent– Secretary Ministry of Rural Infrastructure and Community Development. 2. Permanent Secretary Ministry of works 3. Representative of National Council of Women Society 4. Permanent Secretary / Solicitor General Ministry of Justice. 5. Permanent Secretary Ministry of Finance 6. Permanent Secretary Ministry of Agriculture. 7. Permanent Secretary Adamawa State Planning Commission. 8. Permanent Secretary Ministry of Women Affairs. 9. Permanent Secretary Ministry of Local Government Affairs. 10. Permanent Secretary (Political) SSG’S office 11. Head, Project Financial Management Unit 12 Representative of Farmers’ Association 13. Project Coordinator RAMP-2 : Chairman : Member : Member : Member : Member : Member : Member : Member : Member : Member : Member : Member : Secretary Enugu State: 1. Permanent Secretary, Enugu State Ministry of Works and Infrastructure, Enugu – Chairman. 2. Representative of Ministry of Agriculture 3. Representative of Ministry of Environment 4. Representative of Ministry of Local Government Matters 5. Representative of Ministry of Finance 6. Representative of Projects Implementation Department, Government House, Enugu 7. Representative of SSG office 8. Representative of Enugu State Economic Planning Commission, Enugu 9. Representative of NGO 10. Representative of relevant Local Government Areas 11. Representative of Farmers’ Association 12. Head, Project Financial Management Unit 13. Project Coordinator RAMP-2 : Chairman : Member : Member : Member : Member : Member : Member : Member : Member : Member : Member : Member : Secretary Niger State: 1. Permanent Secretary, Ministry of Agriculture and Rural Development 2. Managing director, Niger State Agricultural and Mechanization Development Authority (NAMDA) 3. Director Rural Development, Ministry of Agriculture and Rural Development 4. Representative of Ministry of Finance 5. Representative of Ministry of Justice 6. Representative of Ministry of Local Government 7. Representative of Ministry of Works & Infrastructure 8. State Coordinator Fadama III 42 : Chairman : Member : Member : Member : Member : Member : Member : Member 9. 10. 11. 12. Representative of Niger State Planning Commission Representative of Local Government councils General Manager , Niger State CSDP Project Coordinator RAMP-2 : Member : Member : Member : Secretary Osun State: 1 Permanent Secretary, Ministry of Works and Transport / Anchored Ministry 2. Permanent Secretary, Ministry of Women Affairs and Social Development 3. Permanent Secretary, Ministry of Finance and Economic Development 4. Permanent Secretary, Ministry of Agriculture and Food Security 5. Permanent Secretary, Ministry of Local Government and : Chairman : Member : Member : Member : Member Chieftaincy Affairs 6. Permanent Secretary, Ministry of Information and Strategy 7. Permanent Secretary, Ministry of Environment 8. Permanent Secretary, Ministry of Justice 9. Executive Secretary, Office of Rural and Community Development 10. General Manager , Osun Road Maintenance Agency 11. Director (Highways), Ministry of Works and Transport 12. Director General, Bureau of Public Procurement 13. Head, PFMU, Office of Accountant General 14. Director, Federal Ministry of Agriculture and Rural Development 15. President , All Farmers’ Association of Nigeria (AFAN) 16. Project Coordinator, Osun Rural Access and Mobility Project : Member : Member : Member : Member : Member : Member : Member : Member : Member : Member : Secretary The SPMC will convene every quarter and on demand to: Assess the progress of implementation of the Components and forward its analysis and conclusions to the FPMU. This includes the review of quarterly reports prepared by the State Project Implementation Unit (SPIU); Assess the overall project implementation and recommend the need for Project extension where necessary to FPMU for further consideration of the Federal Ministry of Finance. Approve annual work plans, budgets, and procurement plans for the state project; Ensure that agreed performance targets and timeline of the State project are met; 43 Articulate sector policies as outlined in the National Policy for Rural Transport and Travel (NPRTT) and ensure compliance during implementation; Ensure appropriate linkages across the sub-sectors to avoid duplication and overlaps; Commission an independent team to undertake concurrent annual evaluation of the Project. Address critical issues that could hinder the implementation of the project. Track performance progressively using approved key performance indicators for each key result areas Ensure effective communication and access to information Monitor feedback and grievance redressal An annual state budget shall be made for the SPMC, to cover the costs of arranging meetings. This amount would be used for servicing meetings, per diem, transport reimbursement and carrying out independent annual evaluation report. Production of any material needed for the meetings shall be borne by the SPIU. Such costs will not be defrayed from the IDA credit. Training for SPMC members shall be in the form of national study tours to gain experiences in the area of multi-sectoral programme implementation. The secretariat of SPMC shall organize meetings as follows: a) b) c) d) e) f) Seek and obtain approval of Chairman to call for meetings Notify and invite all members; Prepare all agenda and get approval of Permanent Secretary as Chairman; Keep minutes and send out to all members; Prepare all documents for discussion and decisions; Have a project reporting schedule e.g. Monthly: (i) Program Progress-Activities, cash flow and problem areas; (ii) Project progress as above (iii) Proposed remedial actions Quarterly: Financial Statements etc Annual: External Audit Annual audit reports Financial statements The SPMC will not be involved in the day to day management of the project but will provide strategic and policy guidance to the state project team. 2.3.1.1 Project Management Team (PMT) There shall be a Project Management Team (PMT), which will consist of all core staff of the project. The PMC shall meet weekly and on demand to discuss the overall progress of the project. 2.3.2 THE STATE PROJECT IMPLEMENTATION UNIT and PROJECT FINANCIAL MANAGEMENT UNIT 44 2.3.2.1 State Project Implementation Unit (SPIU): The SPIU will be the operational unit of the supervising ministry for the project in the state and will report to the supervising ministry of the project and the SPMC. It will be headed and managed by a qualified and experienced Project Coordinator (PC). The PC will be selected through a competitive process under procedures acceptable to IDA &AFD. The SPIU will be responsible for the day-to-day management of operations and ensure compliance with procedures and relations with the PFMU, the SPMC, FPMU, IDA & AFD. The main functions of the SPIU shall include but not limited to: 1. management of all project activities during the implementation (except for sub-component 3.2) including procurement, safeguards management, preparation of work plans and budgets, monitoring, reporting and evaluation; 2. ensuring the sustainability of project’s rural transport investments through designing, implementing and promoting sound road maintenance practices, in coordination with Local Government Authorities (LGAs) whenever appropriate; 3. ensuring the alignment of project activities with the state’s rural development policies and contribute to the design and implementation of sound rural transport policies at the state level; 4. Providing the FPMU with periodic and accurate reporting and documentation about the status of project implementation, as required. 5. Act as the secretariat for the SPMC; 6. Prepare annual work plans, budgets, procurement plans, etc. and present to the SPMC for review and approval before submitting them to the FPMU, IDA &AFD; 7. Monitor implementation of the project at state level and prepare quarterly progress reports and submit them to the SPMC, FPMU, IDA &AFD 8. Hold an annual conference to present and evaluate the extent to which Project plan objectives have been achieved. 9. Launch a major information campaign aimed at internal and external stakeholders. 10. Liaise with FPMU with the objective of ensuring proper and timely provision of World Bank/AFD, and other donor resources and release of the state counterpart funds for the implementation of Project activities; 11. Carry out procurement activities in compliance with the World Bank procurement processes and procedures for the procurement of works, goods and services for rural transport activities within the state; 12. Promote broad dissemination of information on the Project activities and its components, directly and/or in all the beneficiary Local Governments with the objective of allowing all the communities and non-governmental organizations to understand the Project’s goals, guidelines, eligibility criteria, coverage and operational mechanisms, and encourage them to participate; 45 Provide technical assistance in launching rural participatory processes Ensure compliance with environmental guidelines for the approval and implementation of projects; 15. Prepare and submit accounting statements and carry out, through independent auditors, the annual financial audit of the Project, according to the frequency and terms of reference agreed with IDA/AFD; 16. Establish and operate a computerized MIS for Project monitoring and evaluation, including data on projects and financial transactions/disbursements; 17. Prepare or contract out studies to evaluate the impact of projects and provide feedback on the implementation process through: (i) Annual physical performance studies, to assess the quality and sustainability of projects financed most frequently by the Project and (ii) Detailed evaluation, to be carried out at mid-term review, including consultations and impact evaluation (baseline and final evaluation). 13. 14. 2.3.2.2 Project Financial Management Unit State project management and implementation arrangements are expected to be similar in the participating states, including the project financial management function to be handled by the Project Financial Management Unit (PFMU). However, the Project provides flexibility to accommodate for specific local operational environment. Project financial management at the state level will be vested in the Project Financial Management Unit (PFMU) located in the office of the Accountant-General of the State (OAGS). The PFMUs (and indeed FPFMD at the federal level) will ensure the following: All transactions and balances relating to the project are correctly and completely recorded; Preparation of regular, timely and reliable financial statements Safeguarding of the entity’s assets; and Existence of auditing arrangements acceptable to IDA &AFD. The Accountant General at the State level will ensure the deployment of a Project Accountant, a Project Finance Office and an Internal Auditor to the SPIU to support the use of financial resources under RAMP-2projects in an economic, efficient and effective manner, in compliance with the financial management requirements of the World Bank, AFD and the State Government. 2.3.2.3 Safeguards Compliance Arrangement among RAMP-2, FADAMA III and CSDP: All activities undertaken under component 1 & 2 will be subject to the safeguards procedures and instruments developed under these existing projects. Consequently, the RAMP-2has triggered the relevant World Bank safeguard policies triggered by 46 FADAMA III (except the policy on International Waterways) and CDSP. Therefore the safeguards instruments developed will continue to be used by RAMP-2 when CSDP and FADAMA III close. The current safeguards instruments and the institutional arrangement for their implementation for FADAMA III and CSDP are presented below and described in detail in section 3.8. (a) Third National FADAMADevelopment Project: Given the scope and the potential environmental and social impacts of the activities under FADAMA III, which include activities that may require pest management, reforestation activities and/or may be in the proximity or affect critical natural habitats, the Federal Government, on behalf of the participating states, prepared the safeguards documents for the purpose of identifying and mitigating potential negative environmental and social impacts at the subproject planning stage during the life of the project. These include: 1. Environmental and Social Management Framework (ESMF), 2. Pest Management Plan (PMP), and 3. Resettlement Policy Framework (RPF) The RPF outlines the policies and procedures to be followed in the event that subprojects require land acquisition. The PMP shows the procedures and steps to be undertaken to address pest management concerns, including capacity building in Integrated Pest Management (IPM). The ESMF outlines the environmental and social screening process for subprojects and proposes capacity building measures, including cost estimates. The ESMF includes: (i) Environmental Management Plan; (ii) Environmental Guidelines for Contractors; and (iii) Environmental and social checklist for subprojects screening. The State FADAMA Coordination Office (FCO) is responsible for the implementation of the ESMF, PMP and RPF. The SFCO has in place an environmental officer. This specialist is responsible for implementing the recommendations contained in these safeguards instruments. (b) Community Social Development Project: The potential environmental and social impacts of sub-projects under the CSDP are small-scale and site-specific, typical of Category B projects. An Environment and Social Management Framework (ESMF) and a Resettlement Policy Framework (RPF) have been prepared for the project and provide mechanisms to identify impacts for which standard mitigation measures to be applied during the implementation phase. The objective of the ESMF is to establish a mechanism to determine and estimate the future potential environmental and social impacts of the activities undertaken under the project, and to define the measures of mitigation, monitoring and the institutional measures to be undertaken during implementation o f the project. It is 47 anticipated that project activities are unlikely to relate to land acquisition or restriction of access to sources of livelihood. However, in the event that land acquisition/involuntary resettlement occur, Resettlement Action Plans (RAPS) will be prepared during project implementation. The CSDP State Agency is responsible for the implementation of the ESMF and RPF recommendations. The Agency’s environmental specialist (with knowledge on social issues) is responsible for implementing the recommendations contained in these safeguards instruments, and he/she is complemented with short-term national social/environmental safeguards consultants as and when the need arises. The safeguards instruments for these projects including detailed ESMFs, PMP and RPFs have already been prepared and publicly disclosed as part of project due diligence. These instruments will apply to all RAMP-2 funded activities. Taking into account the results of the various preparation studies, including peace and conflict analysis, a number of implementation tools and mechanisms have been developed to ensure adequate implementation arrangements. A Governance and Accountability Action Plan (GAAP) has been designed with as main objective to contribute towards strengthening governance and accountability systems in the project and beyond. It will achieve this objective by ensuring resources allocated by the project are spent for the intended purposes and directed to the beneficiaries of the project; strengthening coordination between different national and local agencies; and improving feedback mechanisms between beneficiaries, civil society, and project authorities. Institutional mechanisms will be in place to handle grievances so that any adverse impact of potential conflicts could be avoided (see 3.9) 2.3.2.4 Staff Performance and remuneration (SPIUs) Performance of all staff just like the FPMU shall be reviewed annually on the basis of agreed criteria related directly to achieving the objectives of the annual approved work programme. Members of the SPIUs that do not meet performance criteria will be put on an action plan for 6 months after which they will be re – evaluated. Non – performing staff will be replaced. Performance evaluation criteria for each staff shall be prepared and used during the staff evaluation process. All Core staff shall occupy specialist positions in the SPIUs which shall attract remuneration comparable with their counterparts in similar projects. Similarly remuneration of all support staff and seconded staff at the SPIUs shall be comparable with those of their counterparts in similar projects. The Coordinators shall be placed on a negotiated contract comparable to their counterparts in similar Bank funded projects. The guiding principle shall be harmonization of the overall remuneration/allowances of SPIUs staff from the public sector with those of their counterparts doing similar jobs in order to avoid discriminatory allowances within the same office. The other guiding principle is that Bank credit shall not be used for 48 remuneration or allowances of staff not recruited through an open competitive process and for which Bank’s No Objection has been provided. The core staff of the SPIUs shall be recruited through advertisements in two widely circulated national daily newspapers while a Project Accountant and Project Internal Auditor shall be assigned to the SPIUs from the office of the Accountant General of their respective States. 2.3.4 THE SPIUs TEAM AND THEIR MAIN FUNCTIONS The State Project Implementation Units have been constituted during project preparation and they have reached diverse levels of institutional capacity and staffing. SPIUs comprise of core operational professionals staff structure shown below: State Project Coordinator Infrastructure/Site Engineer (Civil/Structural) M & E specialist Project Accountant Procurement Specialist Development Communication Specialist Environmental & Social Development Specialist Project Internal Auditor Management Information Systems Specialist Support Staff include: Project Secretary Cashier / Finance Officer Store Officer :1 :1 :1 :1 :1 :1 :1 :1 :1 :1 :1 :1 The SPIU shall hire on contract basis the services of competent service providers for cleaning and security services rather than direct recruitment of staff for such services. The current SPIU staffing position for each participating state is as shown below: 49 NIGER OSUN CORE STAFF State Project Coordinator Infrastructure/Site Engineer (Civil/Structural) M& E specialist Project Accountant Procurement Specialist ENUGU POSITION ADAMAWA Table 3.0: Current SPIU staffing Position 1 1 1 1 1 1 2 1 1 1 1 1 1 1 1 1 2 1 1 1 Development Communication Specialist Environmental & Social Development Specialist Project Internal Auditor Management Information Systems Specialist SUPPORT STAFF Project Administrative Officer Project Secretary Cashier /Finance Officer Assistant Project Accountant Assistant infrastructure Engineer Assistant administrative Officer Assistant M&E Officer Assistant Procurement Officer Assistant Management Information System Officer/Data Processing Officer Store Officer Office Assistant Driver Cleaners Security Guard /Watchmen TOTAL 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 2 1 1 1 1 1 1 1 1 ^1 2 ^2 ^2 22 1 2 *4 ^4 15 2 2 *4 18 1 2 6 ^2 *3 31 ^Outsourced 2.3.4.1. State Project Coordinator Description: The State Project Coordinator (PC) will be responsible in ensuring that the SPIU functions and responsibilities listed above are carried out and will be accountable for the performance of the SPIU. Consequently, he/she will be responsible for the overall project progress by ensuring the realisation of the RAMP-2 goals and objectives at the state level. She/he will be accountable to the State Project Monitoring Committee, appropriate levels of government ministries and primary stakeholders for project progress, problems and strategy. Tasks and Responsibilities 1. Responsible for strategy, implementation and evaluation of impact and relevance of the project activities, regarding humanitarian needs in the area of intervention. 2. Ensure that systems for public communication & access to information, including receipt of and responses to complaints and redressal of grievances are established and functional. 3. Draw-up annual work plans, and ensure the implementation of the approved work plans. 4. Ensure that the activities carried out in the project are in line with the objectives defined and the action plan. 5. Keep a close collaboration and follow up with the entire state project team. 6. Ensure there are sufficient and appropriate personnel with the right level of resources and other support needed for successful implementation of the project. 50 7. 8. 9. 10. 11. 12. 13. 14. 15. Keep in touch with key stakeholders including state government officials, NGOs, national and international organisations, civil and military authorities, as well as with other relevant sections of the society in the project area. Negotiating collaboration and agreements between authorities at project level, always in coordination with SPMC. Develops and maintains a detailed project schedule which includes administrative tasks and all sites involved in the project. Coordinate meetings, including travel arrangements and expense reports. Delegate tasks and responsibilities to appropriate personnel. Identify and resolve issues and conflicts within the project team. Develop and deliver progress reports, proposals, requirements documentation, and presentations. Coach, mentor, motivate and supervise project team members and contractors, and influence them to take positive action and accountability for their assigned work. Conduct project post mortems and create a recommendations report in order to identify successful and unsuccessful project elements. 16. Follow the AFD’s specific financing eligibility requirements (AFD’s legal and regulatory obligations with regard to procurement) for all the contracts co-financed by AFD 2.3.4.2 Project Accountant Description: The designated Project Accountant is responsible for the Project Financial Management activities for RAMP-2 in the state. Tasks and Responsibilities 1 Administratively responsible to the PC and technically responsible to the Head PFMU 2 Prepare the budget (in consultation with key members of the PFMU/SPIU) for the fiscal year based on the approved work plan. 3 Maintains and updates all accounting records promptly in line with approved accounting standards and in line with the Bank’s requirement and Government’s regulations. . 4 Prepare and submit periodic reports, (i.e. monthly, semester and annually) in the formats agreed with the Bank within the stipulated submission deadline. 5 Ensure relevant books and records are maintained, including appropriate records for advances. 6 Prepare monthly bank reconciliation statements for all the bank accounts. 7 Ensure strict adherence to installed internal control arrangements and to the Financial Procedures manual. 8 Liaise with the internal/external auditors/Bank FM staff and follow up any audit queries/management letters/FM issues 9 Prepare and submit Withdrawal Applications on regular basis to the Bank and when necessary to AFD 51 10 Ensure payments are only made for eligible expenditures that are properly substantiated and in line with the financing parameter in the FA. 11 Ensure the annual financial statement are audited and submitted within the stipulated submission deadline to the Bank. 2.3.4.3 Project Auditor Description: The internal auditor shall ensure the orderly and efficient conduct of operations and have unrestricted access to any Project documents, files, or minutes. Tasks and Responsibilities 1. Administratively responsible to the PC and technically responsible to the Head PFMU 2. Ensure that there is an adequate internal control within the project management and processes. 3. Prepare annual audit work plan with emphasis on the identified project risk areas. 4. Prepare on quarterly basis Internal Audit Report and submit to IDA, steering committee, SPIU and PFMU 5. Ensure that expenditures are in line with approved budget line. 6. Pro-actively support and improve project quality assurance 7. Lead and perform the internal audit function of all activities of the Project and review and evaluate the adequacy of the internal control structure as well as records and reports with a view to appropriately recommending improvements to the systems. 8. Develop and monitor audit programmes and procedures to cover all financial operations of the SPIU. 9. Point out irregularities to the Project Management without delay 2.3.4.4 Infrastructure/Site Engineers (Civil &Structural) Tasks and Responsibilities 1. Preparation of transport investment plans least cost designs for rural roads and access infrastructure. 2. Ensuring that the standards and specifications of all engineering components of the project particularly the maintenance and the rehabilitation of rural infrastructure are implemented in accordance with relevant project documents. 3. Ensuring that the technical inputs in the road and other infrastructures components are strictly implemented. 4. Ensuring sustainable rural road and access maintenance programme and quality standard within the Local government and other stake holders. 5. Ensuring linkages within and outside the project with the aim of drawing synergies for effectiveness. 6. Ensure linkages of infrastructures projects within the project preparing rural roads and access infrastructure inventory and assisting the states to carry out 52 7. 8. 9. 10. condition surveys for the gathering of data required for planning and programming of needed maintenance work by the participating Local Governments and communities. Prepare in conjunction with the participating intervention areas methods and procedures for the control of performance and costs of rural road and access infrastructure maintenance and rehabilitation works. Carry out necessary training and preparation of engineering and field reports. Project monitoring and implementation, with the aim of ensuring that all rural infrastructure works and services are carried out with due diligence. Other tasks as assigned by the SPIU Coordinator. 2.3.4.5 Assistant Infrastructure Engineer Tasks and Responsibilities 1. Assist Infrastructure Engineer in all duties and responsibilities listed in 2.3.4.4 above 2. Carry out other tasks as assigned by the PC, 2.3.4.6 Development Communicator Specialist / Communication Officer Tasks and Responsibilities 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. Administratively responsible to the PC Lead, develop, and support implementation of a Development Communications strategy and outreach plan for the project In close teaming with other team members and stakeholders, develop and ensure timely implementation of a work plans on communication and outreach. Oversees the development of appropriate communication and outreach materials, such as publications, posters, banners, flyers, fabrics, T-Shirts and brochures, amongst others, for the various target groups. Support the creation and administration of communication outlets for the project, such as a website, etc. Supervise and guide the production of communication materials (including translation; where necessary). Monitor and work in collaboration with Local Government level Development Communication Specialists. Prepare advertisement materials and messages for publication both in the electronic and print media. Creates appropriate links between the various communication means, including with project partners and national counterparts, as appropriate Explores and identify opportunities available to strengthen the project visibility. Take appropriate and pre-emptive measures to avoid unwarranted publicity on project activities 53 12. 13. 14. 15. 16. 17. 18. 19. 20. Manages and advises the project leadership on potential and/or actual communication issues Organizes regular press briefings, press releases and interviews to communicate project activities and outcomes, and the role of World Bank and AFD as partners in the “Nigeria Project”, as appropriate Engages with electronic and print media (e.g. to explore the possibility of using radio/TV shows to enhance the project monitoring and visibility Compiles a database of various interlocutors and stakeholders, including from the media Develops a list of useful members of the press and maintain good relationship with them Keeps abreast of news reports about the project and related matters Shares and responds to requests for information and assistance on the project Monitors public commentary and direct input to the SPIU, including in response to public communications and through dispute/grievance redressal systems, and enable managers to track the responses made to public inputs. Together with the Safeguards office, develop a framework for access to information both for the overall project and each specific component/subcomponent, including specific mechanisms for making project information accessible to the public, specifying times and responsibilities to address citizens/ CSOs’ requests for information 2.3.4.7 Monitoring &Evaluation Specialist Description: Under the leadership of the Project Coordinator and in collaboration with the project team, the Monitoring and Evaluation Specialist shall oversee all monitoring and evaluation activities within the SPIU and in collaboration with the project team to develop, coordinate, and implement effective monitoring and evaluation systems that address the need of the project. Tasks and Responsibilities 1. 2. 3. 4. 5. 6. Administratively responsible to the PC Responsible for the monitoring and evaluation component of the project and generation of project specific information on progress, processes and performance. Monitor progress towards attainment of targets and to adapt targets to realities. Enhances and conduct baseline formative research, develop indicators based on KAP (knowledge, attitude and perceptions survey). Develops and implements a logical framework and performance-based monitoring and evaluation strategy for the project. Coordinates day-to-day research, design, monitoring, and evaluation activities of the project. 54 7. 8. 9. 10. 11. 12. 13. 14. Research and continuously follow existing monitoring and evaluation literature, frameworks, materials, methodologies, best practices, and Inform project team of current research that affects project outcomes. Collation and sending of the monthly, quarterly, half-year and annual reports to the Federal Project Management Unit (FPMU) Designs and carry out various data collection methodologies to gather critical information that monitor and evaluate the project’s progress against targeted outcomes and impact. Develops strategies for involving the project’s local partners and community stakeholders in collecting data and learning from project findings. Leads training of the project’s M&E methodologies and tools for staff and project partners in the state. Establish and maintains a repository of resources on M&E for RAMP-2 project in the state. Explores creative use of technology and media for M&E on RAMP-2 project activities. Provides monthly and quarterly reports on activities, outputs, and relevant outcome indicators to the Project Coordinator and other relevant stakeholders, including non-state actors. 2.3.4.8 Assistant Monitoring and Evaluation Specialist/ Monitoring Officer Tasks and Responsibilities 1. Assist Monitoring and Evaluation Specialist in all duties and responsibilities listed in 2.4.7 above. 2. Carry out other tasks as assigned by the PC 2.3.4.9Procurement Specialist Description: Identifies, contracts, and manages the various ancillary trades and vendors for the implementation of the RAMP-2 project. He/She must obtain competitive pricing, negotiate contracts, and then work with the project coordinator to ensure the vendors adequately perform their scope of work. Tasks and Responsibilities Administratively responsible to the PC 2. Manages the project procurement through implementing all policies and procedures related to procurement activities & ensuring that the procurement guidelines and provisions are followed in all the project transactions; 3. Develops procurement tools, such as standard format for Terms Of Reference, Technical Specifications, customized contracts for staff and other individual consultants; 1. 55 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. 18. 19. 20. 21. Post “Specific Procurement Notices” (SPN) and “Requests for Expressions of Interest” (EOI) for goods and consulting services respectively. Undertakes necessary advertisement on annual and periodic basis; Undertakes procurement activities, such as preparing/reviewing technical specifications for goods and terms of reference for consulting services; preparing bidding documents; writing evaluation reports; providing necessary assistance and tools for conducting evaluation processes; etc. Conducts market research and update price lists in respect of relevant Goods and Services; Develops and maintain a data base of suppliers and consultants to include their contacts, areas of expertise, relevance to project components Maintain a coherent filing system to include procurement preparation and contract management, correspondence, claims, reports, etc. Ensures that all Consultants deliverables are properly filed and referenced; Develop Annual Procurement Plans, and generate regular updates for the guidance of the SPIU project team as detailed in section 3 on Operational Procedures below; Develops tools for capturing procurement data and identify progress towards the achievement of procurement schedules; Participates in project technical committees or component team meetings in order to ensure timely implementation progress and a focus on procurement related activities; Ensuring that the standards and specifications of all engineering components of the project particularly the maintenance and the rehabilitation of rural infrastructure are implementation in accordance with relevant project procurement documents. Coordinate with the relevant Officers, including Project Accountant for regular preparation of Project Management Reports, as a part of the World Bank and AFD financial reporting requirements; Undertakes other procurement related duties and assist with other project management responsibilities as required by the Project Coordinator; Prepare bid documents, provide instructions for bidders on procedure for submission of bids, and prepare technical specification for materials to be procured. Follow up on contracts recommendation and award, source price quotation from suppliers and ensuring insurance cover for all imports. Follow up on “No Objection” from IDA on all procurement activities. Organizing and coordinating procurement workshop and training for the SPIU Monitor procurement processing in close collaboration with the relevant Officers and maintain a realistic planning allowing proper budgeting; 2.3.4.10 Assistant Procurement Specialist/ Procurement Officer Tasks and Responsibilities 56 Assist Procurement Specialist in all duties and responsibilities listed in 2.4.8 above. 2. Carry out other tasks as assigned by the PC 1. 2.3.4.11 Environmental Safeguard Specialist Description: The Environmental Safeguard Officer is responsible for developing, implementing and administering Environmental aspects in RAMP-2 operations. Work with project teams and other relevant stakeholders on issues related to World Bank's and AFD’s environmental al safeguard policies. Tasks and Responsibilities 1. Administratively responsible to the PC 2. Review all EA Documents prepared by consultants and ensure adequacy under the Co-Financiers Safeguard policies 3. Ensure that the project design and specifications adequately reflect the recommendations of the EIA. 4. Provides environmental safeguards review and technical support to project implementation teams to enhance project quality and compliance on environmental safeguards in RAMP-2 operations in the states. 5. Advises Government agencies, project sponsors, consultants and nongovernmental organizations on Co-Financiers environmental safeguard policies, guidelines, procedures and best practices and assists them in preparing appropriate frameworks, plans and actions to address these issues during project development and implementation. 6. Liaise with relevant project stakeholders including SPIU Partner/Contractors and communities, in ensuring adherence to the Co-Financiers environmental safeguard policies, guidelines, procedures and best practices while executing RAMP-2 project 7. Ensuring effective integration of environmental considerations into all aspects of identification, consultation, planning and implementation of sub-project activities; 8. Review and approve the Contractor’s Implementation Plan for the environmental measures, as per the EIA and any other supplementary environmental studies that may need to be executed 9. Continuously interact with the NGOs and Community groups that will be involved in the project 10. Establish dialogue with the affected communities and ensure that the environmental concerns and suggestions are incorporated and implemented in the project 11. In conjunction with social development officer, provide guidance, training and support to environmental and social focal points at the state and local levels. 57 12. Coordinating, and liaising with the World Bank to ensure effective mainstreaming of environmental issues into the implementation of subproject activities; 13. Ensuring that sub-project activities are consistent in their approaches to environmental issues, thereby supporting full blending at the operational level; 14. Ensuring that environment-related modules are incorporated in the training and capacity building programs designed at all the levels. 15. Identifying suitable consultants/institutions to be used on technical support activities and training & capacity building related to environmental aspects; 16. Defining, and subsequently monitoring, suitable environmental indicators for sub-projects; 17. Providing environmental inputs to monitoring, evaluation, and reporting activities; 18. Ensuring regular interaction with the External Consultants and World Bank Mission on Environmental aspects; 19. In conjunction with social development officer, guiding environmental and social focal points at SPIU Partner/Contractors in monitoring and evaluating social and environmental mitigation plans 20. In conjunction with social development officer, develop Terms of Reference (ToR) for communication experts for designing IEC materials and related awareness materials on social and environmental safeguards to be used at the state level. 21. In conjunction with social development officer, organise stakeholders’ workshops to facilitate and guide leaders/members and contractors on social and environmental mitigation plans and monitoring 2.3.4.12 Social Development Officer: Description: To support the SPIU in developing, implementing and administering social safeguards (people issues which include ensuring that risks of conflict and elite capture are mitigated) in RAMP-2 operations. Work with project teams and other relevant stakeholders on issues related to World Bank's and AFD’s social safeguard policies. Tasks and Responsibilities 1. Administratively responsible to the PC 2. Provides updated information and analyses on social safeguard aspects in the participating state; 3. Provides social safeguards review and technical support to project implementation teams to enhance project quality and compliance with guidelines and procedures established for social safeguards in the ESMF and RPF in the participating state; 58 4. 5. 6. 7. 8. 9. 10. 11. Advises Government agencies, project sponsors, consultants and nongovernmental organizations on Co-Financiers social safeguard policies, guidelines, procedures and best practices and assists them in preparing appropriate frameworks, plans and actions to address these issues during project development and implementation in line to what is established in the project ESMF and RPF; Liaise with relevant project stakeholders including SPIU Partner/Contractors and communities, in ensuring adherence to Co-Financiers social safeguard policies, guidelines, procedures and best practices while executing RAMP-2 project; Document all cases of compliance and non-compliance with Co-Financiers social safeguard policies, guidelines and procedures as well as mitigation actions taken in cases of non-compliance. Design and develop mechanisms for adequate consultation with communities and CSOs at different stages of the project (i.e. design, implementation and monitoring), and ensure their adequate implementation and the integration of communities’ feedback into the project. Jointly with SPIU communications officer, design and develop communication and education strategies for both the project as a whole and each specific component/sub-component, to ensure they are instrumental in raising awareness on project activities, targeted populations, mechanisms to be followed for the selection of beneficiaries (individuals, communities and institutions), mechanism for consultation and participation, project steps and procedures and mechanism to access further information and present complaints; Design and develop feedback and complaints handling mechanisms for the overall project and each specific component/ sub-component. Mechanisms for the provision of feedback should be developed to serve the needs of each component, and yet still be integrated to the overall project monitoring and reporting system to ensure adequate, timely and transparent handling of both positive and negative feedback. Together with the communications officer, develop a framework for access to information both for the overall project and each specific component/subcomponent, including specific mechanisms for making project information accessible to the public, specifying times and responsibilities to address citizens/ CSOs’ requests for information Design and develop mechanisms for independent civil society verification of project performance indicators, and integration of their feedback in the reporting process. 2.3.4.13 Assistant Project Accountant Description: The designated Project Assistant Accountant is responsible for assisting the Project Accountant in operationalising the Project Financial Management activities for RAMP-2 in the state. 59 Tasks and Responsibilities 1 2 3 4. 5. 6. 7. 8. 9. 10. 11. 12. Responsible for issuing receipts, preparing Payment Vouchers and maintaining the cash records in accordance with laid down procedures; Maintaining of Advance Payments Register and monitoring of advances settlement; Ensure the IDA and AFD Withdrawal Applications Register, Fixed Assets Register, Register of Imports, and other subsidiary ledgers are appropriately kept and up to date; keep appropriate records of prepayments and advances; Assist the Stores Officer in ensuring appropriate documentation and adequate stock controls; Ensure that all accounting records are maintained in line with approved accounting standards and in line with the Bank’s requirements and Government’s regulations. Render periodic reports, (ie monthly/quarterly/annually) in the formats approved by the Banks. Draw up annual budgets and work plans together with the PFMU. Ensure relevant books and records are maintained for the project. Ensure that all accounting records are updated promptly. Ensure that monthly Bank Reconcilliation statements are prepared for all Banks Accounts; Carry out other duties/special assignments as may be delegated by the Project Accountant. 2.3.4.14 Project Finance Officer Tasks and Responsibilities 1. 2. 3. 4. Ensure Petty Cash disbursements are appropriately and adequately documented. Manage the Petty cash float and maintain the petty cash book. Responsible for cheque writing and updating of Cheque Issued Register Ensure invoices submitted for payment at the FPFMD/PFMU are promptly attended to and forwarded for processing. 5. Carry out other duties / special assignment as may be delegated by the Project Accountant 2.3.4.15 Project Administration Officer Tasks and Responsibilities 1. Assist the Project Coordinator in the day-to-day administration of the SPIU. 2. Provide assistance, or undertake, project work including researching information and drafting documents and reports. 3. Prepare documents, including letters, minutes of meetings, reports, agendas and briefing material. 4. Maintains and manage databases and spreadsheets for reporting. 60 5. Works collaboratively with internal and external stakeholders to developrelationships, identify training needs and resolve issues.Undertakes administrative duties as necessary, pertaining to the operation, coordination and maintenance of records and information. 6. Carry out other duties/special assignments as may be delegated by the PC. 2.3.4.16 Assistant Project Administration Officer Tasks and Responsibilities 1. Assist the SPIU in the day-to-day administration of the Project. 2. Provide assistance, or undertake, project work including researching information and drafting documents and reports. 3. Prepare documents, including letters, minutes of meetings, reports, agendas and briefing material. 4. Maintains and manage databases and spreadsheets for reporting. 5. Undertakes administrative duties as necessary, pertaining to the operation, coordination and maintenance of records and information. 6. Carry out other duties/special assignments as may be delegated by the PC. 2.3.4.17Management Information System Specialist Tasks and Responsibilities 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. Administratively and Technical responsible to the PC Advice on the organization of the MIS unit. Establish the working schedule and the MIS design of SPIU. In collaboration with other project staff; design and prepare Management Information System operation manual for the state. Assess the information needs for the various components of the RAMP-2 and review alongside other project staff the data collection formats at the different stage of the micro-project cycle. Assess the local software and hardware market. Prepare technical specification for the procurement of necessary IT hardware, and software, applications. Sustain the operation of the MIS of SPIU. Upgrade IT hardware and software. Ensure MIS hard and software maintenance and assess other software requirement of the SPIU. Develop new report formats using existing MIS data. Develop and prepare the required documents using a friendly report generator. Other tasks as assigned by the SPIU Co-ordinator. 2.3.4.18 Assistant Management Information System Specialist/ Data Processing Officer Tasks and Responsibilities 1. Assist Management Information System Specialist in all duties and responsibilities listed in 2.4.16 above. 61 2. Carry out other tasks as assigned by the PC 2.3.4.19 Store Officer Tasks and Responsibilities 1. 2. 3. 4. Administratively responsible to the PC Receive goods into the store and issuing of goods for project use. Recording good received into a Goods Received Register (GRR) Recording each item received into the store n the Bin cards and continuously updating it with issues and receipts. 5. Ensure that goods/ stocks are held in suitable place(s) and under responsible officers who shall see that they are kept under suitable storage conditions 6. Ensure appropriate records are maintained for stock issues. 7. Shall prepare stock reports which quarterly shall form part of the FMR. 2.3.5 Staff Performance and remuneration (SPIU) Performance of all staff at the state level shall also be reviewed annually on the basis of agreed criteria related directly to achieving the objectives of the annual approved work programme. Members of the SPIU that do not meet performance criteria will be put on an action plan for 6 months after which they will be re – evaluated. Non – performing staff will be replaced. Performance evaluation criteria for each staff shall be prepared and used during the staff evaluation process. All Core staff shall occupy specialist positions in the SPIU which shall attract remuneration comparable with their counterparts in similar projects. Similarly remuneration of all support staff and seconded staff at the SPIU shall be comparable with those of their counterparts in similar projects. The Coordinator shall be placed on a negotiated contract comparable to his counterparts in similar Bank funded projects. The guiding principle shall be harmonization of the overall remuneration/allowances of SPIU staff from the public sector with those of their counterparts doing similar jobs in order to avoid discriminatory allowances within the same office. The other guiding principle is that Bank credit shall not be used for remuneration or allowances of staff not recruited through an open competitive process and for which Bank’s No Objection has been provided. The core staff of the SPIU shall be recruited through advertisements in two widely circulated national daily newspapers while a Project Accountant will be assigned to the SPIU from the office of the Accountant General of the State. 2.3.6. Training Training for SPIU staff would be undertaken in areas relevant to the implementation of the project and would include the following but not limited to: 62 (a) MIS-Project Implementation and Monitoring Tools – this should be immediately after project effectiveness to ensure that experience gained there from impacts on project; (b) Project Implementation, Monitoring and Evaluation. (c) Management, Procurement etc. (d) Project preparation (e) Use of relevant computer software; (f) Environmental Assessment, Management, Mitigation and Compliance; (g) Participatory processes in project implementation; (h) Study Tours and Workshops. (i) Accounting and Financial Management (j) Auditing (k) Gender issues etc 2.4 RAMP-2- Institutional Relationship with Existing IDA Assisted Projects A. RAMP-2 Component 2 - Community-based road maintenance and annual mechanized maintenance Objectives This component will finance the maintenance of the roads rehabilitated under Component 1, as well as a few other pilot roads, to build up the maintenance system while the roads are being rehabilitated. The overall goal of this component is to enhance access to improved socio-economic services of the rural populace through Community-based routine road maintenance by communities living alongside the rehabilitated roads, organized in “maintenance groups”. Specifically, the component aims to: Enable sustainable and socially and economic empowerment of the rural communities especially those living alongside the rehabilitated roads; facilitate and increase Community-LGA partnership on Road-related projects; increase the capacity of the rural communities, LGAs and State Agencies to implement and monitor Road-related policies and interventions; and Leverage federal, State and local government resources for greater coverage of Rural Road-related interventions in communities. The four participating states already have CDD type projects either in the form of CSDP, CADP and FADAMAIII. Consequently, SPIUs will be encouraged to build up a strategic partnership/collaboration with an existing community development program (such as the Nigeria Fadama III, CADP and CSDP Projects) in order to help develop the entrepreneurial capacity of community-based maintenance groups that can effectively carry out the two annualized routine road maintenance. B. RAMP-2-FADAMA Institutional Arrangements 63 FADAMA project was initiated to raise productivity and incomes for the FADAMA land users emphasizing a comprehensive and holistic approach to agricultural operations. The approach is centered on the community-driven model and includes investing in: capacity building, public infrastructure, inputs, adaptive research, extension services, knowledge transfer, and group-owned productive assets through matching grants, advisory services, land management improvements, and mechanisms to avoid or resolve conflicts among FADAMA resource users. Figure 3.0: RAMP-2-FADAMA Institutional Arrangement FEDERAL Review & approve annual work programs & budgets of NFRA/NFCO NFRA/SA-Comp 4 NFCO/SA-A NFTC Review & approve annual work programs & budgets of SFCO STATE LOCAL GOVT IDA & AFD SFTC Review and approval of subprojects LFDC M& E ADP RAMP-2 SPIU M&E (managed by PFMU SFCO M&E contracting Local Govt LFD subprojects M& E Facilitators Advisory Service Local development plans Providers contracting COMMUNITY Fadama Community Associations ADP: Agriculture Development Program LFDC: Local Fadama Development Committee NFRA: National Food Reserve Agency, Federal Ministry of Agriculture PFMU: Project Financial management Unit SA-A: Special Account NFCO SA-Comp 4: Special Account NFRA SFTC: State Fadama Technical Committee SFCO: State Fadama Coordination Office LFD: Local Fadama Desk NFCO: National Fadama Coordination Office NFTC: National Fadama Technical Committee OSAG: Office of the State Accountant General Dotted red lines represent flow of funds MoU between RAMP-2 and FADAMA –III In order to ensure clarity on the terms and conditions for the implementation of the subcomponent, a formal MOU will be signed between the RAMP-2SPIU and FADAMA – III outlining: Geographic coverage; Resource flow mechanisms; Financial management, procurement and reporting arrangements; Roles and responsibilities in the selection of community-based maintenance groups as well as joint supervision arrangements, 64 Joint environmental and social safeguards assessment, mitigation and supervision; Monitoring and evaluation arrangements; Implementation schedule and cost structure. The State Project Implementation Unit will play a role of grantee and oversight at the State level. C. RAMP-2-CSDP Institutional Arrangement in the states The objective of CSDP is to support empowerment of communities and Local Government Authorities (LGAs) for sustainable increase access of poor people to improved social and, natural resource infrastructure services. Specifically, it aims to: (i) empower communities to plan, part-finance, implement, monitor and maintain sustainable and socially inclusive multi-sectoral micro-projects; (ii) facilitate and increase Community-LGA partnership on CDD-related projects; (iii) increase the capacity of LGAs, State and Federal Agencies to implement and monitor CDD policies and interventions; and (iv) Leverage federal, State and local government resources for greater coverage of CDD interventions in communities. Currently, CSDP is already established in all the tier 1 participating states of the RAMP-2 project. Hence RAMP-2-CSDP collaboration in these states is expected to use existing institutional arrangements established at the state level of CSDP to provide resources to additional communities that are currently not included CSDP for projects but feature on the priority list of RAMP-2. Below is the diagram showing the CSDP institutional arrangement. Figure 4.0: RAMP-2-CSDP Institutional Arrangement 65 Federal project Steering Committee FEDERAL Federal Project Management Unit IDA & AFD M&E STATE State Project Monitoring Committee PIU or State Project Agency RAMP-2 SPIU M&E (managed by PFMU) M&E LOCAL GOVT Local Government Review Committee COMMUNITY Local Government Desk Office Community Development Associations M&E Community Project Management Committees (CPMC) Dotted red lines represent flow of funds MoUbetweenRAMP-2 and CSDP In order to ensure clarity on the terms and conditions for the implementation of the component, a formal MOU would be signed between the RAMP-2SPIU and CSDP State PIUs outlining: Geographic coverage; Resource flow mechanisms; Financial management, procurement and reporting arrangements; Roles and responsibilities in the Rural Road Rehabilitation as well as joint supervision arrangements, Joint environmental and social safeguards assessment, mitigation and supervision; Monitoring and evaluation arrangements; Implementation schedule and cost structure. The State Project Implementation Unit will play a role of grantee and oversight at the State level. 66 SECTION 3 – OPERATIONAL PROCEDURES 3.1 INTRODUCTION Successful implementation of RAMP-2 would rely heavily, among other things, on the capacity of the SPIUs to carry out the implementation of project activities effectively in accordance with the agreed procedures and guidelines. It is, therefore, of paramount importance that the relevant SPIUs are fully familiar with the agreed procedures. The procedures in this manual are consistent with the World Bank and AFD guidelines and also with the existing policies, guidelines and directives of the government. This section of the PIM describes the following procedures and guidelines on: (a) (b) (c) (d) (e) (f) The planning process; Procurement procedures; Financial management procedures; Monitoring and Evaluation (M&E) process; Environmental& Social safeguards and Communications and Information Process. The manual does not describe other procedures such as government budget reporting procedures and it is, therefore, the responsibility of those concerned to refer to the appropriate manuals if needed. 3.2 IMPLEMENTATION CYCLE The implementation procedures described in the PIM evolve around a typical annual implementation cycle as shown in the chart below: Figure 5.0: The RAMP-2 Implementation Cycle Cleared by the FPMU Approved by IDATTL Approved by SPMC 67 Each State is responsible for leading the implementation of project activities 3.3 PLANNING PROCESS A number of planning tools and methodologies will be adopted under the project. Planning must be carried out in a participatory manner to enhance the process that would help ensure more effective implementation of project activities. This is important because: It involves the best possible way to represent the relevant beneficiaries; It enables effective appraisal, analysis and planning of various activities; and It gives opportunities for those concerned to make informed decision on matters pertaining to agreed development goals. The following table presents the events and the proposed timing of the annual planning cycle: Table 4.0 – Annual Planning Calendar 1. 2. 3. 4. 5. Event Each SPIU shall prepare its annual work plans on the basis of the three-year work plans. The planning cycle cover the period from January 1, 2013 to December 31, 2013. Then, the next annual planning cycle would commence in January 1, 2014. Based on the implementation results of the activities of the first year work plans, the focal person of the SPIU will develop the annual plan. When developing the annual work plans, the focal person will mobilize technical experts to carry out, among others, the following key tasks: a) review and take into account other ongoing programs being implemented by federal, state and local governments so as to avoid duplication and maximise synergies, b) seek input of SPIU counterpart agencies (including MDA administrators, and State HA members, the CSO representatives on the State Project Monitoring Committee), in setting priorities. c) review of the outcomes of completed activities; d) prepare a list of follow-on and new activities; e) prepare the terms of reference and detailed specifications of equipment; and f) develop a training plan based on agreed capacity building needs. If needed, expert assistance may be engaged by the SPIU to assist in the preparation of the draft work plans. After the draft work plans is completed, a copy would be sent by the Focal person to the SPIU Procurement Specialist who would prepare the draft procurement plan. Based on this a budget will be drafted. The draft work and procurement plan and budget should be consolidated and reviewed by the SPIU to ensure consistency with agreed priorities. After reviewing the plan, SPIU would send the consolidated work and procurement plan and budget to FPMU for review and clearance. The FPMU will review the Plans and provide comments within one week if any The SPIU’s shall revise the plan by incorporating the FPMU’s comments before forwarding the consolidated work and procurement plan and budget to the World Bank for their comment(s)/approval. World Bank comments, if any, would be reflected in both documents (work and procurement plan) by 68 Timing 1st half September of 2nd half September of 1st half of October 1st half of October 6. 7. 8. 9. 3.4. SPIU prior to submission to the State Project Monitoring Committee for approval to commence activities. The revised draft work and procurement plan would be formally transmitted to the State Project Monitoring Committee. The State Project Monitoring Committee approves the annual plan. The decision package would include: (a) Executive summary of the decision; and (b) Final version of the consolidated work and procurement plan that shows the detailed list of activities, objectives of each component, key performance indicators, planned outputs, target outputs, quarterly disbursement estimates and procurement methods and timetable. The World Bank TTL issues a ‘No Objection” to the annual plan and budget and transmits same to SPIU. Activities Implementation for the year commence 2nd half of October 2nd half of October 2nd half November 1st of January of PROCUREMENT PROCEDURES 3.4.1. INTRODUCTION This section of the manual describes the detailed procurement procedures that would be used under the project. The sets of procurement procedures in this manual are based on the World Bank’s Guidelines for Procurement under IBRD Loans and IDA Credits, January 2011. Bank’s Standard Bidding Documents (SBD) and Standard Evaluation forms for goods under International Competitive Bidding (ICB) and selection of consultants would be carried out in accordance with the Guidelines: Selection and Employment of Consultants by the World Bank Borrowers, January 2011.Bank’s bidding documents and Standard Request for Proposals (RFP) and evaluation forms must be used where applicable. In addition for contracts co-financed by AFD: i. bidding documents and/or request for proposals prepared by SPIUs for a specific procurement will be modified to mention AFD as a Co-Financier of the contract, including references to AFD in the procurement notices and all other documentation relating to such contracts, and ii. specific procedures, concerning AFD legal and regulatory regulation with regard to procurement, have to be applied by SPIU. 3.4.2 PROCUREMENT PLANNING AND IMPLEMENTATION ARRANGEMENTS The overall coordination and implementation of the project activities would be entrusted to State Project Implementation Unit (SPIU). Therefore, the SPIU as the project executing agency will have responsibility for coordinating all procurement functions under the project. In order to adequately undertake procurement activities under the project, it is essential to prepare procurement plans that are well articulated and fully developed. The procurement plans defines the work to be carried out, provides cost estimates of the proposed activity, lay out a logical sequence of the procurement steps (i.e. preparation of documents, clearances, evaluations, etc.) The procurement plan should reflect activities contained in the 69 work plans and should cover a period of 18months. The plan should be prepared by the Procurement Specialist at SPIU by collecting and compiling the following information: 3.4.3 Types of procurement to be carried out (i.e. works, goods, services, etc.); Methods of procurement to be utilized (i.e. ICB, NCB, shopping, comparison of CVs, etc.) Time required for the entire process taking into account delivery & completion dates; Most economic and efficient procurement method PROCUREMENT CATEGORIES Procurement under the project involves contract packages for the following categories: Procurement of Works: Procurement of works is not envisaged at Federal level; however there will be procurement of works at the state level in the form of Civil works, like construction/ rehabilitation of single coat surfaced dressed/earth roads and maintenance of roads, construction of bridges/culverts and drainages, etc. To the extent practicable, civil works contract shall be grouped in bid packages to take advantage of bulk purchase. Therefore, all civil works contract estimated to cost the equivalent of US $10,000,000 per bid package shall be procured using International Competitive Bidding (ICB) procedures. Each civil works contract package estimated to cost less than US$10,000,000 equivalent may be procured using National Competitive Bidding procedure (NCB) acceptable to IDA. Minor civil works contracts, estimated to cost less than $100,000 equivalent which are labour intensive, spread over time and which do not lend themselves to grouping and therefore are unlikely to attract foreign bidders shall be procured using shopping procedures as detailed in paragraph 3.5 of the Guidelines: Procurement under IBRD Loans and IDA Credits" & Grants dated January 2011, and the Guidance on Shopping Memorandum" issued by IDA, June 9, 2000 or as may be amended from time to time. These works contracts would be awarded on the basis of quotations obtained from three qualified contractors invited in writing to bid. The invitation shall, among other things, include a detailed description of the works, including basic specifications, relevant drawings and bill of quantities where applicable, the required completion date and a basic form of agreement acceptable to the Bank. A sufficient bid submission period would be allowed and bids would be opened in public. The award will be made to the lowest evaluated responsive bidder who has appropriate experience and resources to successfully complete the contract. In cases where the quantity of work cannot be defined in advance, are too small and scattered to attract private contractors and under emergency situations, when work must be carried out without disrupting ongoing operations, and are estimated to cost less than $50,000 equivalent, force account procedures can be used. 70 Procurement of Goods: Goods procured under the project would include: (i) (ii) (iii) (iv) (v) (vi) vehicles, office equipment and supplies, office furniture, computers and accessories, generators and other equipment as well as installation, transport, maintenance or similar obligations related to the supply of the goods if their value does not exceed that of the goods themselves. Procurement of Goods will be carried out using the Bank’s SBD for all ICB and NCB. Also the National SBD already developed and in use at the Federal level may be adapted by the States and be used for NCB. Procurement for readily available off-the-shelf goods that cannot be grouped, or standard specification commodities for individual contracts of less than USD100,000 equivalent, may be procured under shopping procedures as detailed in paragraph 3.5 of the "Guidelines: Procurement under IBRD Loans and IDA Credits" May 2004 Revision October 1, 2006 and May 1, 2010, January 2011); and the Guidance on Shopping Memorandum" issued by IDA, June9, 2000 or as may be amended from time to time. Each contract for goods estimated to cost between US$100,000 and less than US$1,000,000 shall be procured through National Competitive Bidding (NCB) using procedures acceptable to IDA. Procurement for readily available off-the-shelf goods that cannot be grouped or standard specification commodities for individual contracts of less than US$100,000, would be procured under Shopping procedures as detailed in paragraph 3.5 and 3.6 of the "Guidelines: Procurement under IBRD Loans and IDA Credits" and June 9, 2000 Memorandum "Guidance on Shopping" issued by the Bank. To monitor the use of each method of procurement by projects, each quarterly progress report of the project would include a table setting out the number and value (in US$ equivalent) of contracts issued through Shopping and National competitive bidding during the quarter as well as the cumulative total value (in US$ equivalent) of contracts under each of these two procedures from the date of the project start-up. Selection of Consultants: Consultancy Services include the following categories: software development, studies, staff audit and verification, service-wide data collection, development of service data standards for public service, development of standard documents, etc. Consultant services shall be procured primarily under contracts awarded on the basis of Quality- and Cost-based Selection (QCBS), These will be provided by firms and individuals to be selected using Requests for Expressions of Interest, short lists of consultants and the Bank’s Standard Request for Proposals (SRFP), where required by the Bank’s Guidelines, “Selection and Employment of Consultants under IBRD Loans and IDA Credits & Grants" dated January 2011. Short lists of consultants for services estimated to cost less or equal to USD$300,000 equivalent per contract may be composed entirely of national consultants in accordance 71 with the provisions of paragraph 2.7 of the Consultant Guidelines. Short lists shall comprise six firms with a wide geographic spread, with no more than two firms from any one country and at least one firm from a developing country, unless qualified firms from developing countries are not identified. The Bank may agree to short lists comprising a smaller number of firms in special circumstances, for example, when only a few qualified firms have expressed interest for the specific assignment or when the size of the contract does not justify wider competition. All terms of reference for consultancies shall be submitted to IDA for clearance. Services estimated to cost less or equal to 100,000 USD equivalents per contract may be awarded according to the Selection Based on Consultants’ Qualifications (CQS) (paragraphs 3.1, 3.7, and 3.8 of the Consultant Guidelines). Services for assignments that meet the requirements set forth in the paragraph 5.1 of the Consultant Guidelines may be procured under contracts awarded to Individual Consultants (IC) in accordance with the provisions of paragraphs 5.2 through 5.3 of the Consultant Guidelines. Individual consultants are selected on the basis of their qualifications for the assignment. Advertisement is not required and consultants do not need to submit proposals. Consultants shall be selected through comparison of qualifications of at least three candidates among those who have expressed interest in the assignment or have been approached directly by the Project. From time to time, permanent staff or associates of a consulting firm may be available as individual consultants. In such cases, the conflict of interest provisions described in these Guidelines shall apply to the parent firm. Consultants may be also selected on a sole-source basis with due justification in exceptional cases such as: (a) tasks that are a continuation of previous work that the consultant has carried out and for which the consultant was selected competitively; (b) assignments with total expected duration of less than six months; (c) emergency situations resulting from natural disasters; and (d) when the individual is the only consultant qualified for the assignment. In addition, contracts expected to cost more than USD$300,000 shall be advertised in UNDB online and also be advertised in an international newspaper or a technical magazine for expressions of interest for expressions of interest before preparing the short list. The information requested shall be the minimum required to make a judgment on the firm’s suitability and not be so complex as to discourage consultants from expressing interest. Not less than 28 days from date of posting on UNDB online shall be provided for responses, before preparation of the short list. Operating Costs: The operating costs shall include staff travel expenditures and other travel related allowances with prior clearance from IDA; equipment rental and maintenance; vehicle 72 operation, maintenance and repair; office rental and maintenance, materials and supplies; utilities and communication expenses; and bank charges. Operating Costs financed by the project will be procured using the federal and individual State’s administrative procedures that are acceptable to the Bank. Training, Capacity Building and Workshops: The FPMU and the SPIUs shall submit their annual training plans to IDA for clearance. The plans shall include among other things the: (i) (ii) (iii) (iv) (v) Names of the officers to be trained, Training institutions/facilitators, Course content, Justification for the training, Estimated cost. Procurement Advertisements A General Procurement Notice (GPN) is mandatory and has been published before Board presentation in the UN Development Business and in at least a national newspaper as provided under the Guidelines. The GPN shall show all International Competitive Bidding (ICB) for goods and works contracts and all International Consulting Services. In addition, a Specific Procurement Notice (SPN) is required for all goods and works to be procured under ICB and Expressions of Interest (EOI) for all consulting services with a value in excess of US$300,000. All NCB procurement packages for goods and works would be advertised in the national dailies. Publication of Results and Debriefing: Publication of contract awards is required for all ICB, NCB, Direct Contracting and Selection of consultants for contracts within 30 days of contract effectiveness. In addition, where prequalification has taken place, the list of prequalified bidders must be published. With regard to ICB, and large value consulting contracts, the SPIUs are required to publish contract awards as soon as the Bank has issued its “No Objection” to the recommended award. Publication for ICB should be in the UNDB Online. This can be done through the TTL in the Bank. With regard to Direct Contracting and NCB, publication of contract awards could be aggregated and published on a quarterly basis in local newspapers. All consultants competing for an assignment involving the submission of separate technical and financial proposals, irrespective of its estimated contract value, should be informed of the result of the technical evaluation (number of points that each firm received), before the opening of the financial proposals. The SPIUs are required to offer debriefings to unsuccessful bidders and consultants. RAMP-2Website, which will be established and maintained by the FPMU, should include a presentation of the procurement cycle, explaining key steps and criteria, responsibilities of different agencies, and procedures for lodging disputes/grievances and redressal procedures, etc. 73 3.4.4 PROCUREMENT METHODS Goods Procurement methods for goods are as follows: o International Competitive Bidding Procedures (ICB); o Limited International Bidding Procedures (LIB); o National Competitive Bidding Procedures (NCB); and o National Shopping Procedures (NS) ICB procedures require that all prospective bidders be notified through the announcement of the procurement in an international publication of wide circulation for about 4 to 6 weeks. Goods estimated to cost USD100,000 and USD1,000,000and above respectively should be procured under ICB procedures using World Bank’s Standard Bidding Documents. For goods and works estimated to be equal to USD100,000 and USD1,000,000respectively, National Competitive Bidding (NCB) procedures can be used. NCB requires that the announcement must be published in 3 national newspapers of wide circulation for not less than 3 weeks. For goods that are available off-the-shelf and/or items of very small value (i.e. less than USD 100,000 equivalent), its procurement can be done through Direct Contracting or National Shopping (NS). NS is done through comparison of at least three quotations from reputable suppliers in or outside the country. A description of other procurement methods for goods is provided below: (a) Limited International Bidding (LIB) is ICB by direct invitation without open advertisement. It may be an appropriate method of procurement where (i) there are only a limited number of suppliers, or (ii) other exceptional reasons may justify departure from full ICB procedures. Under LIB, bids are sought from a list of potential suppliers broad enough to assure competitive prices, such list should include all suppliers when there are only a limited number. Domestic preferences are not applicable in the evaluation of bids under LIB. In all respects other than advertisement and preferences, ICB procedures should apply, including the publication of the Award of Contract. (b) National Competitive Bidding (NCB) may be the most appropriate way of procuring goods and works which, by their nature or scope, are unlikely to attract foreign competition. Foreign bidders may not expected to be interested because i. the contract values are small, ii. works are scattered geographically or spread over time, iii. works are labour intensive, or iv. the goods are available locally at prices below the international market. NCB procedures may also be used where the advantages of ICB are clearly outweighed by the administrative or financial burden involved. To be acceptable, the procedures should assure economy, efficiency, transparency, and broad consistency with the procurement guidelines in this PIM. 74 Advertising may be limited to the national press or official gazette, or a free and open access website. Bidding documents may be only in the national language and the currency of Nigeria may be used for the purposes of bidding and payment. In addition, the bidding documents should provide clear instructions on how bids should be submitted, how prices should be offered, and the place and time for submission of bids. If foreign firms wish to participate under these circumstances, they should be allowed to do so. In particular, the following provisions shall apply to NCB: i) Goods estimated to cost between USD$300,000 –USD$1,000,000, and Works estimated to cost between USD$500,000 – USD$1,000,000, per contract may be procured under contracts awarded on the basis of national competitive bidding (NCB) in accordance with procedures acceptable to the Administrator which should inter alia ensure the following: Participation in bidding: ii) Government-owned enterprises in Nigeria shall be eligible to participate in bidding only if they can establish that they are legally and financially autonomous, operate under commercial law, and are not a dependent agency of the Government of Nigeria. iii) Foreign bidders shall be eligible to participate under the same conditions as local bidders. In particular, no preference over foreign bidders should be granted to local bidders in bid evaluation. Advertising; time for bid preparation iv) Invitations to bid should be advertised in one local newspapers of wide circulation, and prospective bidders should be allowed a minimum of twenty eight days between the date on which the notification appears for the first time and the deadline for bid submission for procurement of goods and works under the National Competitive Bidding procurement method. In case of Consultancy services using the minimum number of days allowed for the consultants to submit expression of interest should fourteen days. Qualification criteria and evaluation criteria v) Qualification criteria shall be clearly specified in the bidding documents, and all criteria so specified, and only criteria so specified, should be used to determine whether a bidder is qualified. Bids of bidders not meeting such criteria should be rejected as non-qualified. The fact that a bidder meets or surpasses the specified qualification criteria should not be taken into account in the evaluation of such bidder’s bid. vi) Evaluation criteria shall be clearly specified in the bidding documents, and all evaluation criteria other than price should be quantified in monetary terms. All 75 evaluation criteria so specified, and only criteria so specified, should be used in bid evaluation. Merit points should not be used in bid evaluation. Bid submission vii) Bids shall be submitted in sealed envelopes and should be accepted whether mailed or hand-carried. Bid opening viii) Bids shall be opened in the presence of bidders who wish to attend, and immediately after the deadline for bid submission. Said deadline, and the place of bid opening, should be announced in the invitation to bid. The name of each bidder, and the amount of his bid, should be read aloud and recorded when opened in the minutes of bid opening. The minutes of bid opening should be signed by the members of the bid opening committee immediately after bid opening. ix) Bids received after the deadline for bid submission shall be returned to the bidders unopened. Bid evaluation and award of contracts x) A bid containing material deviations from or reservations to the terms, conditions and specifications of the bidding documents should be rejected as not substantially responsive. A bidder shall not be permitted to withdraw material deviations or reservations once bids have been opened. xi) The bid evaluation shall be carried out in strict adherence to the criteria specified in the bidding documents, and the contract should be awarded to the qualified bidder offering the lowest evaluated and substantially responsive bid. xii) A bidder shall not be required, as a condition for award, to undertake obligations not specified in the bidding documents or otherwise to modify his bid as originally submitted. xiii) There shall be no post-bidding negotiations with the lowest or any other bidder. (c) National or International Shopping is a procurement method based on comparing price quotations obtained from several suppliers (in the case of goods) with a minimum of three, to assure competitive prices, and is an appropriate method for procuring readily available off-the-shelf goods or standard specification commodities of small value. Requests for quotations should indicate the description and quantity of the goods, as well as desired delivery and place. Quotations may be submitted by letters. The evaluation of quotations should follow the same principles as of open bidding. The terms of the accepted offer should be incorporated in a purchase order or brief contract. 76 Consulting Services The selection methods for consulting services are the following: Quality and Cost Based Selection (QCBS); Quality Based Selection (QBS); Least Cost Selection (LCS); Selection Based on Consultants Qualifications (CQS) Single Source Selection (SSS) (a) Quality and Cost Based Selection (QCBS). QCBS is a method based on the quality of the proposals and the cost of the services to be provided. It is the method that would be frequently used to select consultants under the program and when: (i) the scope of work of the assignment can be precisely defined and the TOR is well specified; and (ii) the Executing Agency and the consultants can estimate with reasonable precision the staff time as well as the other inputs and costs required of the consultants. This should be the default method for selecting consulting firms. (b) Quality Based Selection (QBS). QBS is based on an evaluation of the quality of the proposals and the subsequent negotiation of the financial proposal and the contract with the consultant who submitted the highest ranked technical proposal. QBS could be used to engage consulting firms when: Downstream impact of the assignment is so large that the quality of the services becomes of overriding importance for the outcome of the project; Scope of work of the assignment and TOR are difficult to define because of the novelty or complexity of the assignment, or the need to select among innovative solutions, or due to particular physical, social, or political conditions; Assignment can be carried out in substantially different ways, such that cost proposals may not easily be comparable; and Introduction of cost as a factor of selection renders competition unfair. QBS are used for assignments such as strategic studies in new fields of policy and reforms and assignments in which traditional consultants, NGOs and/or UN Agencies can compete. (c) Consultant’s Qualifications Selection(CQS). The CQS method applies to very small assignments (i.e. contracts estimated to cost less than USD $300,000) for which the cost of a full-fledged selection process would not be justified. Under CQS the technical specialists would first prepare the TOR; then request expressions of interest and qualification information on the consultants’ experience and competence relevant to the assignment; establish a shortlist of firms; and selects the firm with the best qualifications and references. The selected consultant would be asked to submit a combined technical and financial proposal and is then invited to negotiate the contract if the technical proposal proves to be acceptable. The CQ method aims at reducing the cost and time needed to hire a consultant. This approach does not, however, disregard quality, since some very small assignments are very important (e.g., highly specialized advisory services with a limited scope and 77 duration, or assignments that, although small, require consultants with the best possible qualifications).CQ would be considered for assignments such as: Brief evaluation studies at critical decision points of projects (e.g., review of alternative solutions with large downstream effects); Executive assessment of strategic plans; High level, short term, legal expertise; and Participation in project review expert panels. (d) Selection of Individual Consultants. Individual consultants are employed on assignments for which (a) teams of personnel are not required, (b) no additional outside (home office) professional support is required, and (c) the experience and qualifications of the individual are the paramount requirement. When coordination, administration, or collective responsibility may become difficult because of the number of individuals, it would be advisable to employ a firm. From time to time, permanent staff or associates of a consulting firm may be available as individual consultants. In such cases, the possibility of conflict of interest with the parent firm needs to be carefully considered. (e) Single Source Selection (SSS). SSS should be used only in exceptional circumstances with appropriate justifications. Under SSS, the normal procedure is to ask a specific consultant to prepare technical and financial proposals, which are then negotiated. Since there is no competition, this method would be proposed only in exceptional cases and would be made on the basis of strong and convincing justifications where it offers clear advantages over the competition. The justification should indicate whether: the assignment represents a natural or direct continuation of a previous one awarded competitively, and the performance of the incumbent consultant has been satisfactory; or a quick selection of the consultant is essential, e.g., in emergency operations; or only one consulting organization has the qualifications or has experience of exceptional worth to carry out the assignment. When single sourcing is used for continuation of an assignment, the SPIU should ask the consultant to prepare technical and financial proposals on the basis of the TOR prepared by the technical specialist or by an independent adviser with no relation to the incumbent. This would be the basis for negotiating a continuation contract. In the case of consulting assignments, members of the evaluation committee would not be allowed to have any communication with shortlisted firms from the date of their appointment to the date on which the contract is awarded. The evaluation committee would submit its report and recommendation to the designated decision making authority for review and transmission to the World Bank for no-objection if the contract is subject to its prior review, or for review and award for contracts subject to post review. 78 Table 5: Summary Table of thresholds for Procurement Methods and Prior Review No 1. Expenditure Category Works 2. Goods and Services (Other than Consulting Services) 3. IT System, and Non-Consulting Services Consulting Services (Firms) 4. Consulting Services (Individuals) Consulting Services Contract Value *Threshold (USD) C >10,000,000 100,000 < C ≤ 10,000,000 C ≤ 200,000 All Values C ≥ 100,000 100,000 ≤ C <100,000 C <100,000 All Values C ≥ 100,000 100,000 ≤ C <100,000 C ≥ 300,000 C < 200,000 C ≥ 100,000 C < 50,000 All Values 5. 6 Training, Workshops, Study Tours All Values Community Participation in Procurement acceptable to the Association and described in the FPIM and the SPIMs All Values Procurement Method Contracts Subjects to Prior Review (USD) ICB NCB All Contracts None Shopping Direct Contracting ICB NCB Shopping Direct Contracting ICB NCB All All IC IC Single Source Selection To be based on Annual Work plans& Budget SSS of Community Maintenance groups None All Contracts All Contracts None None All Contracts All Contracts None All Contracts Only TORs All Contract TORs All Contract All * Thresholds are for the purposes of the initial procurement plan. The thresholds will be revised periodically based on reassessment of risks by the World Bank. 3.4.5. PROCUREMENT RESPONSIBILITIES The Procurement Specialist designated by the FPMU/SPIU would be responsible and plays a central role in the implementation of all procurement related activities. In this context, the Procurement Specialist shall carry out the following tasks in accordance with agreed schedules: 1. Preparation of the procurement plan; 2. Procurement of goods and services funded by the project in an effective manner using the most economic and efficient methods in accordance with the guidelines of this PIM. It would also provide assistance in preparing specifications, drafting terms of reference (TORs), evaluating proposals and awarding of contracts; 3. Contracting out management and supervision responsibilities to procurement consultants if and when required; 4. Organizing Tender Evaluation Committees; 5. Monitoring implementation of procurement contracts and regularly reporting on the progress of procurement actions that have been taken and 6. Publicizing procurement announcements and contract decisions in public bulletin boards and other media. 79 3.4.6 PROCUREMENT IMPLEMENTATION CYCLE The Procurement Specialist would carry out his or her functions in accordance with the steps and procedures outlined below. Step 1 - Preparation of the Procurement Plan The procurement plan is the most important part of the process since it enables those concerned to clearly layout the timetable for the various steps and ensures efficient deployment of resources to efficiently carryout out the required procurement tasks during implementation. Therefore, it is essential that the plan is prepared adequately and completed on time. The procurement plan is also an important part of the procurement process for the following reasons: Funding for procurement is unlikely to be sufficient to meet all requirements, and scarce budget resources must be used only for agreed activities; Effective planning allows requirements to be aggregated into larger packages at lower unit costs, rather than procuring similar items in smaller packages that often turns out to be uneconomical; Having publicly available procurement plans allows the stakeholders to respond more effectively to the requirements and specifications of procurement packages and help to make financial planning more effective; and A well prepared procurement plan is an important tool of the implementation process by ensuring more timely delivery of goods or services. Step 1 – Preparation of the Procurement Plan Step 1 – Preparation of the Procurement Plan The preparation of the procurement plan should begin when the 1st draft work plans is prepared by the relevant SPIU on or about the 2nd half of August of the previous year. This is necessary in order to allow sufficient time for a realistic and accurately costed plan to be made available to all concerned. The focal person and the Procurement Specialist should closely collaborate to ensure that the procurement timetable is realistic. Using the proposed list of activities in the draft work plans, the Procurement Specialist would compile the following data and information: The items to be procured (separately for goods, works and services, estimated quantity and identification of source, etc.); The date when the services, goods or works would be required (a month, a year); The identification of individuals that would be involved in the procurement process, at what level and the area of responsibility; The best procurement method that should be used; 80 The expected start of the procurement process based on the proposed completion date of the activity so that the time to process the procurement step can be determined; and The manner in which the goods would be transported, stored and how other logistics would be managed. The above information should be systematically collected, compiled and presented in the same way as the procurement plan shown in Annex 2. Step 2 – Submission of the Procurement Plan Step 2 – Submission of the Procurement Plan for Review After compiling the information mentioned above, the draft procurement plan would be submitted by the Procurement Specialist to the -Project Coordinator around the middle of September which would then be submitted by the latter to the relevant SPIU. The SPIU shall review the procurement plan to determine consistency with the proposed activities in the work plans and submit these documents to the FPMU for clearance before forwarding to World Bank for its clearance/No Objection. After receipt of World Bank’s clearance, the work and procurement plan would be transmitted to the State Project Monitoring Committee (SPMC) for its final approval. Changes recommended by the PSC, if any, would be communicated by the FPMU/SPIU to the World Bank before the procurement plan is implemented. Step 3 – Publication of the Procurement Plan Step 3 – Publication of the Procurement Plan The first agreed procurement plan should be posted by the FPMU/SPIU on the World Bank’s public website after the World Bank’s Board approval of the project. Thereafter, the plan should be updated annually or when revisions are made. The procedures for posting are as follows: The procurement plan must be in Microsoft Excel or PDF Format (documents prepared in Excel may be converted to PDF). In order to maintain the confidentiality of the estimated value of each contract, the Estimated Costs must be deleted from the procurement plan before it is submitted for publication. 1) goto http://imagebank.worldbank.org/( or goto*RAMP-2 website. Click on Worldbank link icon 2) Click on "submit a document" on the left navigation panel 3) Click on "submission form" 4) login using your passkey 81 NOTE: * RAMP-2 website can equally be accessed through each state website by enabling a hyperlink 6) Complete the short form: security (be sure to mark "Public"), language, the P 0 number (project ID), and attach the document. The procurement plan would be displayed in the Bank’s project database along with the Project Identification Document (PID), Project Proposal (PP), and any environment and social safeguard documents related to the project Step 4 – Public Announcement of the Procurement Packages Step 4 – Posting of Procurement Announcements General Procurement Notice (GPN). The first announcement that should be publicized is the General Procurement Notice (GPN). The GPN describes the objective of the program, the scope of procurement, and the name and address of the person to be contacted for additional information regarding the announcement. A sample GPN is shown in Annex 3. The Procurement Specialist is responsible for updating the GPN as needed. After the GPN is published, the Procurement Specialist should also post “Specific Procurement Notices” (SPN) and “Requests for Expressions of Interest” (EOI) for goods and consulting services respectively. The following guidelines should be followed when publicizing notices for specific procurement packages. Specific Procurement Notice (SPN). Large value goods to be procured using ICB method should be publicized in a media of wide circulation and online at UNDB. Goods and works using NCB method must be publicized in the local media of national circulation. Publication of the SPN would occur after the finalization of the standard bid documents described in Step 5 below. The announcements need to be floated within a sufficient period of up to 6-12 weeks for large procurement of goods especially those which are subject to international competition. National Competitive Bidding (NCB) can be advertised for at least 28 calendar days. Relatively small value items that would be procured through quotations do not need to be advertised. These items would be procured through solicitation of at least three quotations from reputable suppliers. Requests for Expressions of Interest (REOI). Large value consulting assignments (i.e. USD$300,000 and above) must be publicized in a media of international circulation or online at dgmarket which is free of charge. A sample EOI is shown in Annex 4. Announcements for the selection of individual consultants or selection using “Consultants Qualifications” (CQ) method (i.e. less than USD$300,000) should be published in the local media of national circulation and online at UNDB. The REOI would be the basis for establishing the short list of firms or individuals who would be invited to submit proposals through an RFP or for selecting individual 82 consultants and also for establishing a short list of six firms for selection through the “CQ” method. Step 5–Preparation of the draft Bid Documents/Terms of Reference (TOR) The preparation of the bid documents (Goods and Works) and/or terms of reference (consulting assignments) should commence immediately after the procurement plan is approved. Draft bid documents should be prepared for all contract packages that would be implemented in the upcoming financial year. Step 5 (a) – Preparation of the draft Bid Documents (Goods) Step 5 (a) – Preparation of the draft Bid Documents (Goods) Draft “Bid Documents” and “Request for Quotations” for Goods. Standard bid documents should be prepared for goods and works. The bid document to be used for procurement using shopping procedures (estimated value of USD 100,000 and below) is in the form of “Request for Quotations”. The standard bid document for ICB and NCB procurement should be in accordance with the World Bank Template. It would include the specification of the goods or works, contractual conditions and the instructions to bidders. The drawing, bill of quantities and BEME of the bid documents can vary according to the type and complexity of the contract. It is essential that the inputs of the appropriate technical experts be obtained during the preparation of the specifications/engineering drawings, design and bills of quantities. At this stage, the Procurement Specialist should also begin with the identification of suppliers for goods that would be procured through shopping. As such, the status and availability of possible suppliers from the list of vendors are verified. The description, quantity, desired time and place for delivery for goods and location of the works are compiled and the current market prices of relevant goods available in the local or international market are collected. The following paragraphs provides information on important sections of the Bidding Document: Conditions of Contract. The contract documents should clearly define the goods to be supplied or works to be undertaken, the rights and obligations of the FPMU/SPIU and of the supplier and administration of the contract. In addition to the general conditions of contract, any special conditions particular to the specific goods to be procured, works to be carried out and the location of the project should be included. 83 Need for Performance Security. For contracts for the supply of goods, the need for performance security depends on the market conditions and commercial practice for the particular kind of goods. Suppliers or manufacturers may be required to provide a guarantee to protect against non-performance of the contract. Such security in an appropriate amount may also cover warranty obligations or, alternatively, a percentage of the payments may be held as retention money to cover warranty obligations, and any installation or commissioning requirements. Provisions for Liquidated Damages. Provisions for liquidated damages or similar provisions in an appropriate amount should be included in the conditions of contract when delays in the delivery of goods, completion of works or failure of the goods or works to meet performance requirements would result in extra cost or loss of revenue or loss of other benefits to the agency procuring the goods. Provision may also be made for a bonus to be paid to suppliers for delivery of goods ahead of the times specified in the contract when such earlier completion or delivery would be of benefit to the agency procuring the goods. Force Majeure. The conditions of contract should stipulate that failure on the part of the parties to perform their obligations under the contract would not be considered a default if such failure is the result of an event of force majeure as defined in the conditions of contract. Applicable Law and Settlement of Disputes. The conditions of contract should include provisions dealing with the applicable law and the forum for the settlement of disputes. International commercial arbitration has practical advantages over other methods for the settlement of disputes. Therefore, it is recommended that the SPIU should use this type of arbitration in contracts for the procurement of goods. The World Bank should not be named arbitrator or be asked to name an arbitrator. Step 5 (b) - Preparation of Terms of Reference (Consulting Services) Step 5 (b) - Preparation of Terms of Reference (Consulting Services) Draft Terms of Reference (TOR) for Consultancy Services. Terms of Reference (TORs) of the proposed assignments should be drafted by the FPMU/SPIU in consultation with technical experts through the focal person of the relevant agency as soon as the procurement plan is approved. The draft TOR should provide a description of the objectives, scope of work, activities and/or tasks to be performed including the expected results and deliverables of the proposed consultancies. This is important in order to guide prospective consultants in understanding the context of the assignment and its correct execution. 84 A comprehensive TOR reduces the risk of unnecessary work, delays, and additional expenses caused by challenges or complaints brought by ambiguities in the terms of the assignment. A sample TOR outline and a description of the contents of its various sections are presented in Annex 17. The draft TORs should be finalized at least six (6) months before the expected commencement of an assignment (it is extremely useful to advise the Focal persons to provide as much information as possible regarding the assignment when the procurement plan is being prepared). Once finalized, the draft TOR should be sent to the World Bank for clearance. After receipt of World Bank clearance, the EOI should be publicized, using the same announcement procedures described in Step 3 above, to establish a long list of prospective candidates. During the announcement period, the SPIU should also make some efforts to approach and distribute copies of the TOR to known prospective individual consultants. CV’s and bio data of individual consultants who have been engaged in similar assignments in the past should also be compiled at this time. Step 6 – Issuance of the Bid Documents/Request for Proposal (RFP) The relevant bid documents (for goods or works) and RFPs (for consulting services) should be finalized and issued according to the following guidelines: Step 6 (a) - Issuance of Bid Documents (Goods or Works) Once finalized and after announcing the procurement package, the bid document for ICB/NCB procurement would be issued by SPIU to bidders who request to receive this document. The complete set of bidding documents are normally sold (costs related to production of ICB and NCB bidding documents and placement of advertisements can be recovered through the sale of the bidding documents) to interested bidders upon submission of a written application and upon payment of a non-refundable fee as specified in the specific procurement notice. NOTE: The procedures described from Step 6 onwards will pertain only to procurement of goods or works using ICB/NCB method. Procurement of small value goods (i.e. below USD 50,000 equivalent) would be carried out using shopping procedures as described above and below. Request for Quotations (RFQ). Goods estimated to cost less than USD 50,000 would be procured through the issuance of “Request for Quotations” (RFQ) to at least three (3) potential suppliers or qualified bidders. The RFQ should be issued at least one month before the goods are needed. Suppliers should be allowed a minimum of 14 days to submit their quotations. The RFQ should be clear and comprehensive. The 85 format to be used for requesting quotations for goods is shown in Annex 6. The Requests for quotations to be issued by SPIU should indicate the description and quantity of the goods or specifications of works, as well as desired delivery (or completion) time and place. The SPIU must inform prospective suppliers to submit quotations by letter, facsimile or by electronic means. The evaluation of quotations should follow the same principles as of open bidding (lowest responsive evaluated bidder). The terms of the accepted offer should be incorporated in a purchase order or brief contract. SPIU should retain all documentation with respect to each contract that is not subject to prior review during Project implementation and up to two years after the project‘s closing date. The documentation to be maintained would include, but not be limited to, the signed original of the contract, the analysis of the respective proposals, bid evaluation reports and recommendations for award, for examination by the World Bank or by its consultants. The SPIU should also furnish such documentation to the World Bank upon request. If the World Bank determines that the goods were not procured in accordance with the agreed procedures, as reflected in the Financing Agreement and further detailed in the Procurement Plan approved by the World Bank or that the contract itself is not consistent with such procedures, it may declare misprocurement. In such cases, the World Bank would promptly inform the SPIU the reasons for such determination Step 6 (b) - Issuance of the Request for Proposal (Consulting Services) Step 6 (b) - Issuance of the Request for Proposal (Consulting Services) The SPIU should issue Request for Proposals (RFPs) for all consulting assignments as established in the procurement plan. The RFP should be issued to those consultants who have been short listed from the respondents of the EOI (see Step 3 above). The SPIU should seek clearance from the World Bank before finalizing and issuing the RFP to the short listed candidates. The following steps would describe only the procedures for selection using the QCBS and QBS methods. Detailed procedures for selection of individual consultants and Consultants Qualification Selection (CQ) method are presented separately in paragraph 3.4.7below. The RFP should include (a) a Letter of Invitation, (b) Information to Consultants, (c) the TOR, and (d) the proposed contract. The SPIU should use the standard RFPs with minimal changes, acceptable to the World Bank, as necessary to address projectspecific conditions. Any such changes should be introduced only through the RFP data sheet. The SPIU may use an electronic system to distribute the RFP, provided that the World Bank is satisfied with the adequacy of such system. If the RFP is distributed electronically, the electronic system should be secure to avoid modifications to the RFP and should not restrict the access of short-listed consultants to the RFP. 86 Letter of Invitation (LOI). The LOI should state the intention of the government to enter into a contract for the provision of consulting services, the source of funds, the details of the client and the date, time, and address for submission of proposals. Instructions to Consultant (ITC). The ITC section of the RFP should contain all necessary information that would help consultants prepare responsive proposals, and should bring as much transparency as possible to the selection procedure by providing information on the evaluation process and by indicating the evaluation criteria and factors and their respective weights and the minimum passing quality score. Separate financial and technical proposals would be requested. The SPIU, however, has the option of requesting only the technical proposal if the selection method used is Quality Based Selection (QBS). The relevant weights that should be used are shown below (this information is also presented in the standard RFP): Consultant’s specific experience: Methodology: Key personnel: Transfer of knowledge: Participation by nationals: Total: 0 to 10 points 20 to 50 points 30 to 60 points 0 to 10 points 0 to 10 points 100 points These criteria can be subdivided into sub criteria. For example, sub criteria under methodology might be innovation and level of detail. However, the number of sub criteria should be kept to the essential. The SPIU should avoid using detailed lists of sub criteria that may render the evaluation a mechanical exercise more than a professional assessment of the proposals. The weight given to experience can be relatively modest, since this criterion has already been taken into account when shortlisting the consultant. More weight should be given to the methodology and key personnel in the case of more complex assignments (for example, multidisciplinary feasibility or management studies). The ITC should indicate an estimate of the level of key staff inputs required of the consultants or the total budget, but not both. Consultants, however, should be free to prepare their own estimates of staff time to carry out the assignment and to offer the corresponding cost in their proposals. The ITC should specify the proposal validity period, which should be adequate for the evaluation of proposals, decision on award, World Bank review, and finalization of contract negotiations. NOTE: The procedures described from here onwards will pertain only to selection of consultants using the QCBS/QBS methods. Procedures for selection using the “Consultant’s Qualifications” (CQ) method and selection of individual consultants are presented in paragraphs 3.4.7 and 3.4.8 below respectively. 87 Step 7 – Receipt of Bid Documents/Request for Proposal (RFP) This is the stage when bids or proposals are received. Step 7 (a) – Receipt of Bid Documents (Goods or Works) The SPIU should allow sufficient time for the preparation and submission of bids. Generally, not less than six (6) weeks from the date of the invitation to bid or the date of availability of bidding documents, whichever is later, should be allowed for ICB. Bidders should be permitted to submit bids by mail or by hand. Electronic systems may also be used for the submission of bids provided the World Bank is satisfied with the adequacy of the system, including, inter alia, that the system is secure, maintains the confidentiality and authenticity of bids submitted, uses an electronic signature system or equivalent to keep bidders bound to their bids, and only allows bids to be opened with due simultaneous electronic authorization of the bidder and the SPIU. In this case, bidders should continue to have the option to submit their bids in hard copy. The deadline and place for receipt of bids should be specified in the invitation to bid. The time for the bid opening should be the same as for the deadline for receipt of bids or promptly thereafter, and should be announced, together with the place for bid opening, in the invitation to bid. The SPIU should open all bids at the stipulated time and place. Bids should be opened in public; bidders or their representatives should be allowed to be present (in person or online, when electronic bidding is used). The name of the bidder and total amount of each bid, and of any alternative bids if they have been requested or permitted, should be read aloud (and posted online when electronic bidding is used) and recorded when opened and a copy of this record should be promptly sent to the World Bank and to all bidders who submitted bids in time. Bids received after the time stipulated, as well as those not opened and read out at bid opening, should not be considered Bidders should not be requested or permitted to alter their bids after the deadline for receipt of bids. The SPIU should ask bidders for clarification needed to evaluate their bids but should not ask or permit bidders to change the substance or price of their bids after the bid opening. Requests for clarification and the bidders’ responses should be made in writing, in hard copy or by an electronic system satisfactory to the World Bank. After the public opening of bids, information relating to the examination, clarification, and evaluation of bids and recommendations concerning awards should not be disclosed to bidders or other persons not officially concerned with this process until the publication of contract award. Step 7 (b) - Receipt of Proposals (Consulting Services) Step 7 (b) - Receipt of Proposals (Consulting Services) 88 The SPIU should allow enough time for the consultants to prepare their proposals. The time allowed should depend on the assignment, but normally should not be less than four (4) weeks or more than three (3) months (for example, for assignments requiring establishment of a sophisticated methodology, preparation of a multidisciplinary master plan). During this interval, the firms may request clarifications about the information provided in the RFP. The SPIU should provide these clarifications in writing and copy them to all firms on the short list (who intend to submit proposals). If necessary, the SPIU should extend the deadline for submission of proposals. The technical and financial proposals should be submitted at the same time. No amendments to the technical or financial proposal should be accepted after the deadline. To safeguard the integrity of the process, the technical and financial proposals should be submitted in separate sealed envelopes. The technical envelopes should be opened immediately by a committee of officials drawn from the relevant departments (technical, finance, legal, as appropriate), after the closing time for submission of proposals. The financial proposals should remain sealed and should be deposited with a reputable public officer or independent authority until they are opened publicly. Any proposal received after the closing time for submission of proposals should be returned unopened. The SPIU may use electronic systems permitting consultants to submit proposals by electronic means, provided the World Bank is satisfied with the adequacy of the system, including, inter alia, that the system is secure, maintains the confidentiality and authenticity of proposals submitted, uses an electronic signature system or equivalent to keep consultants bound to their proposals, and only allows proposals to be opened with due simultaneous electronic authorization of the consultant and the SPIU. In this case, consultants should continue to have the option to submit their proposals in hard copy. Step 8 – Evaluation of Bids/Proposals and Contract Award Immediately after the deadline for submission of bids and RFPs, the SPIU should initiate the evaluation process as described below: Step 8 (a) – Evaluation of Bids (Goods or Works) The SPIU should ascertain whether the bids (a) meet the eligibility requirements, (b) have been properly signed, (c) are accompanied by the required securities or required declaration signed (d) are substantially responsive to the bidding documents, and (v) are otherwise generally in order. If a bid is not substantially responsive, that is, it contains material deviations from or reservations to the terms, conditions, and specifications in the bidding documents, it should not be considered further. The bidder should not be permitted to correct or withdraw material deviations or reservations once bids have been opened. The SPIU should evaluate the bids in a manner that permits a comparison on the basis 89 of their evaluated cost. Therefore, the bid with the lowest evaluated cost, but not necessarily the lowest submitted price, should be selected for award. The bid price read out at the bid opening should be adjusted to correct any arithmetical errors. Also, for the purpose of evaluation, adjustments should be made for any quantifiable nonmaterial deviations or reservations. Price adjustment provisions applying to the period of implementation of the contract should not be taken into account in the evaluation. The evaluation and comparison of bids should be on CIP (place of destination) prices for the supply of imported goods and EXW prices, plus cost of inland transportation and insurance to the place of destination, for goods manufactured within Nigeria, together with prices for any required installation, training, commissioning, and other similar services. Bidding documents should also specify the relevant factors in addition to price to be considered in bid evaluation and the manner in which they would be applied for the purpose of determining the lowest evaluated bid. For goods and equipment, other factors may be taken into consideration including, among others, payment schedule, delivery time, operating costs, efficiency and compatibility of the equipment, availability of service and spare parts, and related training, safety, and environmental benefits. The factors other than price to be used for determining the lowest evaluated bid should, to the extent practicable, be expressed in monetary terms, or given a relative weight in the evaluation provisions in the bidding documents. Rejection of All Bids. The SPIU may reject all bids as stipulated in the bidding documents after receiving clearance from the World Bank. Rejection of all bids is justified when there is lack of effective competition, or bids are not substantially responsive or when bid prices are substantially higher than existing budget. Lack of competition should not be determined solely on the basis of the number of bidders. Even when only one bid is submitted, the bidding process may be considered valid, if the bid was satisfactorily advertised and prices are reasonable in comparison to market values. If all bids are rejected, the SPIU should review the causes justifying the rejection and consider making revisions to the conditions of contract, design and specifications, scope of the contract, or a combination of these, before inviting new bids. If the rejection of all bids is due to lack of competition, wider advertising should be considered. If the rejection is due to most or all of the bids being non responsive, new bids may be invited from the initially pre-qualified firms, or with the agreement of the World Bank from only those that submitted bids in the first instance All bids should not be rejected and new bids invited on the same bidding and contract documents solely for the purpose of obtaining lower prices. If the lowest evaluated responsive bid exceeds the SPIU’s pre-bid cost estimates by a substantial margin, the SPIU should investigate causes for the excessive cost and consider requesting new bids as described earlier. Alternatively, the SPIU may negotiate with the lowest 90 evaluated bidder to try to obtain a satisfactory contract through a reduction in the scope and/or a reallocation of risk and responsibility which can be reflected in a reduction of the contract price. However, substantial reduction in the scope or modification to the contract documents may require re bidding. The World Bank’s prior approval should be obtained before rejecting all bids, soliciting new bids, or entering into negotiations with the lowest evaluated bidder Extension of Bid Validity. If the SPIU requires an extension of bid validity to complete the process of evaluation, obtain necessary approvals and clearances, and to make the award, it should seek the World Bank’s prior approval for the first request for extension, if it is longer than four weeks, and for all subsequent requests for extension, irrespective of the period. Contract Award. The SPIU should award the contract, within the period of the validity of bids, to the bidder who meets the appropriate standards of capability and resources and whose bid has been determined (i) to be substantially responsive to the bidding documents and (ii) to offer the lowest evaluated cost. A bidder should not be required, as a condition of award, to undertake responsibilities for work not stipulated in the bidding documents or otherwise to modify the bid as originally submitted. The contract award recommendation including the result of the evaluation should be sent by SPIU to the World Bank and such other information as the World Bank should reasonably request. The World Bank may, if it determines that the intended award would be inconsistent with the guidelines and/or the Procurement Plan, promptly inform the SPIU and state the reasons for such determination. Otherwise, the World Bank would provide its no objection to the recommendation for contract award. The SPIU should award the contract only after receiving the “no objection” from the World Bank. Publication of Contract Award. Within two weeks of receiving the World Bank’s “no objection” to the recommendation of contract award, the SPIU should publish in UNDB online and in dgMarket the results identifying the bid and lot numbers and the following information: (a) name of each bidder who submitted a bid; (b) bid prices as read out at bid opening; (c) name and evaluated prices of each bid that was evaluated; (d) name of bidders whose bids were rejected and the reasons for their rejection; and (e) name of the winning bidder, and the price it offered, as well as the duration and summary scope of the contract awarded. Protests & Complaints by Bidders. If after publication of the results of evaluation, the SPIU receives protests or complaints from bidders, a copy of the complaint and a copy of the SPIU’s response should be sent to the World Bank for information. If as result of analysis of a protest the SPIU changes its contract award recommendation, the reasons for such decision and a revised evaluation report should be submitted to 91 the World Bank for no objection. The SPIU should provide a republication of the contract award in the format described earlier. Step 8 (b) - Evaluation of Proposals (Consulting Services) Step 8 (b) - Evaluation of Proposals (Consulting Services) The SPIU should organize an evaluation committee to evaluate the proposals. The evaluation committee should comprise of three or more specialists in the sector. Quality & Cost Based Selection (QCBS). Under the QCBS method, the evaluation should be carried out in two stages: first the quality, and then the cost. Evaluators of technical proposals should not have access to the financial proposals until the technical evaluation, including any World Bank reviews and no objection, is concluded. Financial proposals should be opened only thereafter. The evaluation should be carried out in full conformity with the provisions of the RFP. Quality Based Selection (QBS). Under QBS method, the SPIU may request submission of the technical proposals only. After evaluation of the technical proposal, the consultant with the highest-ranking technical proposal would be invited to present its financial proposal. At the discretion of the SPIU, it may also request that the financial proposals to be submitted at the same time as the technical proposals but in separate envelopes (two-envelope system). In that case, the financial proposals should be kept safely until the full technical evaluation is completed and approved by the relevant authorities. Only the financial proposal of the winning consultant is opened; the others must be returned unopened after negotiations with the winning firm are successfully concluded. The RFP generally provides the staff-months only as an estimate. The staff effort indicated by the consultants may differ considerably from such estimate, depending on the particular methodology adopted by the consultant. Since the TOR of assignments under QBS is generally less defined and relatively more complex than under QCBS, contract negotiations with the winning consultants could be lengthy and complicated. In this case, the SPIU may decide to hire individual advisers to assist in the most critical aspects of the technical evaluation, e.g., discussion of the plan of work, staff rates and reimbursable expenses, and the definition of the consultants’ staff-months. Technical Evaluation. The evaluation committee should evaluate each technical proposal taking into account the criteria stipulated in the RFP. Each criterion should be marked on a scale of 1 to 100. Then the marks should be weighted to become scores. The actual percentage figures to be used should fit the specific assignment and should be within the ranges indicated in the RFP. Evaluation of only the key personnel is recommended. The SPIU should review the qualifications and experience of proposed key personnel in their curricula vitae, which 92 must be accurate, complete, and signed by an authorized official of the consulting firm and the individual proposed. The individuals should be rated in the following three sub-criteria, as relevant to the task: (a) general qualifications: general education and training, length of experience, positions held, time with the consulting firm as staff, experience in developing countries, and so forth; (b) adequacy for the assignment: education, training, and experience in the specific sector, field, subject, and so forth, relevant to the particular assignment; and (c) experience in the region: knowledge of the local language, culture, administrative-system, government organization,-and so forth. A proposal should be considered unsuitable and should be rejected at this stage if it does not respond to important aspects of the TOR or it fails to achieve a minimum technical score specified in the RFP. At the end of the technical evaluation process, the SPIU should prepare a Technical Evaluation Report of the “quality” of the proposals and, in the case of contracts subject to prior review, submit it to the World Bank for its review and “no objection”. The report should substantiate the results of the evaluation and describe the relative strengths and weaknesses of the proposals. All records relating to the evaluation, such as individual mark sheets, should be retained until completion of the project and its audit. After the evaluation of quality is completed and the World Bank has issued its no objection, the SPIU should inform the consultants who have submitted proposals, the technical points assigned to each consultant and should notify those consultants whose proposals did not meet the minimum qualifying mark or were considered non responsive to the RFP and TOR that their financial proposals would be returned unopened after the signature of the contract. The SPIU should simultaneously notify the consultants that have secured the minimum qualifying mark, the date, time, and place set for opening the financial proposals. The opening date should be defined allowing sufficient time for consultants to make arrangements to attend the opening of the financial proposals. The financial proposals should be opened publicly in the presence of representatives of the consultants who choose to attend (in person or online). The name of the consultant, the technical points, and the proposed prices should be read aloud (and posted online when electronic submission of proposals is used) and recorded when the financial proposals are opened, and a copy of this record should be promptly sent to the World Bank. The SPIU should also prepare the minutes of the public opening and a copy of this record should be promptly sent to the World Bank and to all consultants who submitted proposals. Financial Evaluation. After completion the technical evaluation, the SPIU should review the financial proposals. If there are any arithmetical errors, these should be corrected. For the purpose of comparing proposals, the costs should be converted to 93 a single currency selected by the SPIU (local currency or fully convertible foreign currency) as stated in the RFP. The SPIU should make this conversion by using the selling (exchange) rates for those currencies quoted by an official source (such as the Central Bank) or by a commercial bank or by an internationally circulated newspaper for similar transactions. The RFP should specify the source of the exchange rate to be used and the date of that exchange rate, provided that the date is not earlier than four weeks prior to the deadline for submission of proposals, nor later than the original date of expiration of the period of validity of the proposal. For the purpose of evaluation, “cost” should exclude local identifiable indirect taxes on the contract and income tax payable in Nigeria on the remuneration of services rendered in Nigeria by non-resident staff of the consultant. The cost should include the entire consultant’s remuneration and other expenses such as travel, translation, report printing, or secretarial expenses. The proposal with the lowest cost may be given a financial score of 100 and other proposals given financial scores that are inversely proportional to their prices. Alternatively, a directly proportional or other methodology may be used in allocating the marks for the cost. The methodology to be used should be described in the RFP. Combined Technical and Financial Score under the QCBS method. The total score should be obtained by weighting the quality and cost scores and adding them. The weight for the “cost” should be chosen, taking into account the complexity of the assignment and the relative importance of quality. Under the QCBS selection method, the weight for cost should normally be 20 points out of a total score of 100. The proposed weightings for quality and cost should be specified in the RFP. The firm obtaining the highest total score should be invited for negotiations. Under the QBS selection method, the financial proposal (if this was requested) of the most technically qualified consultant would be opened. Otherwise, the consultant would be requested to provide its financial proposal. Step 9 – Contract Negotiations Contract negotiations should follow the following procedures: Step 9 (a) – Contract Negotiations (Goods) 1 After receipt of clearance from the World Bank to the contract award recommendation, and prior to the expiration of the period of bid validity, the SPIU shall notify the successful bidder in writing that its bid has been accepted. At the same time the SPIU shall request the winning bidder to submit a performance guarantee. The contract agreement is signed on the presentation of the performance guarantee by the winning bidder. If the bidding allows for the payment of an advance payment guarantee, the advance payment shall be paid upon the submission of an advance payment guarantee. In case of procurement of goods and works, negotiation with the winning bidder is not allowed. A copy of the signed contract shall be promptly forwarded to the World Bank, and when necessary to AFD, prior to 94 any withdrawal from the Special Account or submission of any withdrawal application to the Loan Department. The SPIU should also post the result of the bidding process at the UNDB online and in dgMarket. The following information should be posted: (i) name of each Bidder who submitted a Bid; (ii) bid prices as read out at bid opening; (iii) name and evaluated prices of each Bid that was evaluated; (iv) name of bidders whose bids were rejected and the reasons for their rejection; and (v) name of the winning Bidder, and the price it offered, as well as the duration and summary scope of the contract awarded. In the publication of Contract Award, the SPIU should specify that any bidder who wishes to ascertain the grounds, on which its bid was not selected, could request an explanation from SPIU. The SPIU should promptly provide an explanation of why such bid was not selected, either in writing and/or in a debriefing meeting, at the option of the SPIU. The requesting bidder would bear all the costs of attending such a debriefing. Step 9 (b) – Contract Negotiations (Consulting Services) Step 9 (b) – Contract Negotiations (Consulting Services) The SPIU should invite the selected consultant to negotiate the contract. Relevant technical expert and other responsible individuals should also be invited to participate in the negotiations proceedings. Negotiations should include discussions of the TOR, the methodology, inputs from the Implementing Agency and any other conditions of the contract. These discussions should not substantially alter the original TOR or the terms of the contract, lest the quality of the final product, its cost, and the relevance of the initial evaluation be affected. Major reductions in work inputs should not be made solely to meet the budget. The selected firm should not be allowed to substitute key staff, unless both parties agree that undue delay in the selection process makes such substitution unavoidable or that such changes are critical to meet the objectives of the assignment. If this is not the case and if it is established that key staff were included in the proposal without confirming their availability, the firm may be disqualified and the process continued with the next ranked firm. The key staff proposed for substitution should have qualifications equal to or better than the key staff initially proposed. Financial negotiations should include clarification of the consultants’ tax liability in Nigeria (if any) and how this tax liability has been or would be reflected in the contract. As Lump-Sum Contracts payments are based on delivery of outputs (or products), the offered price should include all costs (staff time, overhead, travel, hotel, etc.). Consequently, if the selection method for a Lump-sum contract included price as a component, this price should not be negotiated. In the case of Time-based Contracts, payment is based on inputs (staff time and reimbursable) and the offered price should include staff rates and an estimation of the amount of reimbursable. When the selection method includes price as a component, negotiations of staff rates 95 should not take place, except in special circumstances, like for example, staff rates offered are much higher than typically charged rates by consultants for similar contracts. Consequently, the prohibition of negotiation does not preclude the right of the client to ask for clarifications, and, if fees are very high, to ask for change of fees, after due consultation with the World Bank. Reimbursable are to be paid on actual expenses incurred at cost upon presentation of receipts and therefore are not subject to negotiations. However, if the client wants to define ceilings for unit prices of certain reimbursable (like travel or hotel rates), they should indicate the maximum levels of those rates in the RFP or define a per diem in the RFP. If the negotiations fail to result in an acceptable contract, the SPIU should terminate the negotiations and invite the next ranked firm for negotiations. The SPIU should consult with the World Bank prior to taking this step. The consultant should be informed of the reasons for termination of the negotiations. Once negotiations are commenced with the next ranked firm, the SPIU should not reopen the earlier negotiations. After negotiations are successfully completed and the World Bank has issued its no objection to the negotiated contract, the SPIU should promptly notify other firms on the short list that they were unsuccessful. After negotiations are successfully completed the unsuccessful consultants in the shortlist should be notified promptly. The final TOR and the agreed methodology would be attached to the agreed contract. After negotiations are successfully concluded, a copy of the conformed contract should be sent to the World Bank for its records. Step 10 – Contract Signing Successful conclusion of negotiations should be followed immediately by contract signing based on the procedures outlined below. Step 10 – Contract Signing Promptly after notification, the SPIU should send to the successful bidder/consultant the contract agreement. The successful bidder/consultant should return the signed and dated contract to the SPIU within 10 days. The bidder/consultant would not be bound by the terms of the contract, if it can demonstrate to the satisfaction of the client that it was not caused by lack of diligence on the part of the Bidder/consultant in completing any formalities, including applying for permits, authorizations and licenses necessary for obtaining the products/goods, systems or services under the terms of the Contract. Step 11– Contract Implementation Step 11 (a) – Contract Implementation (Goods) Inspection Agents. The SPIU should arrange for pre shipment inspection and certification of imports when procuring goods. The inspection and certification 96 should cover the quality, quantity, and reasonableness of price. Imports procured through ICB procedures should not be subject to price verification, but only verification for quality and quantity. However, imports not procured through ICB may additionally be subjected to price verification. The inspection agents would be ordinarily paid for on a fee basis levied on the value of the goods. Costs for certification of imports should not be considered in the evaluation of bids under ICB. Step 11 (b) – Contract Implementation (Consulting Services) Step 11 (b) – Contract Implementation (Consulting Services) Arrangements should be made for the regular supervision of contracts for works and consultant services. The supervision procedures of contracts should be undertaken in accordance with the provisions of the contract. This means that the SPIU should fully exercise its functions in making adequate arrangements with relevant agencies or technical specialists to supervise the implementation of the contract. The SPIU should also request the relevant supervisors to prepare regular progress reports on the performance of the consultants. This process would allow it to address at an early stage any possible unsatisfactory performance that causes delays in completion of planned activities. 3.4.7 SELECTION PROCEDURES FOR THE CONSULTANT’S QUALIFICATIONS (CQ) METHOD The CQ method applies to very small assignments for which the cost of a full-fledged selection process would not be justified. The procedures are as follows: a. Step 1– The detailed terms of reference (TOR) is prepared by the relevant technical experts around the same time that the final work plans is approved (i.e. 2nd half of December). The FPMU or SPIU should ensure that the TOR is developed in accordance with the agreed format in Annex 5. b. Step 2 – The SPIU sends the final draft TOR to the World Bank for its clearance. c. Step 3 – After receipt of World Bank clearance, the SPIU announces the proposed assignment in the local or international media. . It is also possible to identify consulting firms from those who have sent their profiles in response to other procurement notices such as the GPN or from other lists for as long as the information are up-to-date (i.e. at least not more than six months old). d. Step 4 –The SPIU selects at least three (3) firms who have experience and competence relevant to the assignment from the list of possible candidates. e. Step 5 –The SPIU organizes a selection committee composed of relevant specialists including the focal person, if needed, to select one firm that possesses the best qualifications and references in response to the RFP. 97 f. Step 6 –The SPIU requests the selected consultant to submit a combined technical and financial proposal. g. Step 7 –The SPIU invites the consultant to negotiate its technical proposal. h. Step 8 – If negotiations are concluded satisfactorily, the SPIU awards the contract. 3.4.8 PROCEDURES FOR SELECTION OF INDIVIDUAL CONSULTANTS Individual consultants are selected on the basis of their qualifications for the assignment. Advertisement is not required9 and consultants do not need to submit proposals. Consultants should be selected through comparison of qualifications of at least three candidates among those who have expressed interest in the assignment or have been approached directly by the FPMU/SPIU. Individuals considered for comparison of qualifications should meet the minimum relevant qualifications and those selected to be employed should be the best qualified and should be fully capable of carrying out the assignment. Capability is judged on the basis of academic background, experience, and, as appropriate, knowledge of the local conditions, such as local language, culture, administrative system, and government organization. 3.4.9 PROCEDURE FOR PROCUREMENT/FORMATION OF LABOUR-BASED ROUTINE ROAD MAINTENANCE TEAM A. COMMUNITY PROJECT AWARENESS AND SENSITISATION MEETINGS 1. Compile the approved/qualified RAMP-2 project roads in the state. 2. Notify the benefiting Local Government Authorities (LGA) and advice them to nominate a community liaison officer, preferably a senior officer among the Local Government Community workers. 3. Conduct awareness campaign, in conjunction with local government official, to all village(s) around the corridor of the RAMP-2 project roads and the environ with a view of propagating the objectives and benefit of RAMP-2 to the communities and sensitizing the Community Leaders on how to mobilize their people to ensure full participation in the implementation of the project. 4. Schedule of meeting day with the Community leaders. The Leaders will be educated on their roles which include among other: a. facilitate meeting with all members of their communities. b. ensure women’s representation during community consultations on rural roads management; 9 However, in some cases the SPIU may consider the advantage of advertising at their option. 98 c. encourage women to participate in the Labour-based routine maintenance. d. Facilitate the reconstitution/formation of a viable cooperative society acceptable to RAMP-2, if none already existing. 5. Meeting community people (men, women and youth) at the agreed venue for the purpose of sensitization on the importance of Road maintenance team, activities of RAMP-2. and indeed project implementation buy-in B. ACTIVITIES WITH ELECTED ROAD MAINTENANCE TEAM MEMBERS 1. Emergence of well constituted community association(s) with appropriate name and minimum of 10 members each, to participate in the RAMP-2 Labour-based routine maintenance. 2. Election of the officers of the association(s) i.e. President, Vice President, Treasurer and Secretary by the members, in the community. C. LEGAL ENTITY (1) Registration of the Cooperative Society with the relevant ministry. (2) Presentation of the Certificates as Cooperative Societies (3) Provision of Association seal by the SPIU D. CAPACITY BUILDING OF THE GROUP: Entrepreneurship, Institutional Strengthening and Road Maintenance techniques 1. Training of the Road Maintenance group on Group formation and dynamism, institutional strengthening, road maintenance techniques and Micro Entrepreneurship. 2. Production and distribution of the Road maintenance Manual: Road Maintenance Manual should be in English Language and translated into local language to enable the group members understand and comprehend its content and context. 3. Production of the Road Maintenance Techniques tips: Road Maintenance technique tips should be translated into local language and used to train the groups on maintenance techniques. 4. Distribution of the Sample of Supervision checklist to the members. 5. Supply of working tools to the Road Maintenance team 99 E. SIGNING OF CONTRACT AGREEMENT 1. Shared the contract agreement with Ministry of Justice, FPMU and World Bank for vetting and comments before it signing. 2. Contracting: Signing of Contract Agreement between RAMP-2 and the road maintenance team signaling the commencement of work. F. ACTIVITIES INVOLVING REINFORCEMENT OF THE GROUP 1. Visit to Road Maintenance group shall be weekly initially and bi-monthly subsequently, for the purpose of dynamism, cohesion and harmonization. Regular visits to the road Maintenance group are to ensure adequate project monitoring. See Annex 55 for Contract Model and further details 3.4.10 BRIEF GRIEVANCE AND REDRESSAL PROCEDURES If consultants wish to raise issues or questions about the selection process, they may send to the Bank copies of their communications with the FPMU/SPIU, or they may write to the Bank directly when the FPMU/SPIU does not respond promptly or when the communication is a complaint against the FPMU/SPIU. All such communications should be addressed to the Task Team Leader for the project, with a copy to the Country Director for the country and to the Regional Procurement Manager. If the FPMU/SPIU receives complaints from consultants, it shall promptly respond to the complainant and copy the Bank If as a result of the analysis of a complaint, or any other reason, the FPMU/SPIU changes its contract award recommendation, the reasons for such decision and a revised evaluation report shall be submitted to the Bank for no objection. Besides acknowledging receipt of communications, the Bank shall not enter into discussion or correspondence with any consultant during the selection and review process, until award of the contract is published. Debriefing by the Bank If after contract award, a consultant wishes to ascertain the grounds on which its proposal was not selected, it should address its request to the FPMU/SPIU. If the consultant is not satisfied with the written explanation given and/or debriefing by the FPMU/SPIU, and wishes to seek a meeting with the Bank, it may address the Regional Procurement Manager for the country, who will arrange a meeting at the appropriate level and with the relevant 100 staff. The purpose of such meeting is only to discuss the consultant’s proposal, and neither to reverse the Bank’s position that has been conveyed to the FPMU/SPIU nor to discuss the proposals of competitors. 3.4.11 IMPLEMENTATION OF TRAINING ACTIVITIES Implementation of training activities will be based on the agreed training plan of the project. The training plan usually should include the budget for the proposed training for expenditures related to: (i) (ii) (iii) (iv) tuition/registration fees; cost of transport, meals, accommodation and other allowances; rental of facilities; and cost of production of training materials, etc. In cases where bulk training is contracted to a firm or group of consultants and the training requires development and organization of customized training, the selection of the consultant should be included in the procurement plan for consulting services. In general terms, the methods used for planning training would depend on the nature of the training activity. A sample training-planning template is shown in Annex 7. The planning process for training should comply with the following requirements: The training activity is included in the annual plan; The proposed timing and duration has been indicated; The beneficiaries have been identified; The objective of the training is specified and linked with the subprogram objectives; and The cost has been properly estimated. 3.4.12 PROJECT TRAINING POLICY The project would provide support for training courses and carry out development activities to enable staff to acquire specific skills, knowledge and capacity required to perform adequately in their current and future tasks. Training may include in-house and external courses, seminars, workshops, day release courses, study tours and conferences. In order to ensure effectiveness, training would be based on identified training needs included in the work program and procurement plan of the project. Any other training needs arising during the course of the year due to operational deficiencies would only be considered after being reviewed by the Steering Committee and recommended to IDA for its no objection. 101 A report on training content and an assessment of relevance and quality of the training should be submitted to the World Bank for information 2-3 weeks after each training course funded by the project. The report shall include photo documentation. The following procedures should be followed when seeking funds for training from project: a. The beneficiary agency consultant or local support staff training cost would normally cover the full cost of studies and basic maintenance of the course of studies either locally or outside Nigeria; b. An approved course of study included in the annual work plans of the agency should be directly relevant to the responsibilities and duties of the identified beneficiary and operational requirements of the project as set out in the annual work plans. c. Full time training, especially outside Nigeria, would be extremely expensive to the project budget. It is, therefore, necessary that there is no automatic entitlement to such training./ The SPMC should only consider such training for World Bank’s approval after making a full assessment of its value relative to long-term capacity building requirements of the department or agency concerned; and d. Long courses and general degree programs would only be considered on an exceptional basis. 3.4.13 AFD SPECIFIC PROCUREMENT REQUIREMENTS The application of the Procurement Guidelines and the Consultant Guidelines shall be subject to the following modifications with respect to the AFD co-financed contracts: (a) Under this specific project, the use of the Association’s Standard Bidding Documents (SBDs) and Standard Requests for Proposals (SRFPs) is required in accordance with the Procurement Guidelines and the Consultant Guidelines, respectively (b) The bidding documents and/or requests for proposals prepared for a contracts co-financed by AFD will be modified to reflect AFD’s role as a co-financier, including references to AFD in the procurement notices and all other documentation relating to such contracts. (c) Due to its specific legal and regulatory obligations, AFD will not finance its respective part of a contract to a bidder or a consultant who is on any of the financial sanction lists (including in particular the fight against the financing of terrorism) of the European Union and/or United Nations as set forth in the AFD Credit Agreement. It is the responsibility of the FPMU/SPIU to ensure that the contractors/service providers are not on any of the financial sanction list (d) Consequently, the AFD may request additional information from the FPMU/SPIU, about a contractor, and may take account of this additional 102 information or lack thereof in deciding whether to finance its respective part of a contract. 3.4.14 PROCEDURE FOR APPROVAL OF PROCUREMENT a) Federal Level i. At the FPMU a Procurement Committee shall be constituted to comprise of the Procurement Specialist, Accountant, Internal Auditor and at least one other principal officers. They will be responsible for evaluating bids and making award recommendation to the Coordinator. ii. The Honourable Minister shall approve Procurements exceeding USD 150,000.00 passed through the Chairman of the National Technical Steering Committee after the Bank’s No Objection of the evaluation report by the procurement Committee. iii. The Permanent Secretary shall approve Procurement above USD30, 000.00 but not exceeding USD 150,000.00. However, Bank’s No objection of the evaluation report by the Procurement Committee has to be obtained before approval for amounts above USD 50,000.00 iv. The Project Coordinator shall approve Procurement up to but not exceeding USD 30,000.00 after the evaluation of the quotations received and recommendation by the Procurement Committee. v. b) State Level i. At this level, a Procurement Committee shall be constituted to compromise of the Procurement Officer, Accountant and three other Principal officers. They shall also be responsible for evaluating bids and making award recommendations to the Coordinator ii. The Commissioner shall approve procurement above USD30,000.00 but not exceeding USD150,000.00 after the Bank’s No Objection of the evaluation Report by the Procurement Committee. iii. The Coordinator shall approve procurement above USD1,000 and not exceeding USD30,000.00 after the evaluation of quotations received and recommendation by the Procurement Committee. c) Local Government Council When implementation resumes at this level, the chairman shall approve procurement above USD 30,000.00 but not exceeding USD 150,000.00 after the Bank’s No Objection of the evaluation report by the Procurement Committee 103 105 3.5 FINANCIAL MANAGEMENT PROCEDURES This section of the operational manual is to guide those concerned on the financial management procedures to be followed under the project. Efforts have been made to keep the contents of this section as straightforward and simple as possible but at the same time ensuring that it provides adequate guidance to those who would be carrying out financial responsibilities that are in accordance with agreed fiduciary mechanisms satisfactory to both the government and the World Bank. The manual may not necessarily cover all the financial procedures or provide all the answers to specific issues or problems that may arise during the implementation of the project. Therefore, it is the responsibility of the individuals concerned to refer to the following documents, if needed: The Financial Policies and Procedures for the Federal or State Ministry of Finance; The World Bank RAMP-2 Implementation Manual; The Financial Procedures Manual (FPM) Disbursements Handbook issued by the World Bank dated May 2006 for the IDA credit; and Financing Agreements for the IDA and AFD credits. The financial procedures described in this section of The PIM also may change during the course of the implementation of the project. Therefore, it is possible that necessary changes or modifications would be made to keep it up-to-date and relevant to the project objectives. 3.5.2 FINANCIAL PLANNING AND BUDGETING Planning and Budgeting preparation will follow the Federal or State Governments procedures as appropriate. Project budgeting will be synchronized carefully with government’s own budget time-wise. On an annual basis, the Project Accountant (in consultation with key members of the implementing unit) will prepare the budget for the fiscal year based on the work plan, procurement plan and budget. Both the FPFMD/FPMU and PFMU/SPIU would be responsible for ensuring that the financial procedures are properly adhered to as reflected and documented in this PIM and the Financial Procedures Manual (FPM), a living document which will be subject to review as appropriate. Flow of Funds Project funding will consist of IDA and AFD credits and Government counterpart funds. IDA will disburse the credit through Designated Accounts (DAs) opened with reputable commercial banks acceptable to IDA which will be managed by FPMU/FPFMD and SPIU/PFMU at the Federal and State levels respectively. AFD will disburse the credit through Designated Accounts (DAs) opened with reputable commercial banks acceptable to AFD which will be managed by SPIU/PFMU at State levels. Disbursement of AFD funds will be managed directly by AFD. All project funds will be used in line with the IDA and AFD Financing Agreement and the Bank FM procedures. The specific fund flow arrangements are as follows: 106 Financial Disbursement Arrangement Figure 6: Flow of Funds Govt. Budget IDA Designated Account (US$) for FPMU – Managed by FPFMD AFD Designated Account (US$) for SPIU – Adamawa; Enugu; Niger; Osun; Managed by each state’s PFMU Designated Account (US$) for SPIU – Adamawa; Enugu; Niger; Osun; Managed by each state’s PFMU Naira Drawdown Account for FPMU Naira Drawdown Account for SPIU Project (Naira Counterpart Fund) Account for SPIU Naira Drawdown Account for SPIU FPMU Expenditures SPIU Expenditures SPIU Expenditures SPIU Expenditures Disbursement Arrangements Designated Accounts (DA) will be opened in reputable commercial banks in Abuja, Nigeria for the FPMU; and for the SPIUs in the state capitals: Yola (Adamawa State); Enugu (Enugu State); Minna (Niger state); and Osogbo (Osun state). Funding will consist of IDA and AFD credits. IDA will disburse the credit through Designated Accounts (DAs) which will be managed by FPMU/FPFMD and SPIU/PFMU at the Federal and State levels respectively. AFD will equally disburse the credit through Designated Accounts (DAs) opened with reputable commercial banks acceptable to AFD which will be managed by SPIU/PFMU at State levels. The project funds would be disbursed using the transaction-based disbursement procedure at effectiveness. When project implementation begins, the calendar semester IFRs produced by 107 the project will be reviewed. Where the reports are found adequate and produced on a timely basis and borrower request conversion then transaction-based disbursement method could shift to report-based disbursement method. The specific banking arrangements are as follows: FPMU Designated Account: Accounts to be managed by the Federal Project Financial Management Division (FPFMD) within the Office of the Accountant General of the Federation (OAGF) for the Federal Project Management Unit (FPMU) at the Federal Ministry of Agriculture & Rural Development (FMARD) are as follows: A US$ DA to which initial deposit and replenishments from IDA funds will be lodged One Current (Draw-down) account in Naira to which draw-downs from the DA for FPMU will be credited in respect of incurred eligible expenditures, maintaining balances on this account as close to zero as possible after payments. One current (Project) account in Naira to which Counterpart Funds will be deposited. SPIU Designated Accounts: Accounts to be managed by the SPIUs (Adamawa State, Enugu State, Niger State and Osun state)) are as follows: A US$ DA to which initial deposit and replenishments from IDA will be lodged. A US$ DA to which initial deposit and replenishments from AFD will be lodged One current (Draw-down) account in Naira to which draw-downs from the DA for AFD will be credited in respect of incurred eligible expenditures, maintaining balances on this account as close to zero as possible after payments. One current (Draw-down) account in Naira to which draw-downs from the DA for IDA will be credited in respect of incurred eligible expenditures, maintaining balances on this account as close to zero as possible after payments. One current (Project) account in Naira to which Counterpart Funds will be deposited. The Currency of Designated Account is US Dollars and the account will be segregated. Accounting: IDA and AFD funds will be accounted for by the Project on a cash basis. Computerized accounting system will be used, utilizing flexible accounting software currently in use at the PFMUs. The software will be expanded to include the project activities. 108 Annual financial statements will be prepared in accordance with relevant International Public Sector Accounting Standards (IPSAS). All accounting and control procedures will be documented in the FPM. Financial Management and Reporting: Calendar Semester Unaudited Interim Financial Reports (IFRs), for Project expenditures funded by both Co-financiers together with funds of any other financiers, will be prepared by the FPMU and the SPIUs. SPIUs will submit IFRs to the FPMU not later than 45 days after the calendar semester while the FPMU will consolidate IFRs for all SPIUs and the FPMU and submit to IDA within 45 days of the end of each calendar semester. Consolidated annual project financial statements will be prepared and submitted to the Bank within 6 months of the end of the government fiscal year by the FPMU. Ensure that an opinion on the usage of all project funds is presented in the audit report. The IDA shall review the periodic interim un-audited financial reports and the annual audited financial statements provided and shall transmit them to AFD with a cover letter including any comments on the same, while following up on the implementation and pursuance of the audit’s recommendations. Regular periodic returns shall be made to the Federal and States Accountants General for consolidation in the government accounts. Internal Control: Adequate internal controls measures to be adopted/deployed by both PFMUs and FPFMD include the following: Robust FM procedures manual, Relevantly qualified staff that are well trained in relevant Bank procedures and requirements, including procurement; Robust segregation of functions/duties and highly independent and well-trained internal auditors The FM staffs are appointed by each State Accountant-General and the Accountant General for the Federation. The FPMU will consolidate quarterly internal audit report for all SPIUs and the FPMU and submit to IDA within 60 days of each quarter. The project will be audited by an independent external auditor appointed, based on Terms of Reference acceptable to the Bank and AFD, to audit the entire project and certify the consolidated financial statements for the project. The auditor will audit project expenditures funded by both Co-Financiers and any other financiers, and the use of all project funds. The auditor will express an opinion on the Annual Consolidated Financial Statements and prepare a Management Letter in compliance with 109 International Standards on Auditing (ISA. Copy of the audited financial statements along with the Management Letter will be submitted to IDA not later than six months after the end of each financial year. Technical audit will equally be conducted as needed. 3.5.3 FINANCIAL AND ACCOUNTING POLICIES The following provides the description of the general accounting policy to be adopted: 3.5.3.0 Basis for Preparation. The financial statements for the project would be prepared using cash basis of accounting. As such, receipts are recognized when received and expenses incurred when paid. Fixed assets are recognized in full in the year of purchase rather than capitalized and depreciated over their useful lives. All project transactions would be recorded at historical cost i.e. the price on the date of the transaction. The following paragraphs describe procedures for the various financial transactions under the project. 3.5.3.1 Fixed Assets –Policies and Procedures The procurement of items that are capital in nature is expensed upon payment. Fixed assets are not capitalized and depreciated over their useful life. The FPMU and SPIU should ensure that all the assets of the project are comprehensively insured. Budgeting Fixed Assets. : Capital expenditure (CAPEX) budget are prepared annually as part of the annual budgeting process. The CAPEX budget for the year should be a derived from the work plan. . Acquisition of fixed Assets: Whenever fixed assets are acquired, these should be fully inspected so that it is consistent with the agreed specifications. If satisfactory, the invoice and delivery notice should be forwarded to the Project Accountant for necessary processing. Recording of Fixed Assets: The cost of the fixed assets should include all expenses incurred in acquiring the asset such as shipping or delivery costs. In determining the cost of assets, the Project Accountant should use the following guidelines: The payment voucher (PV) files and other details related to the acquisition should be fully reviewed The invoice value and the contract documents should be compared for accuracy Where asset costs are shared, the cost of the asset should be apportioned accordingly. The cost of the asset should include taxes, transit, insurance, clearing agent costs, etc. The distribution or location of the asset should be obtained from the procurement/stores records The fixed asset cost form should be completed with the full details of cost up to the delivery location. 3.5.3.2 Fixed Assets Register (FAR). 110 A fixed assets register should be maintained to control and monitor all assets. For this purpose, items with a useful life of more than one financial year and cost more than N100,000.00 and used in the normal course of the project’s activities are considered fixed assets. Fixed assets with a value less than N100,000.00 are expensed as Special Project Assets. Donated assets would be reported in the FAR but it should not be recorded in the project’s accounts. Project assets should be comprehensively insured. The FAR should be updated each time an acquisition is made. The information should be derived from the following details contained in the fixed asset control form: Asset’s unique identification code Model and serial number Description of the asset Cost of the asset Location of the asset Condition of the asset At the end of each month, a summary of fixed assets shall be extracted from the FAR and form part of the project management report and financial statement. The Project Accountant should reconcile the cumulative fixed assets expense accounts with the FAR. Any variations should be followed up and resolved. 3.5.3.3 Disposal of Fixed Assets: The PC should seek approval of the World Bank and State Ministry of Finance (SMOF) in writing indicating the business case for disposal of fixed assets. After approval, a disposal request form (see Annex 8) should be completed by the Project Accountant with the following information: Description, Asset number and location of the asset being disposed; Business case of the disposal; and Current status of the asset and its cost The form should be forwarded to the PC for review and authorization of the disposal. Once approved, the disposal shall be conducted in line with government procedures. The accountant should record the sales proceeds in the project’s books of account under miscellaneous receipts and remove the asset from the FAR. 3.5.3.4 Physical Identification of Assets. Each asset should be assigned an asset code on receipt and a barcode sticker should be physically affixed to the asset (if possible). Otherwise, the asset code should be sufficiently detailed to enable easy verification .The Accountant should maintain a register of all fixed asset numbers in the control sheet (see Annex 9). 111 Annual physical verification of assets should be performed by the relevant NPCU and SPIUs staff. The physical verification would include verification of ownership and existence and it should extend to physical and operating conditions. The stock taking exercise should be coordinated by the PC through the accountant who would issue the physical verification procedures, inventory schedules and timetables to all concerned. He/she would appoint “asset counters” and explain fully the procedures to be followed including the information that need to be recorded in the count sheets (see Annex 10).After completion of the count, the PA should prepare a physical verification report to be forwarded to the PC . 3.5.3.5 Insurance of Assets: Assets should be insured against risks of loss arising from, among others, fire, burglary and motor vehicle accidents. The insurance coverage should be obtained from reputable insurance companies. The insurance register and policy should be kept in a safe location by the PA. 3.5.3.6 Loss of Assets: In the event that assets are lost, the occurrence should be reported immediately to the Police and the PC. 3.5.3.7 Change of Ownership: At the end of the project, the ownership of the assets should be transferred to Government of Nigeria (GON) with the World Bank’s consent. Ownership of the assets should not change without written consent by both the World Bank and Government. 3.5.3.8 Vehicle Usage and Maintenance: Vehicles procured under the project should be used for official purposes only and should not be for personal use of staff. The use of the vehicles would strictly follow the rules and regulations for use of GON vehicles. Regular maintenance program of vehicles should be carried out for all project vehicles. These include provision of adequate budget for running, ad hoc repairs and maintenance costs. . Vehicle log book should be kept for All project funded vehicles to track their maintenance, fuelling, etc. 3.5.4 INVENTORIES –POLICIES AND PROCEDURES Stock items are expensed on payment. Records of all stock items should be maintained and their movement should be monitored within the accounting system. Issuing Inventory Items: The Project Coordinator (PC) has the discretion in authorizing the requisition of inventory items of ordinary nature such as stationeries for the use in the normal course of the project’s business. Items of specialized nature such as purchases of inventory items required for workshops or training activities, or for use that is not intended in the normal course of the project’s business, should be approved by the PC. Store items are issued on the basis of Store Requisition Note (SRN) prepared by the requisitioning Unit; the Stores Officer (SO) shall issue out the goods and prepares a Stores Issue Voucher (SIV). 112 Receipt and Acceptance of Inventory items: Upon delivery of inventory items, the SO in conjunction with the experts on the procured goods should acknowledge receipt of the purchase order and delivery note after performing a physical verification of the items against the description of specifications, quantity, and quality in the presence of the supplier. A representative of the Internal Audit Unit will also be present. If satisfactory, the SO should sign and stamp the delivery note as evidence of acceptance. The SO shall issue a SRV to the supplier. The booklet copy of the SRV is used to post into Goods Received Register (GRR). The SRV should have the following information: Purchase order reference number Quantity received Date of receipt In addition to the GRN, the Project Accountant should maintain a Goods Received Register (GRR) .The GRR should be updated with the following information each time stock items are received: Description of the item Item code/number Quantities received and issued by date with a running balance Name and signature of the receiving and issuing officer Treatment of under or Over Deliveries: In case of an under delivery, the user should make a decision whether to accept or reject the items. If accepted, the Accountant and the supplier or agent should both sign the delivery note indicating the actual items received. Then, the Accountant should compile a report that all the items were not delivered and take appropriate action. In case of an over delivery, the excess items should not be accepted and the supplier should be asked to take it back at the supplier or agent’s cost. Delivery in Instalments: The Accountant should maintain a separate order tracking form for items that are delivered in instalments. Safekeeping of Inventory Items: The PC is responsible for the safekeeping of inventory items. Stock Counts: At least twice in a year the project the project should carry out a stock count of the inventory items on hand. The result of the stock verification exercise shall be reconciled with the balances in the store and the stores ledger in the Accounts Unit, and differences if any will be investigated. 3.5.5 THE DEFINITION OF OTHER FINANCIAL TRANSACTIONS ARE DESCRIBED BELOW: Reporting Currency. The financial statements should be presented in Naira. 113 Revenue Recognition. Revenue is recognized on receipt. Receipts represent the amounts received from the World Bank, AFD and counterpart funds from the Government of Nigeria (GON), as reflected in their monthly statements and comprise of cash transfers and direct payments. Cash transfers would be recognized in the cash books/general ledger when received in the project’s bank accounts. Direct payments by the World Bank and AFD are recognized when the project is advised on provision of relevant documentation. The project recognizes receipts from the various sources and records them separately. Expenses Recognition. Expenses comprise of eligible costs incurred by the project for its activities. Expenses are recorded in the books of account when paid. However, a list of commitments should be maintained or a summary of amounts contracted but not yet paid. Advances. Outstanding advances are recorded as receivables or recoverables. An advances ledger should be maintained to ensure that advances are properly controlled and monitored. Foreign Currency. The cash book related to World Bank and AFD funds are maintained in US Dollars and the cash book related to GON contributions are maintained in Naira. 3.5.6 FINANCIAL AND ACCOUNTING PROCEDURES The following paragraphs provide guidance to relevant individuals regarding the financial management and accounting procedures to be adopted under the project: Step 1 – Setting Up the Bank Account Step 1 – Setting Up the Bank Account The FPMU and SPIUs should open bank accounts, at a commercial bank acceptable to the World Bank and AFD. The Project Coordinator (PC) in conjunction with PFMU or FPFMD should seek approval of the Accountant General before opening this account. The request of the PC/PFMU or FPFMD must be in the form of a letter requesting approval for opening the account at a specific bank, in a specific location. The FPMU/SPIUs in conjunction with PFMU or FPFMD should also open a project account each, in local currency preferably at the same commercial bank. The project account would receive funds from the Designated Account. Signatories to the Bank Accounts. There must be two (2) signatures to effect movement of the funds in the bank accounts. The signatories should be divided into two (2) groups: Group A and Group B. Group A A1 - Project Coordinator A2 - Director in the Supervising Ministry Group B B1 - Head of PFMU/FPFMD B2 - Project Accountant 114 Primary signatory in Group A (i.e. A1) plus Primary Signatory in Group B (i.e. B1) must always be on a cheque issued from any project bank account/WA. Group A2 and B2 can sign in the documented absence of the primary signatories. Any cheque must always be signed by at least ONE Group A member and ONE Group B member. Two (2) Group A members or two (2) Group B members cannot sign together. The World Bank must be informed of the names of authorized signatories established by FPMU/SPIUs when the bank accounts are opened, and at any subsequent change of signatory. Requests for advances, replenishments and reimbursements will only be actionable when approved by one (1) Group A plus one (1) Group B signatory. Financing of Ineligible Expenditures .The Project bank account is exclusively to finance incurred eligible project activities in the approved work plans. Activities outside of this should not be financed from this account. If any withdrawal for expenses that are not approved project activities are made from the bank account, such expenditures are deemed ineligible and refund will have to be made. . No transfer of funds would be permitted except for payment of approved eligible expenses. The FPMU/SPIUs is not permitted to borrow or advance funds from the Project bank account to pay for non-Project related activities, with the intention of repaying the funds later. Step 2 – Requesting the Initial Deposit to the Designated Account Immediately after project approval and compliance to disbursement conditions, if any, the FPMU/SPIUs should submit to the World Bank and AFD, a request for the initial deposit to the Designated Account through the first withdrawal application. The Project Accountant should complete the Withdrawal Application (WA) forms on line, available through “Client Connection” using a secured website at http//clientconnection.worldbank.org. To facilitate accessing the initial deposit through the first W/A, the FPMU/SPIUs should also submit, through the FMOF to the World Bank and AFD, authenticated specimen signatures of persons authorized to sign W/As. The first W/A does not need to be supported by any documents yet for the IDA designated account. However, AFD designated account disbursement needs is as detailed in step 4b below. Subsequent replenishments would require supporting documents to justify further disbursements. Furthermore, the World Bank and AFD must be promptly advised by FMOF if and when changes are made to the authorized signatories during implementation. For the purpose of the project, bank accounts to be opened include: (i) Designated Accounts denominated in USD$ for the amounts received from the World Bank and AFD for the project; and (ii) Project Account denominated in local currency for the GON counterpart funds and transfers from the USD account to pay for incurred eligible 115 expenditures within the Country. GON Counterpart Funds. The counterpart funds must also be requested by the NPCU/SPIUs. The request for counterpart funds would be initiated through the preparation of a requisition letter to the FMOF/SMOF following government guidelines. When preparing the budgets, adequate information should be provided to be able to identify the appropriate accounting code consistent with the chart of accounts that will be used when recording the transactions. For example, a workshop should be broken down into accommodation, transport, subsistence allowance and others. The budget control book should also provide quarterly budgeted amounts at the beginning of each quarter and the actual amounts at the end of each quarter for the purpose of determining budget variations. Step 3 – Processing of Financial Transactions Step 3 – Processing of Financial Transactions The FPMU/SPIU is responsible for maintaining the following registers: Name Purpose Cash/Bank Book To register all deposits and withdrawals from Project bank account. All payments are coded with the component and category reference To register each payment by Project Component and category. Can be extracted from the Bank Book. To register all fixed assets. (Please refer to paragraph 49 above for more details in handling transactions related to fixed assets) Budget Control Book Fixed Assets Register Frequency of Updating Each time a transaction occurs Each time a payment is made Each time a fixed asset is procured . Along with these books, files of payment procedures, bank statements, and bank reconciliation statements should be maintained. Eligible Expenditures. The FPMU/SPIU should be familiar with the Financing Agreement, the legal document that governs the project. The Financing agreement describes the eligible expenditures for the project. Furthermore, the approved procurement plan would be the basis for determining the estimated budget for each 116 contract package. Payment Procedures. During project implementation, various expenditures will be incurred either through the payment of eligible expenditures associated with various contracts for works, goods and consulting services or payment of “Operating Costs”. For the purpose of the Financing Agreement, “Operating Costs” means the incremental expenses incurred on account of Project implementation and supervision, including for office support, office supplies, office rent, communication expenses, maintenance of vehicles, and transportation expenses, but excluding salaries of officials of the Recipient’s civil service. Invoices received can be broadly classified as follows: Invoices for supply of goods; Invoices for works done; and Invoices for provision of consultancy and professional services. Invoices for Supply of Goods. The supplier should submit an invoice, delivery note and copy of the Purchase Order (PO). The accountant should receive the invoices and check them for arithmetic accuracy. Copy of SRV should be attached. The invoice is checked and the payment voucher is prepared. Invoices for Works. The Contractor should submit monthly work situation report/milestones invoice or Job completion note and copy of the Bills of Quantity (BoQ). The accountant should receive the invoices and check them for accuracy. Copy of job certification should be attached. The invoice is checked and the payment voucher is prepared. Invoices for Consulting and Professional Services. Professional services should be charged by fee notes or invoice for local or international consultants. All appointments of consultants must follow guidelines described in the procurement section of this PIM. A copy of the consulting contract must be on file with the Accountant for verification before fee notes can be paid. Voucher Preparation. In order for a payment to be made, payment vouchers must be prepared. Vouchers should be numbered sequentially and the numbering identifies the Implementing Agency, the year and numerical sequence of the voucher (for example: FPMU/SPIU.101.11 for a payment by FPMU/SPIU, the first voucher (101) in year 2011 (code 08)). A voucher must indicate under what component and what category the payment is being made. Supporting documentation must be annexed to the voucher for approval. The cheque or bank transfer is normally annexed as well, and signed off on as the voucher is approved. 117 Those responsible for approval of payments should ensure that agreed procurement procedures have been followed prior to approving the voucher for payment. Once the cheque or transfer request is signed, the voucher is stamped “paid” and the various registers, including the Contracts Register and the Fixed Assets Register, are updated with the payment data. The voucher and all supporting documentations, including a copy of the signed cheque or transfer request, are then filed in voucher order. Timetable of Payments. Payments : Step 1 2 Action Supplier presents invoice and other required documents as specified in the contract. Receives and registers invoice. Stamps the invoice with date of receipt 3. Authorizes invoice for payment and send to Head FPFMD/PFMU 3 Review invoice, check for arithmetical errors and prepares voucher for payment Review Voucher, approve for cheque writing send to PFO. Signs cheque or transfer order. Signs as Group B signatory. Signs cheque or transfer order as Group A signatory. 4 5 6 Stamps “paid” on the process once the cheque or transfer order is signed. Responsibl e Supplier Office support staff assigned Project Coordinato r Asst. Project Accountant Project Accountant Project Coordinato r Accountant Timing As stipulated in the contract Date of receipt + 1 day + 1 day + 1 day Delivers transfer order to the bank and informs supplier of the transfer date or informs the supplier that the cheque is ready for pick up. For payments made through direct bank 118 transfers, the FPMU/SPIU should write a letter to the Project’s bank instructing the latter to transfer the amount on the cheque to the supplier’s account. The bank instructions should detail: The cheque number The amount and currency to be transferred The supplier’s bank and account number; and The address and SWIFT code of the supplier’s bank 7 8 Picks up receipt from the supplier upon delivery of payment. Files documents to close payment process. Documents to be filed include: Accountant Accountant Original signed receipt Original invoice Original signed voucher Copy of check or transfer order Cash Payments. Cash payments are made only for petty cash claims. Custody of Checks. All unused cheques should be kept by the Project Finance Officer who would issue these to the Accountant for cheque preparation as the need arises. All used and unused cheques should be kept in a safe location. For cancelled cheques, these should be attached to the cheque stubs or payment vouchers. cheque stubs should be taken to the Project Finance Officer for safekeeping. Payments of Salary to FPMU/SPIU Staff. A personnel folder should be established by the Accountant for project staff paid under the project. The folder would include, among others, the following: Documentation on the recruitment process Appointment letter/employment contract Educational certificates Medical examination certificates Tax forms Appraisal forms History of salary changes 119 History of promotions Leave records The salaries of FPMU/SPIU staff will be paid for the period starting from 26th day of the month to the 25th day of the following month. The actual pay-out would be made any time after the 25th of each month but could vary depending on the time that would take to process the salary payment. The Accountant should keep a record of staff absences. Unexplained absences should be addressed per government personnel policy or as stipulated in the contract. Staff remuneration would be paid upon preparation of salary schedule. . Remuneration would be paid by wire transfer to the staff’s bank account. Cash payments would not be made. Income tax would be deducted from all salary payments in accordance with the tax laws in Nigeria and records of these payments would be kept by the FPMU/SPIU. Travel and Per Diems. Travel advances would be given upon presentation of approved/eligible travel request. Eligible travel requests are those related to the approved activities presented in the agreed work and procurement plan. Unanticipated and unbudgeted travel would require the prior approval of the Project Coordinator (PC). Approval of the PC should be requested in writing. World bank DSA rates will apply to travels. Travel plans should be annexed to a voucher for payment of a travel advance. All travel advances must be retired within 2 weeks of return from the trip. All expenses must be supported by original tickets or receipts. No reimbursements would be given without original receipts. Where travel is by air, the retirement document shall include boarding pass. A letter that is signed by all relevant authorities for the travel must be made available and should be included as part of the justification for the trip. No travel and per diem advances should be given to any individual who have not properly retired previous travel claims. Arrangements should be made to commence deduction of the unretired amount from his/her salary. Step 4 – Submitting Withdrawal Applications Step 4a – Submitting Withdrawal Applications to the World Bank The FPMU/SPIU should make requisition for funds from the Credit Account using any 120 of the disbursement methods specified in the Disbursement Letter, such as: Special Commitment – where the World Bank undertakes to pay the project’s supplier at a future date. Reimbursement – where the project is reimbursed for eligible expenditures prefinanced from FPMU/SPIU’s own resources; and Direct Payment – where the World Bank directly pays the project’s suppliers from the Credit Account. The minimum application size to be submitted to the World Bank for direct payments, reimbursements and for issuance of Special Commitments will be in line with the Disbursement Letter. Monthly Replenishment Applications. All requisition of funds from the Credit Account should be made using a withdrawal application (W/A) form provided by the World Bank.(see Step 2 for procedures to access the forms) on a monthly basis regardless of amounts disbursed in order to bring the Designated Account balance within the authorized ceiling . Statement of Expenditures (SOEs) should be submitted and attached to the W/A for all eligible expenditures (i.e. goods, works, consulting services, training and operating costs) incurred under the project. Step W/A Processing Cycle 1 The Withdrawal Application (WA) is prepared by the Assistant Project Accountant and relevant supporting documents are attached for the signature of the Accountant and the Project Coordinator (PC) Preparation of WAs including signing is done electronically using Client Connection. The W/A should be supported by the following documents: Statement of Expenditures (SOEs) for payments for expenditures that are either subject to post or prior review by the World Bank and as specified in the Financing Agreement. Supporting documents for payments above the prior review threshold e.g. copies of invoices, receipts, SAP number, etc. Copies of bank statements for the period the W/A relates to. Bank reconciliation statement as at the end of the period the W/A relates to. SOEs for Expenditures Subject to World Bank’s Prior Review. The SOEs attached to the W/A for expenditures associated with contracts subject to World Bank’s prior review should be submitted with full documentation as follows: Supply of Goods or works costing USD_______ equivalent or more; Contracts for consulting firms costing USD_______ equivalent or 121 more; and Contracts for individual consultants costing USD______ or more. 2 The World Bank Loans Department would review the W/A for compliance with requirements and if found satisfactory, it would request for the appropriate amounts to be transferred to the Designated Account. LOA would send a payment advice to the FPMU/SPIU that the transfer has been initiated. 3 Upon receipt of the payment advice, the FPMU/SPIU should also notify the relevant W/A signatories that the transfer has been made. 4 Upon confirmation that the Bank account has been replenished, the Accountant should prepare a receipt voucher and enter the amount into the cash book for direct payments book. Step 4b – Submitting Withdrawal Applications to AFD 1. Drawdown of Funds Drawdown from the AFD credit will be made in accordance with the conditions set forth in both the AFD Credit Facility Agreement and Co-Financing Agreement. 2. Drawdown Amount Each Drawdown shall be equal to at least five million Dollars (USD 5,000,000) or to the available credit if such amount is less than five million Dollars (USD 5,000,000). 3. Drawdown Request Subject to the conditions set forth in Conditions of Utilisation of the AFD Credit facility agreement being fulfilled, drawdown on the Credit Facility shall be made upon delivery of a duly completed Drawdown Request Letter signed by an authorized signatory, to the AFD. Each Drawdown Request shall be sent to the AFD Nigeria Country office (for attention of Country Director) at the following address: 3 Udi Hills Street, Off Aso Drive, Maitama, Abuja, Nigeria and to the IDA Nigeria Country office (for attention of Country Director) at the following address: 102 Yakubu Gowon Crescent, Asoko District, Abuja, Nigeria. Submission of original the Drawdown Requests shall be with copies of supporting documents and other evidence, in form and substance satisfactory. 122 Each Drawdown Request is irrevocable and shall only be deemed valid if (a) it is substantially made in the form attached as Annex 49 (Form of Drawdown Request Letter); (b) it is submitted not later than fifteen (15) Business Days prior to the end of the Availability Period; and (c) it is submitted together with all necessary documents, including supporting documents, in compliance with the relevant provisions of Modes of Payment of the Credit Facility of the AFD Credit facility agreement. In the Drawdown Request Letter, a maximum Interest Rate determined in accordance with the relevant Clause on Interest Rate, of the AFD Credit facility agreement, may be indicated, above which such Drawdown Request shall be cancelled. In the event of such a cancellation, a Drawdown Request Letter can be reissued. 4. Drawdown Confirmation As set forth in the Co-financing Agreement, the IDA shall review each Drawdown Request and advise the AFD through a Drawdown Order to make the requested Drawdown available as requested. Upon the fulfilment of all the conditions set out herein, the AFD shall promptly address a Drawdown Confirmation Letter substantially in the form attached as Annex 50 (Form of Drawdown Confirmation Letter). The Co-financier shall then make the requested Drawdown available to the relevant Final Beneficiary, by crediting the bank account referred to in the Drawdown Request Letter. 5. Modes of Payment of the Credit Facility The funds shall be made available by the AFD in accordance with the following terms: 5.1 Direct Payments to the Final Beneficiaries (Contractors) Any direct payment shall be of a minimum amount of five million USD (US$5,000,000). Pursuant to the relevant Clause on Direct Payment by the AFD to Contractors of the AFD Credit facility agreement, the Final Beneficiaries shall provide AFD all necessary instructions to allow seamless direct payment. Such instructions shall be delivered together with bills of costs, performance bond, invoices or down payment requests, in the form of a photocopy or a certified true copy, satisfactory to the AFD. 123 5.2 Drawdown in the form of Renewable Advances A whole or part of the funds of the Credit Facility may be disbursed in several advances pursuant to methods hereunder. Any individual payment from the renewable advances shall be inferior to five million USD (US$5,000,000) Pursuant to the relevant Clause on Drawdown in the form of Renewable Advances of the AFD Credit facility agreement and in accordance with the provisions of the Co-financing Agreement. The IDA shall verify that the requested Drawdown applies to contracts to be financed by the AFD, in accordance with Procurement Plan and Disbursement Schedules. Drawdown Request may be postpone or permanently reject, if any of the following events occurs: detection of an anomaly giving rise to the presumption, in particular, of incorrect allocation of funds; absence or insufficient documentary evidence of the use of funds disbursed in the form of advances. (a) Special Bank Account (Designated Account) A Special Bank Account, identified by the name of the Project shall be opened specifically for the Project by each SPIU with a commercial bank subject to the prior no-objection of the AFD on the bank and the methods of operation of such special account. The first advance, as well as the subsequent advances, shall be wired to such Special Bank Account. Only funds from the AFD shall be wired to the Special Bank Account which shall be only dedicated to the funding of the Project. The Special Bank Account shall not be compensated with any other account of the concerned SPIU in the same bank. The bank statements for such special account shall be forwarded by each SPIU to the AFD on a periodic basis which shall not be later than three (3) months and, in any case, attached to each Drawdown Request Letter. (b) First Advance The first advance for any Final Beneficiary shall not exceed an amount of seven million US Dollars (USD$7,000,000), and shall be disbursed subject to the following additional conditions: - a bank certificate established by the bank identifying the Special Bank Account; - a financial report, as sent to and approved by the IDA, and in 124 which the six (6) months’ forecast of eligible expenditures to be made using the Special Bank Account will be documented, based at least on the annual work plan, procurement plan and budget approved by the IDA, as well as on the Financing Plan of the Project; and (c) an estimated statement of expenditures for the next six (6) months. Subsequent Advances The subsequent advances, which amount shall never be less than Five million US Dollars (USD$5,000,000) each, but shall never exceed an amount such that the projected balance in the Special Bank Account does not exceed six (6) monthly forecast of expenditures to be made through the Special Bank Account each, will be disbursed to the concerned SPIU, subject to the following additional conditions: - presentation to the AFD of any documentary (such as bank account statements, bank transfer orders, invoices paid, contracts signed) evidencing of the use of at least seventy percent (70%) of the funds of the previous advance and the payment of corresponding services or expenses. - a Special Bank Account statement bearing all transactions and exchange rates where relevant, as well as a reconciliation statement; and - a semi-annual interim financial report, as sent to and approved by the Co-Financier, and in which the six (6) months’ forecast of eligible expenditures to be made using the special account will be documented, based at least on the annual work plan, procurement plan and budget approved by the Co-Financier, as well as on the Financing Plan of the Project. The AFD may postpone any Drawdown Request as long as it has not received satisfactory evidence of the use of the funds of previous advances, whether such request covers the refinancing of expenses paid by the concerned SPIU or direct disbursement to contractors. (d) Last Advance Supporting document evidencing the use of the funds of the last advance shall be communicated to the AFD at the latest on the sixth (6th) month following the disbursement of such last advance. After such period, the AFD shall require the repayment of all amounts for which supporting evidence could not be provided or was not considered satisfactory by the AFD. Such repayment shall be done not later than sixty (60) days following receipt of the written request from 125 the AFD. (e) None of the total amount of the Advances for each of the Final Beneficiary shall exceed fifteen million USD (USD$15,000,000). These amounts shall include any direct payment. (f) Documentary Evidence Final Beneficiaries must not part with all supporting documents relating to the use of the advances proceeds (such as signed contracts, with no-objection from the AFD where applicable, works acceptance reports and invoices established by contractors) and make them available to the AFD at any times. (g) Monitoring - Audit The AFD may undertake an assessment of documents and on-site visits in order to satisfy itself, in particular, that the provisions of this Clause 3.3.2 (Drawdown in the form of Renewable Advances) are complied with. Audits of the Special Bank Account will be carried out at least on an annual basis. Such audits will produce supporting evidence of the use of the funds for the previous Drawdown. Step 5 – Financial Reporting Guidelines Step 5 – Financial Reporting Guidelines Financial Reporting Policies. The Project Coordinator is accountable to the Steering Committee for ensuring that the project complies with all fiduciary requirements described in this PIM. The FPMU/SPIU Project Accountant would be responsible for the carrying out the financial reporting tasks of the project. The key FPMU/SPIU financial reporting policies are as follows: The annual financial reporting period is from January 1 to December 31 of each year. Unaudited Interim Financial Report is prepared at the end of each calendar semester covering the semester. The financial statements and all financial information should be derived from the books of accounts, accounting records of the project or from any other sources that the management deems necessary. All transactions of the project should be recorded in the books of account using the chart of accounts acceptable to the World Bank and government. All reconciliations and end of reporting period supporting documentations should be completed, reviewed and signed by the appropriate individuals. Proper books of accounts should be maintained to ensure that all monies received are accounted for and all payments are fully authorized and recorded. 126 Periodic financial and non-financial management performance reports should be prepared to assist in management decisions. Sharing/Publication of project progress reports, financial statements should be carried out periodically Types of Financial Documents. The financial documents that would be maintained under the project include the following: Bank reconciliation statements WA Replenishment requests Trial balance Cash count certificate Stock movement report Monthly progress report Quarterly progress report+ Calendar semester financial report Stock taking reports Internal audit reports G/L reconciliation checklist Financial statements Annual progress report Annual audit report and management letter Fixed assets physical verification report Reporting Cut-offs and Deadlines. The last calendar day of each month would be the month-end for project reports. If the end of the month falls on a Saturday, Sunday or public holiday, the cut-off would be the last weekday proceeding the aforementioned day. All accounts should be closed by the relevant cut-off dates. Types of Financial Reports. The following financial reports would be prepared under the project. Project unaudited financial Reports. The FPMU/SPIU should prepare calendar semester unaudited financial reports to be submitted within 45 days of the end of each calendar semester . The calendar semester financial reports should provide information on funds received and their utilization. Annual Financial Statements. Financial statements should be prepared at the end of each fiscal year as follows: (a) Project Financial Statements that would include: o A summary of funds received that shows separately funds received from the various sources including counterpart funds; o A summary of expenditures by project components and category of expenditure by fiscal year and cumulative amount; o A report summarizing disbursements made on the basis of W/As; 127 o A statement of the designated account; o A balance sheet showing accumulated funds of the project, bank balances and other assets of the project; and o Notes to the financial statements, as needed, which should include explanations for differences between the amounts shown in the World Bank & AFD records and the project records. (b) Designated Account (DA) Statement. The DA statement should provide information on the following: o Deposits and replenishments received from the World Bank and AFD; o Payments substantiated by transactions included in the W/As; o Interests earned on bank balances which are attributable to the project; and o Remaining balances at the end of each fiscal year. (c) Statement of Expenditure (SOE). The SOE statement should list all the individual SOE W/As by reference number and amount. The total withdrawals under the SOE procedures should be part of the overall bank reconciliation of bank disbursements during such period.(Annex 13) Monthly and calendar semester financial reports must be prepared according to the agreed format. Bank reconciliations should be prepared and submitted monthly, procurement reports should be prepared once every two months and management reports on a quarterly basis. Bank Reconciliation Statements. The bank reconciliation statements should be prepared by the Accountant to the Project Coordinator (PC) for review and approval not later than five (5) working days after the end of each month. The PC and the PA should sign and date the bank reconciliation statements as evidence of the review and acceptance that all reconciling items are valid. Verification Procedures. The following standard verification procedures should be carried out by the Accountant when preparing the bank reconciliation: 1) Payments in the general ledger that are not on the Bank Statement: On a weekly basis, the Accountant should compare payments or outstanding payment or cheques that have not yet been presented for payment to the bank statement by cross referencing it with the general ledger (GL)/cash book. All cheques that have not yet cleared the bank should be listed with the following details: (a) check date issued; (b) cheque number; (c) payee; and (d) amount. The same action should be taken for outstanding cheques from the previous month. On a weekly basis, the Accountant should prepare list of all stale cheques 128 (these are cheques that have not been presented for payment after six months from the date of issue). The PA should void all stale cheques and instruct the bank to stop payment against these cheques. The Asst. PA should then reverse these cheques from the GL/cash book. 2) Deposits in the general ledger not on the Bank Statement: On a weekly basis, the Accountant should match the previous week outstanding or uncredited receipts (recorded in the GL but not yet credited by the bank) as recorded in the GL to the bank statements and provide the following details: (a) dated of receipt; (b) deposit slip number; (c) amount; and (d) payer. 3) Deposits in the Bank Statement that are not in the general ledger: On a weekly basis, the Accountant should match the direct deposits (direct deposits from debtors or foreign exchange receipts) as reflected in the bank statements to the receipts recorded in the GL. The Accountant should also provide the following details (a) date of receipt; (b) details from bank statement; (c) amount. 4) Payments on the Bank Statement that are not in the general ledger: On a weekly basis, the Accountant should cross reference to the general ledger all direct payments on the bank statement: (a) debit orders processed by the bank; (b) transfers to other bank accounts; (c) telegraphic transfer payments; and (e) returned unpaid cheques. The Asst. PA should inform the PA on a weekly basis for all debit orders and telegraphic transfer payments that have not been processed. For returned unpaid cheques, the Asst. PA should inform the PA immediately. The following details should be presented for these transactions: (a) date of payment; (b) payee; (c) reference/ cheque number; and (d) amount. 5) Sundry charges or credits: On a weekly basis, the Asst. PA should cross reference sundry charges or credits (these represent bank service charges, interest paid or received) from the bank statement to the GL. The Asst. PA should inform the PA on a weekly basis of any sundry charges or credits that have not been processed in the GL and provide a list at the end of the month. 6) Foreign exchange losses and gains: At the end of each month, the Accountant should compute the foreign exchange differences arising in the month and recognize this in the GL. 129 3.6 MONITORING, EVALUATION AND REPORTING FRAMEWORK 3.6.1 INTRODUCTION This section describes the basic principles for monitoring and evaluation (M&E), broad definition of the process, key features of the M&E framework and suggested Key Performance Indicators (KPIs) and results monitoring arrangements of the project. The section also gives an overview of the data collection processes and recommendations on how this information can be employed to enable effective monitoring, evaluation and reporting of activities. The aim of M&E is to: a. Promote public accountability by monitoring project efficiency and effectiveness to assess and communicate whether project activities are likely to achieve expected results or realize its objectives; b. Inform and support management decision-making and control during implementation; c. Draw lessons from experience in terms of understanding factors that have facilitated or inhibited the achievement of objectives; d. Aid communication through provision of information and feedback both internally and externally. 3.6.2 MONITORING AND EVALUATION CYCLE Without monitoring and evaluation, it is impossible to judge with a reasonable level of accuracy if work was going in the right direction, whether progress and success could be claimed by the project, and how future efforts might be improved. Monitoring is defined as a continuous function that aims to provide the management and main stakeholders with early indications of progress, or lack thereof, in the achievement of results of the project. It is the activity of collecting, recording, analysing, communicating and using information for the purpose of management control and informed decision- making. Its purpose is to identify and promote the action necessary to improve implementation. It also measures the quality and effect of processes and procedures. Monitoring and Evaluation for the project would take the following form and will be closely aligned with the project implementation cycle as described above. M&E Mechanisms Activity a) Review meetings Procedure Technical Committee Review meetings should take place quarterly. The review meetings serve as a basis for timely rectification of implementation shortfalls as well as for the preparation of status reports on relevant activities for the Responsibility IDA, AFD, FPMU & SPIU 130 concerned agencies. Regular consultation should be used SPIU & FPMU b) Regular by sector specialists or agents on consultations their behalf as the most appropriate mechanisms to obtain reliable and first-hand information on achievements and constraints of ongoing activities. These consultations are considered as a vital tool to check financial and physical data consistencies, to ensure first-hand information and maintain contacts and exchange of views with monitoring and implementing organs. c) Preparation of Semi-annual performance reports SPIU & FPMU periodic monitoring should be prepared on agreed reports indicators. Periodic (quarterly, biannual and yearly) physical and financial reports showing comparisons of actual financial and physical achievements against targets indicated in the annual work plans also need to be submitted to the World Bank. In this regard, quality of reporting, periodicity of reporting and commitment of decision makers has remarkable bearing on the success or failure of a monitoring system. In monitoring practices, it is important to establish mechanisms for both information flow and feedback. Evaluation is the process that attempts to systematically and objectively assess progress towards achievement of project goals. The purpose of evaluation is a combination of learning, guidance and control based on an assessment of what has been achieved. It is expected that the following actions would be taken: (a) during implementation (mid-term evaluation), and/or (b) at completion (final evaluation). Project Evaluation Procedure Responsibility Activity 131 a) Mid-term review b) Final evaluation Usually conducted around the middle of implementation period. The purpose of this review is to readjust implementation based on the last performance (i.e. to make budgetary reallocation among the components, change mechanisms of implementation etc.). Conducted at the end of program/project life period. It is a selective exercise that attempts to systematically and objectively assess success towards achievements of immediate objectives and outcomes. It also extracts lessons learned, findings and recommendations. The FPMU shall commission and finance the review with technical support from the Development Partners (IDA & AFD) The FPMU shall commission and finance the review in collaboration with the Development Partners (IDA & AFD) IMPACT EVALUATION Alongside monitoring and evaluation, a rigorous impact evaluation (IE) of the interventions will be carried out to determine their causal impact that is the change in target outcomes which can be directly attributed to the project interventions. Consultant/Impact Evaluation expert/firm can be hired to carry out the Impact Evaluation. FPMU will lead this process with the help from the states. 3.6.3 RESPONSIBILITY FOR THE M&E FUNCTION The M&E process takes place at all levels where decisions are made; therefore, it is an integral component of sound management practice and would, therefore, be carried out across various levels. Monitoring function is the responsibility of the FPMU/SPIUs including the development and maintenance of a system that would facilitate collection of data on specified indicators for management reporting purposes and also for making stakeholders aware of the progress of project activities. The FPMU/SPIUs is also responsible for ensuring that assessments are carried out as systematic and as objective as possible. The evaluation should use credible and useful information that includes lessons learned that can lead to a more effective decision-making process by all stakeholders. Monitoring and evaluation are intimately related. Both are necessary management tools to inform decision-making and demonstrate accountability. Evaluation is not a substitute for monitoring nor is monitoring a substitute for evaluation. Both use the same steps; however, they produce different kinds of information. Systematically generated monitoring data is essential for successful evaluations. 132 3.6.4 M&E ORGANIZATION: STAFFING, LEVELS OF IMPLEMENTATION, TOOLS. Effective execution of the monitoring and evaluation responsibilities of the different entities involved in RAMP-2 project will require adequate manpower, skill and resources. At the Federal level an M&E Specialist shall coordinate monitoring and evaluation responsibilities of the FPMU, and ensure that the FPMU discharges its M&E duties to the RAMP-2 National Technical Steering Committee, IDA and AFD. The FPMU M&E unit shall also coordinate M&E activities in the four participating states. The SPIU M&E Specialist shall coordinate the M&E activities at the state level. The other participating bodies shall identify M&E officers for the discharge of their M&E duties. These include the State Civil Service Commission, State Ministries of Youth and Agriculture and CSOs. At the community level an M&E designated Officer in the LGA shall coordinate the M&E activities at the community level. Data collection and information reporting tools and operating guides shall be developed by FPMU with support from the World Bank. These will be used at federal, state, local government and community level. 3.6.5 PARTNERSHIPS Implementation of activities identified in the RAMP-2 has necessitated collaboration with various organisations across different sectors. The ability of the project to track and report project activities implemented by these different stakeholders will require the formation of strong partnerships. The forum for such partnership shall include the National Technical Steering Committees and State Project Monitoring Committees at the Federal and State levels respectively. They shall, in addition to their stipulated duties serve as a mechanism for reviewing and validating reports, sharing knowledge and lessons learnt. 3.6.6 RESEARCH AND EVALUATION The RAMP-2 PAD identifies that technical and human capacity for monitoring and evaluation are weak in the states, therefore prior to effectiveness, a rapid readiness assessment will be conducted which will inform the design of an M&E system development plan. Research and evaluation component of the RAMP-2 project will need to be strong in order to assist project control internally and identify external factors supporting or imbedding the achievement of project goals and recommend corrective measures. These will include midterm and annual reviews and carrying out of state wide or multiple-state studies on selected social and economic aspects of the project in consultation with IDA and the participating states. Evaluations shall be conducted to assess the contribution RAMP-2 has made on increasing employment and improving access to rural areas. 3.6.7 MONITORING AND EVALUATION PLAN 133 A Monitoring and Evaluation Plan (M&E Plan) is a plan on how to monitor and evaluate project implementation progress towards achieving the project’s objectives. The RAMP-2 M&E Plan will enable a comprehensive assessment of project’s progress, effectiveness and impacts it has contributed to in the four participating states. The M&E Unit of FPMU with support from the World Bank, shall within six months of project effectiveness develop a comprehensive M&E Plan for the project. The M&E plan shall cover the following – (i) Project indicators with indicator reference sheet. (ii) Data sources for the various indicators. (iii) Method and frequency of data collection. (iv) Responsible offices for data collection. (v) Procedure for conducting evaluations. (vi) Method of data analysis and interpretation to generate credible information. (vii) Method, frequency and timing of reporting. (viii) Information flow, channels for data dissemination, use and feedback. 3.6.8 DATA QUALITY To collect and report the highest quality of data possible for accurate project tracking and decision making, it is important to maintain a system for assuring that good quality data is used in the project. This shall be achieved by having a mechanism for; Data Profiling & Cleaning – a process of analysing the data for correctness, completeness and consistency. Data Defect Prevention – a process of identifying the root causes for data defects and putting in-place corrective measures. These will require determining and defining acceptable data quality level and rigorous monitoring to ensure that data conforms to these requirements. 3.6.9 FUNDING FOR M&E Funding for M&E activities shall come from Component 3 - (Project Management and Strengthening of State and Federal Road Sector Institutional, Policy and Regulatory Framework). This will be used for strengthening the capacity of FPMU and other SPIU Partner/Contractors with M&E responsibilities. This will include developing M&E systems, plans, tools, training of the staff as well as carrying out routine monitoring activities and periodic evaluations. 3.6.10 SUPERVISION AND REPORTING Supervision shall serve many uses including validating reported data and monitoring data quality. It also serves as an opportunity for verifying achievements, information sharing, understanding project problem, providing continuous education and support. 134 Reporting of project progress is a formal means of communicating project activities, achievements and M&E results measured using agreed indicators. Supervision and reporting schedules in the project shall be well planned, their objective clarified and methodologies understood by the responsible offices. These shall be clearly spelt out in the RAMP-2 M&E plan. 3.6.11 DATA DISSEMINATION AND USE Disseminate and use data from the M&E system helps to provide the right project information to the users for the purpose of guiding policy formulation and programme planning and improvement. It is therefore necessary that the M&E plan links data needs and data collection efforts with specific information products for different audiences (identified), as well as a timetable for dissemination. It should also include activities to encourage data use, such as regular meetings of the National Technical Steering Committees, State Project Monitoring Committees and workshops when necessary, to discuss the implications of M&E data for programme planning and improvement. 3.6.12 PERFORMANCE INDICATORS SPIUs and FPMU will monitor all the Results indicators stated in the PAD (Annex 1 of PAD) which is summarized in the table below. Results to be Monitored Component 1: Upgrading and rehabilitation of rural transport infrastructure: (i) Number of people directly employed under RAMP-2 public works. (ii) Kilometers of rural or state roads rehabilitated by the project according to agreed standards (iii) Number of river crossings rehabilitated or built by the project according to agreed standards (iv) Population living in the area of influence of the rehabilitated roads (and % of women) (v) Percentage of the rural population in targeted “tier-1” states living less than 2km away from an all-weather road Component 2: Community-based road maintenance and annual mechanized maintenance (i) Kilometers of rural roads (either pilot roads or roads rehabilitated by the project) with efficient, permanent routine maintenance (ii) Kilometers of rural roads (either pilot roads or roads rehabilitated by the project) receiving efficient, annual mechanized maintenance (iii) Number of days of work generated by the project’s routine maintenance activities and proportion of these days performed by vulnerable groups such as young people or women (iv) Percentage of rural roads in good or fair condition as a share of total registered rural 135 road network in targeted “tier-1” states (v) Component 3:State and federal institutional strengthening, program’s scaling up and promotion of rural transport policies (i) Number of kilometers of roads for which road design studies have been financed by the IDA and AFD, according to agreed standards, as part of the project’s scaling up activities (ii) Number of “tier-1” and “tier-2” states where comprehensive inventories of the rural road network have been completed with the use of GIS-based technologies The table in Annexure 45 provides useful monitoring guidelines to be used for the project. The guidelines provide what is to be monitored, indicators of what improvements there are, means of verifying the improvements, frequency of monitoring, methodology or how the monitoring would be done, and finally who is responsible for the monitoring. 136 3.7 3.7.1 INFORMATION, EDUCATION & COMMUNICATIONS INTRODUCTION Experience has shown that in the absence of consistent core text, distortions by different stakeholders in internalizing and disseminating information become quite common, thus compromising and diluting the integrity of the program, and leaving it open to misinterpretation. The purpose of IEC is to sensitize the range of stakeholders about the project’s overall philosophy and methodology, the objectives and rationale of the various components, outline the complementary roles and responsibilities of the various actors and build a knowledge base of lessons learned. IEC activities across all project levels will consequently focus on creating and sustaining a symmetrical information environment that will enhance the potential for democratic decentralization, good governance, transparency and accountability. In the interest of sustainability, they will seek to build a strategic development partnership between government officials, NGOs, communities and the private sector by empowering the rural poor and urban populations in their interactions with the institutions that partner with them in the development process in a decentralized environment. The emphasis will be on using IEC to create space for continuing, non-confrontational negotiations between stakeholders. The FPMU/SPIU will take the lead in IEC activities from the ministerial level downwards to the regional government level, thus addressing the IEC needs of each component and assigning needed budgets following the agreed budgetary guidelines for critical IEC activities for the project. A Communications Specialist would be recruited to drive the Communications Strategy at the federal level who would also work with the FPMU’s Development & Communication Specialist and the State level Communications officers. A sample term of reference for an Information, Education and Communications (IEC) Specialist is shown in Annex 18. 3.7.2 PUBLIC DISCLOSURE POLICY AND IEC STRATEGY Public information disclosure promotes broad public understanding of the Government’s overall capacity building agenda. It enhances participation and local ownership of the program for greater effectiveness and better results for the country. To this end, Government will regularly publish and disclose data generated from various survey instruments used under RAMP-2 so that the public is made aware of the progress and impact of public sector reforms. In the near term, the FPMU in conjunction with the SPIUs in the RAMP-2 states will establish baseline information for the key results not covered by the on-going socio-economic baseline survey including baseline pictures of the infrastructure in readiness for or immediately after the project effectiveness / launch of RAMP-2 implementation. SMOF will also carry out surveys in order to establish baselines across sample local jurisdictions immediately after the launch of RAMP-2 implementation. 137 In addition to using media such as radio, TV, posters, brochures, leaflets, newspapers, etc. the strategy will also seek to build on and strengthen the use of agreed local cultural vehicles (folk drama, songs, etc.) to disseminate information to communities and stimulate demand for project-related services. Targeted and iterative IEC activities will consequently seek to establish and sustain an information-rich environment which will ensure equitable access to information by all levels of stakeholders and consequent opportunity, for the other stakeholders to participate actively in accessing project-related benefits. The strategies developed by the project will be modified on the basis of feedback from beneficiary assessments and IEC process and impact assessments. Indicators will be developed to accurately monitor and evaluate the implementation of IEC activities. Capturing and disseminating the lessons learned and good practices through various media vehicles will result in the creation of a dynamic knowledge base. 3.7.3 COMMUNICATION STRATEGY The RAMP-2 Communication Strategy should address issues, which are separated into generic and overarching issues, issues for the State authorities, issues for LGAs, and issues for the communities. Address each of the issues by identifying a target group of people who need to change attitudes, behaviour or knowledge to help RAMP-2 become more successful. The significance of each of these issues to the successful implementation of RAMP-2 is then described. Based on the particular issue and its significance to the Project, an appropriate communication intervention is recommended. The key messages which form the content of the intervention are described. The resources (people, equipment, communication medium and timeframe) needed to operationalise the intervention are identified. The Communication Strategy therefore consists of a set of practical responses to the communication issues and needs specific to RAMP-2 based on the experiences of other related projects like FADAMA. The FPMU is currently working with a communication consultant to develop a comprehensive strategic communication for RAMP 2. 3.7.4 KEY FEATURES OF THE COMMUNICATION STRATEGY The communication strategy has been designed to places heavy reliance on meetings and interpersonal communications. The communication tools recommended are not confined solely to mass media but include a range of local options, such as signboards and Logos in communities, and posting project information in the LGA Secretariats. Mass media can be used freely whenever there is something to be gained by putting information into the public domain. This is especially important where transparency, accountability and improved government service provision is at stake. 138 It is expected that RAMP-2 will continue to work primarily in communities through meetings. This does not preclude working through traditional institutions, faith-based organisations (FBOs) or participating in specific events as appropriate. Outreach activities in mosques or churches can be considered as part of the RAMP-2 approach of working with a wide range of user groups in the communities. This would be carried on in a sustainable manner. The strategy can be used to support many kinds of local initiatives. The communities themselves are the source of the communication needs. Following discussions with key stakeholders the needs and planned communication interventions will be developed by Communication Service Providers to reflect the individual and particular needs of the communities residing in the LGAs of each participating State. This approach gives RAMP-2 States a certain amount of freedom to interpret the communication strategy according to local circumstances and needs. To ensure effective change management and defining and instilling new values, attitudes, norms, and behaviours among the stakeholders within and outside government, there would also be a strong emphasis on internal communications. After a proper stakeholder mapping is done, there would be regular meetings and interactions with the internal audience and at the various levels across the ministries, parastatals and establishments. This is to ensure every stakeholder is in the loop of the progress and activities towards achieving the objectives of the project. 3.7.5 USE OF SERVICE PROVIDERS FOR COMMUNICATION It is important that the RAMP-2 has access to a number of communication service providers with sufficient capacity to support the implementation of the overall communication needs of communities, local governments and states. There should be a heavy reliance on the expertise of skilled Communication Based Assessment professionals, media producers and service providers in stakeholder mapping, design, printing, multi-media and new producers, audio/video recording, website design etc. in each participating State. 3.7.6 PLAN OF ACTION Given the scope of the program, the development communication officer will undertake the following activities. Hire communications specialist/ local consultant to help in the development of detailed plan of action for popularizing the program among stakeholders. Facilitate the preparation of IEC strategies and activities at other levels that are consistent with the government’s overall view of the reform initiatives. Prepare and disseminate, based on the identified IEC needs, a set of core brochures - one on the overall RAMP-2 – objectives, rationale, methodology, etc.- essentially detailing the rules of the game - and also a set of other brochures in local language and in English on each 139 component with prefatory text linking the overall program objectives to each component. This exercise would result in the documentation of consistent core text from which there will be no deviation unless agreed to in subsequent reviews. 140 3.8. Environmental and Social Safeguards 3.8.1 INTRODUCTION This procedure provides an Environmental and Social Management Framework (ESMF) for RAMP-2 Project and it is to be used by SPIU of the RAMP-2 in order to ensure that all environmental and social safeguards are adequately addressed and that the relevant capacity and training needs are established in order for the recommended measures to be implemented effectively. Rural Access and Mobility Project (RAMP-2) is a category B project which revealed that there are likely to be no major significant negative impacts during the project implementation; especially as the project does not contemplate building new roads and will essentially remain within the existing right-of-way. It is expected that the rehabilitation of the roads would result in net positive environmental and social impacts through enhanced access for the rural populations, as well as increased agricultural productivity. On the environmental side, improved road asset management will reduce the need for frequent road reconstruction. However, minor social or environmental impacts may arise during the rehabilitation and maintenance activities, as a result of the following activities: o Storage or parking of heavy road rehabilitation equipments o Transport of equipment, gasoline and lubricants o Management of lubricants and gasoline in the areas of intervention o Construction activities which can generate dangerous traffic conditions by interfering with the regular flow of vehicles o Construction of borrow pits and disposal areas o Transport of materials until final storage o Sold waste elimination in construction areas and work places o Ground excavation in zones with archaeological potential o Minor realignment of some road sections which may require some land acquisition The project triggers four environmental and social safeguards policies as shown below. Safeguard Policies Environmental Assessment OP 4.01/BP 4.01 Natural Habitats OP OP4.01/BP 4.04 Physical Cultural Resources OP4.01/BP 4.11 Involuntary Resettlement OP 4.01/BP 4.12 Explanation The project may trigger some minor environmental impacts during the execution of road rehabilitation and maintenance works, including air pollution, soil degradation/erosion, flooding, surface water quality, waste management and noise. Some of the bridges, road rehabilitation activities may have an impact on natural habitats. There shall be a strategic habitat retention and post-development restoration plan. RAMP-2 will finance road works in the states where Nigeria’s two UNESCO world heritage are located (Adamawa and Osun). Consequently, some roads may be located in zones of cultural significance (e.g. archaeological, cultural heritage, religious). Although the project is not planning to intervene in the area of influence of these sites, Although road rehabilitation will generally be performed within the existing right-ofway, some land acquisition may be requested if minor realignment are needed or for the establishment of borrow pits and disposal areas. Some houses, kiosk, economic trees and farmlands close to the road corridors may also be affected resulting to (a) relocation or loss of shelter (b) loss of assets or access to assets (loss of income 141 sources or means of livelihood, whether or not the affected persons must physically move to another location). Consequently, for due diligence, it has become necessary to prepare an Environmental and Social Management Framework (ESMF) to be used for the implementation of the Project. Safeguards Instruments: In compliance with Federal and State laws of Nigeria and the World Bank’s Environment and Social Safeguards Policies, an Environment and Social Management Framework (ESMF) and a Resettlement Policy Framework (RPF) have been prepared for Enugu, Osun, Niger and Adamawa and disclosed both in-country and in the World Bank Info shop. 3.8.2 PURPOSE OF THE ESMF AND RPF These documents were prepared to address environmental and social consequences of the RAMP-2 project. In the context of the RAMP-2, the ESMF and RPF are statements of the policy, principles, institutional arrangements and procedures that the project management will follow in addressing environmental and social as well as Resettlement issues. The ESMF defines standard procedures and methods for incorporating potential environmental and social impacts and their associated mitigation measures into the selection, planning and implementation of all activities to be carried out in the project. It also provides guidance for preparing Environmental and Social Impact Assessments (ESIAs) and Environmental and Social Management Plans (ESMPs) as maybe applicable during project implementation. 3.8.3 OBJECTIVE AND SCOPE OF THE ESMF The objective of the ESMF is to ensure that the implementation of the project will be carried out in an environmentally and socially sustainable manner. The ESMF will provide the project implementers with an Environment and social screening process that will enable them to identify, assess and mitigate potential Environment and social impacts of the rural infrastructure investments. In summary, the ESMF outlines the: a) Steps of the screening process from identification to approval of an infrastructure investment b) Environment and social mitigation measures that can be applied and adopted c) Draft terms of references for an EIA if required and d) Summary of the Bank’s safeguards policies to ensure the latter are observed during project implementation The main purpose of the ESMF is to: Establish clear procedures and methodologies for the environmental and social assessment, review, approval and implementation of investments to be financed under the RAMP-2 Project; 142 Specify appropriate roles and responsibilities, and outline the necessary reporting procedures, for managing and monitoring environmental and social concerns related to RAMP-2 projects; Determine the training, capacity building and technical assistance needed to successfully implement the provisions of the ESMF; and Provide practical information resources for implementing the ESMF. Identify potentially adverse environmental impacts and risks in the projects intervention zone; Assess potentially adverse social issues and impacts related to projects activities; Indicate ways in which potentially adverse environmental and social impacts will be avoided, minimizes and mitigated; Establish clear procedures and methodologies for the environmental and social planning, review, approval and implementation of subprojects to be financed under the project Develop screening tool i.e. checklists and guidelines to be used for screening subprojects for their potential environmental and social impacts. Establish the projects funding required to implement the ESMF requirements; Develop an environmental monitoring plan under the projects to ensure that environmental and social issues will be managed effectively Specifically, ESMF is to help ensure that activities under the proposed RAMP-2 project benefits to: Protect human health; enhance positive environmental and social outcomes; Prevent or mitigate negative environmental impacts as a result of either individual sub-projects/ schemes or their cumulative effects; Prevent or compensate any loss of livelihood. The document focuses attention on a given area, viz: Environmental Assessment which describes the steps involved in identifying and mitigating the potential adverse environmental and social impacts of future investment RAMP-2 activities. It also provides guidance in cases where the screening results indicate that a separate Environmental Impact Assessment (EIA) is required, once the exact nature and locations of RAMP-2 projects have been identified. RAMP-2 multi-sectoral safeguard guideline and checklists are included in the ESMF to be used by SPIU staff in addressing these issues. Social assessment is aimed at analyzing the social issues and soliciting stakeholders’ views for the design of the RAMP-2 project. Social assessment helps make the project responsive to social development concerns, including seeking to enhance benefits for poor and vulnerable people while minimizing or mitigating risk and adverse impacts. It analyzes distributional impacts of intended project benefits on 143 different stakeholder groups, and identifies differences in assets and capabilities to access the project benefits A Resettlement Policy Framework (RPF) has also been developed and is presented in a separate document and publicly released through the World Bank’s Info Shop in line with the World Bank publicly disclosure policy. This document provides the direction to all actors involved in the RAMP-2 projects implementation, for the identification of resettlement implications and measures to adopt to minimize or address resettlement issues created by RAMP-2. Once resettlement issues are identified, a Resettlement Action Plan already prepared in the RPF for managing the issues would be adopted. Thus in addition to containing a screening /checklist for determining whether a triggered has occurred or not it also provides procedures and guidelines to be followed when the policy is triggered. A senior environmental consultant and a senior social consultant have been recruited to provide technical assistance to the FPMU and the SPIUs for the preparation of the project's safeguards documents. Summary of safeguards documents prepared for RAMP-2 Document Date published in Info shop Environmental and Social Management Framework (ESMF) May 23, 2012 Resettlement Policy Framework (RPF) May 22, 2012 Environmental and Social Impact Assessment (ESIA) -Adamawa state's initial batch of identified rural roads July 20, 2012 Environmental and Social Impact Assessment (ESIA) -Enugu state's initial batch of identified rural roads July 20, 2012 Environmental and Social Impact Assessment (ESIA) -Niger state's initial batch of identified rural roads July 20, 2012 Environmental and Social Impact Assessment (ESIA) -Osun state's initial batch of identified rural roads July 3, 2012 Abbreviated Resettlement Action Plan (ARAP) -Adamawa state's initial batch of identified rural roads July 20, 2012 Abbreviated Resettlement Action Plan (ARAP) -Enugu state's initial batch of identified rural roads July 6, 2012 Abbreviated Resettlement Action Plan (ARAP) -Niger state's initial batch of identified rural roads July 20, 2012 144 Abbreviated Resettlement Action Plan (ARAP) -Osun state's initial batch of identified rural roads July 23, 2012 These documents are viable instruments to be adopted by all the implementing stakeholders in the implementation of the RAMP-2 project especially for the execution of the Component 1 and 2 of the project both at the state and community levels. 3.8.4 GUIDELINES ON RAMP-2 PROJECT IMPACT, MITIGATION AND MONITORING Potential Environmental and Social Impacts It is noteworthy to state that the environmental and social impacts identified at this stage are preliminary in nature and will need to be further elaborated in terms of potential for occurrence (likelihood) and severity when the exact locations and sub-projects are known. However, this section describes the potential environmental and social benefits and impacts of the RAMP-2 and outlines the measures that will be implemented to address potential impacts. 3.8.5 ENVIRONMENT AND SOCIAL MANAGEMENT PLANNING, REVIEW AND CLEARING PROCESS The successful implementation of the ESMF depends on the commitment of the sector and related institutions, the capacity within the institutions to apply or use the framework effectively, the appropriate and functional institutional arrangements, among others. Hence these key ESMF areas relevant to its successful implementation were included in the ESMF, namely: Institutional arrangements, Capacity building, Environmental and social monitoring. In the implementation of RAMP-2 subprojects, the social and Environment management process will involve the following steps and procedures: 3.8.5.1 Scoping and Screening For the initially selected subprojects the SPIU shall carry out a scoping and screening process for all proposed roads. This will involve: (i) visual inspection of roads and initial consultations; and (ii) identification of safeguard issues for each individual road. Based on these, the Consultant shall submit a Screening Report, which will include: • Inventory findings, length of road, number and size of culverts, bridges etc; • Material sources; • A summary of baseline Environment and social conditions for all individual roads • A summary of main Environment and social issues to be addressed; and • A time-bound Action Plan for completing the ESMP and the RAP (if applicable). The Screening Reports will be submitted by the consultant to the SPIU and subsequently to the State MDAs for Environment for review, and through due diligence, confirm that each proposed road project-(and bridges if necessary) fall within Category B and that the recommended Action Plan is appropriate. Roads considered to fall into Category A will not be 145 financed by the RAMP-2 and therefore alternatives for such roads may be identified, at this screening stage. The SPIU will then submit the confirmed Screening report through the FPMU to the World Bank for a “no-objection”, in order to proceed. The report will include detailed Environment and Social Management Plans and Resettlement Action Plan (if required). 3.8.5.2 Project Categorization Each potential subproject road will be categorized into Category A or Category B, based on the visual survey and initial consultations. The two Roads categorization is as specified on the next Table Project Categories Category A: Category B: A proposed project is classified as Category A if it is likely to have significant adverse Environment impacts that are sensitive, diverse, or unprecedented. These impacts may affect an area broader than the project sites or facilities subjected to physical works. EA for a Category A project examines the project’s potential negative and positive environmental impacts, compares them with those of feasible alternatives (including the "without project" situation), and recommends any measures needed to prevent, minimize, mitigate, or compensate for adverse impacts and improve Environment performance. A proposed project is classified as Category B if the potential environmental and social impacts are expected to be minor, non cumulative, site specific and can be easily managed to acceptable level. EA for a Category B project examines the project’s potential negative and positive environmental impacts and recommends any measures needed to prevent, minimize, mitigate, or compensate for adverse impacts and improve environment performance. 3.8.5.3 Environment and Social Management Plans (ESMPs) Upon receiving a no-objection to the Screening Report, the SPIU will engage a consultant to prepare an Environment and Social Management Plan (ESMP) for each of the sub-projects (roads, bridges,etc). The ESMP usually consist of a set of mitigation, monitoring and institutional measures to be taken during implementation and operations to eliminate adverse environment and social impacts, offset them, or reduce them to acceptable levels. The ESMP should also include the actions needed to implement these measures, including the following features: 146 Mitigation: Based on the identified environment and social impacts, the ESMP should describe technical details of each mitigation measure, together with designs, equipment descriptions and operating procedures as appropriate. Monitoring: The ESMP should include monitoring objectives that specify the type of monitoring activities that will be linked to the mitigation measures. Specifically the monitoring section of the ESMP should provides: • A specific description and technical details of monitoring measures that include the parameters to be measured, the methods to be used, sampling locations, frequency of measurements, detection limits (where appropriate),and definition of thresholds that will signal the need for corrective actions. • Monitoring and reporting procedures to ensure early detection of conditions that necessitate particular mitigation measures and to furnish information on the progress and results of mitigation. The ESMP should also provide a specific description of institutional arrangements, i.e. who is responsible for implementing the mitigation measures and carrying out the monitoring regime (for operations, supervision, enforcement, monitoring of implementation, remedial action, financing, reporting, and staff training.). Additionally, the ESMP should include an estimate of the costs of the measures and activities recommended. The mitigation and monitoring measures recommended in the ESMP should be developed in consultation with all the affected groups, to include their concerns and views. 3.8.5.4 Resettlement Action Plans Where resettlement concerns are identified during the scoping and screening, a Resettlement Action Plan (RAP) will be prepared, in accordance with the Resettlement Policy Framework (RPF). Rap Resettlement Objectives: The overall objective of the RAP is to ensure that affected individuals, households and, affected and/or displaced communities are meaningfully consulted, have participated in the planning process and, are adequately compensated to the extent that at least their pre-displacement incomes or livelihoods have been restored or improved and, that the process has been a fair and transparent one. Furthermore, RAP is to develop a programme intended to improve, or at least restore, in real terms the livelihoods and standards of living of the PAPs to the pre-impact levels. To achieve the RAP objectives, a socio-economic survey would be conducted in the project area to gather information on the project impacts on the PAPs. The information gathered would enable the identification of the nature and diversity of the potential impacts likely to occur on the PAPs’ assets, livelihoods, public infrastructure and households. The RAP objective would be achieved through the following; Enumerating the affected households by name and family details; 147 Collecting demographic information on social classification, education and occupation of each family member ; Identifying any vulnerable Project Affected Persons (PAPs) (women-headed household, family with physically and mentally challenged members, family with aged members, family with income below poverty line and family losing more than the economic threshold of their land through acquisition/ negotiation) Conducting inventory of all assets to be affected or damaged by the project including details on land ownership and extent of land loss due to the land acquisition/ negotiation. (Actual land ownership, and not only in terms of land records) Valuating affected assets at full replacement value and determining any supplementary payments e.g. unit price lists and itemized breakdowns of compensation offers and participation; Instituting valuation negotiations and devising grievance referral and redress procedures and mechanisms; Incorporation of external policies, procedures and institutional arrangements not covered by the Nigerian law; Conducting monitoring and evaluation of the PAPs after resettlement; Developing a timeline for the RAP; and Developing a Budget for all RAP activities. 3.8.5.5 Consultations and Disclosure The preparation of the ESMP and RAPs will include on-site consultations with local stakeholders for each subproject. All draft ESMPs and RAPs (if applicable) will be submitted to the SPIU and State MDAs for Environment, before transmittal to the World Bank for comments and clearance. The Government will then disclose the documents at the State capital and in the relevant local government areas as well as the World Bank’s Info Shop. 3.8.5.6 Contract Provisions and Pre-Tender Meeting Specific provisions will be included in construction contracts to mandate the use of formal health and safety measures to minimize accidents and avoid fatalities during the construction process. Standard environment requirements and social requirements including provision for HIV/AIDS awareness campaigns and distribution of condoms will be incorporated into the contract provisions. To ensure full understanding of the contract requirements by the contractors at the pre-bid inspection stage, all participating contractors will attend a Pre-Tender Meeting, where they will be briefed on their responsibilities to address environment, social, health and safety issues 3.8.5.7 Monitoring and Supervision The environmental and social safeguards officer attached to the SPIU will be responsible and accountable for all environmental and social concerns during project implementation. In addition the oversight for the Environment and Social management process of the planned subproject will be in collaboration with the relevant Units at State MDA for works, transport, Rural development, Agriculture and Environment as well as the SPIU’s relevant engineer. 148 Also during construction, the Environment and social safeguards officer at the SPIU will be responsible for monitoring the Contractor’s compliance with all contract clauses addressing Environment and social impact mitigation. For this purpose, the officer will refer to the contract Environment Specifications and project-specific ESM and report on such compliance in his monthly reports. 3.8.5.8 Mitigation Funding Cost of Design Measures: The quantities, specifications and estimated costs of design measures to avoid or mitigate negative impacts will be assessed by the design consultant and incorporated into the works bidding documents. The contractor will execute all required works and will be reimbursed through pay items in the bill of quantities, which will be financed by the project. HIV/AIDS Awareness Program: The quantities, specifications and estimated costs of the HIV/AIDS Awareness Program and condom distribution will be assessed by the design consultant and incorporated into the works bidding documents. Resettlement Costs: The quantities, specifications and estimated costs of compensation will be specified in the Resettlement Action Plan and incorporated into the works bidding documents. The contractor will effect payments and will be reimbursed through pay items in the bill of quantities, which will be financed by the project. Post Construction Costs: The maintenance of footpaths and other social measures on feeder roads will be the responsibility of the community. In addition, the community will be expected to carry out basic cleaning of drains and culverts as part of their contribution to maintenance. The cost of safety and driver information campaigns will initially be borne by the project; however the communities will be responsible for continuous community education and safety campaigns. Selected safety audits will be carried out by the project, in conjunction with communities 3.8.6 INSTITUTIONAL ASSESSMENT AND FRAMEWORK FOR ENVIRONMENT AND SOCIAL MANAGEMENT Institutional Roles and Responsibilities : The main institutions with key responsibilities in the ESMF are: 3.8.6.1 The Federal Project management Unit (FPMU) at the Federal Ministry of Agriculture and Rural Development (FMARD) The role of the Federal Project management Unit (FPMU) at the Federal Ministry of Agriculture and Rural Development (FMARD) in this project is one of coordination, promotion and policy development. The FPMU is accountable for the overall coordination of the project among various participating states. The responsibilities of the FPMU fall in two main categories; 149 (i) (ii) implementation of the federal component of the project, monitoring and evaluation, troubleshooting, quality assessment & control, and coordination, as well as information help desk on a range of procedural and project management issues including procurement, financial management, disbursement, performance benchmarking and other information which the SPIU is likely to seek. Specifically, the FPMU will play an oversight role by monitoring the SPIU to ensure that they are performing and carrying out their responsibilities as detailed in the approved ESMP and this PIM. The FPMU consists of experienced staffs that have been executing RAMP 1. The staff includes an Environment and Social Safeguard Officer who would be responsible for following up on emerging safeguards issue as contained in the ESMF and the RPF. Other key responsibilities of the specialist would be: • Liaise with the State MDAs for Environment and FMoE • Advise FPMU on Environment issues • Compile and prepare periodic Environment reports for submission to World Bank • Review ESMP reports from the SPIU. The FPMU will perform a central processing and coordination role between State MDAs for Environment and FMOE on the activities of the SPIU by being a channel for receiving, compiling and processing periodic monitoring reports and for issuing necessary corrective guidelines and also to report to IDA. In addition, the FPMU will monitor the social aspects of the ESIA. The FMARD has established an all inclusive stakeholder National Technical Steering Committee (NTSC) at the federal level to provide the necessary management oversight for the FPMU. 3.8.6.2 The Federal Ministry of Environment (FMoE) The Federal Ministry of Environment (FMoE) is to ensure that all major development projects in Nigeria are subject to mandatory Environment Impact Assessment (EIA) pursuant to EIA Act. No. 86 (Decree No. 86) of 1992. The FMoE reviews and approves EIA documents for category A projects; especially the complex and more risky ones. The role FMoE will play in this project is one of monitoring, to ensure: (i) That State MDAs for Environment is reviewing the ESMPs and clearing them according to Federal Guidelines, State Laws and World Bank Safeguards policies, (ii) That State MDAs for Environment is monitoring the activities of the SPIU during construction and post-construction stages in all locations within the state, on which the SPIU have facilities and installations. The FMoE will report to the FPMU/FMARD and will receive the periodic monitoring reports of the State MDAs for Environment through and from the FPMU/FMARD. 3.8.6.3 The State Project Implementation Unit (SPIU) 150 The State Project Implementation Unit (SPIU) will be responsible for the following; (i) Complying with all Federal, State and Local Laws regarding the environment and with all social/poverty guidelines, parameters and targets set by the project, and of all triggered World Bank Safeguards policies; (ii) Ensuring that consultants prepare an ESMP report for their planned investments under RAMP-2 and to submit the ESMP to the State MDAs for Environment for clearance; (iii) Implement all appropriate mitigation measures identified in the ESMP covering the project planning cycle, technical and engineering designs, drawings, and contracts; (iv) Ensure that these mitigation measures are complied with during construction and post construction stages of their activities, by self monitoring of their activities and by periodically reporting to the State MDAs for Environment and the FMoE; (v) Ensure that contractors/consultants adhere to the General Environment Management conditions for construction contracts; and (vi) Comply with any directives that may be issued from time to time from the State MDAs for Environment. The staffs of the SPIU are already in place and include Environment and Social safeguard officer, to successfully implement the ESMF, Environment and social management. The environment/social officer will be responsible for day to day monitoring and reporting feedback throughout the life of the project, specifically the monitoring of (i) the environment and social assessment work to be carried out by the service providers; (ii) overseeing the implementation of the ESMPs and RAPs (if applicable); and (iii) monitoring of Environment issues during operations and during maintenance when handed over by the contractor. The SPMC made up of key stakeholder from the State Ministries and Local Government, shall provide oversight functions and also guide and monitor the implementation process at the states level. 3.8.6.4 The State MDAs for Environment The State MDAs for Environment will be responsible for the following; (i) Ensure that activities planned under RAMP-2 by the SPIU comply with the States Environment laws and requirements, and that of the Federal Government and the World Bank’s triggered Safeguards Policies; (ii) Review and approve Technical and Engineering Design details submitted through the SPIU. (iii) In collaboration with the SPIU, ensure that contractors/consultants adhere to the General Environment Management conditions for construction contracts 151 (iv) (v) Perform regular and intrusive monitoring regime of the construction, operations and maintenance stages of the activities of the SPIU, and Prepare periodic Enviromental monitoring reports and send on a regular basis to the FPMU at FMARD, who then process and send to the FMoE and World Bank. 3.8.6.6 The World Bank The World Bank has the overall responsibility to ensure that its Safeguards Polices is complied with. In addition, it will be responsible for the final review and clearance of ESMPs; as well as review and give “no objection” to ESMP TORs. The roles of the relevant institutions for Environment and social management of this project are summarized in the table below: Summary Table of Institutional Framework for Environment and Social Management. INSTITUTION TASKS/ACTIVITIES Federal Project Management Unit (FPMU)at Federal Ministry of Agriculture and Rural Development (FMARD) Project Coordination and Oversight; reporting to IDA Federal Ministry of Environment, (FMoE) Monitoring the State MDAs for Environment and reporting to FPMU/FMARD State MDAs for Environment Review, approve and clearance of ESMPs; Monitoring SPIU and reporting to FMoE. State Project Implementation Unit (SPIU) Ensuring the Preparation of ESMPs; Self monitoring and reporting to the State MDAs for Environment and FPMU/FMARD. 3.8.6.7 Summary of Environment and Social Management Process The table below summarizes the Environment and Social management process by phase and responsibilities Road Project Cycle Phase Activities Responsibilities 152 PLANNING Scoping and Screening Preparation of ESMP and RAP (if applicable) and consultations DESIGN • Disclosure of ESMP/ RAP locally & on WB Info Shop Disclosure Finalization and Incorporation EXECUTION Implementatio n and monitoring OPERATIONS (POSTCONSTRUCTION) Operations and maintenance 3.8.7 • Initial site visit & consultations. • Identification of technical, environment and social issues and applicable safeguards policies • Categorization • Action plan • Screening Report • WB No-Objection • Draft ESMP • Draft RAP (if applicable) • Consultations • WB No-Objection • Final version of ESMP/RAP • Incorporation of ESMP into contract documents • WB No-Objection • Implementation • Monitoring & reporting on Environment and social mitigation measures • Maintenance •Monitoring & reporting on Environment and social mitigation measures Consultant; Supervision by SPIU/ State MDA for Environment, FPMU, FMoE, IDA Consultant; Supervision by SPIU/ State MDA for Environment, FPMU, FMoE, IDA SPIU/ State MDA for Environment/FPM U./FMOE/World Bank Consultant; Supervision by SPIU/SPMC/FPMU /IDA Contractors Supervision by SPIU/FPMU/SPMC & the Community Contractors Supervision by SPIU/FPMU/SPMC / The State MDA for Environment & the Community MONITORING PLAN The objective for the monitoring plan is as follows: 1) To alert project authorities as well as provide timely information about the success or otherwise of the Environment and Social Management process outlined in the ESMF. This is to enable continuous improvement to the process. 2) To enable project authorities determine whether the mitigation measures designed into the SPIU’s project activities ( sub projects) have been successful or otherwise. This is by indicating that the pre- project Environment and social condition has been 153 restored, improved upon or worst than before and to determine what further mitigation measures may be required. The following are some pertinent parameters and verifiable indicators to be used to measure the ESMF process, mitigation plans and performance; • Number of people at the FPMU, FMoE, State MDAs for Environment and SPIU who have successfully received Environment Assessment training in screening methods. • Number of SPIU sub projects preparing the required ESMPs. • How has the adoption of the ESMF requirements improved the Environment health and bio-physical state of the communities/local government councils where the SPIU operates. • Has the adoption of the ESMF processes by the SPIU resulted in improvements in the sustainable use of the State’s natural resources • Is State MDAs for Environment up to date with its periodic monitoring reports. • Is the FMoE receiving the periodic monitoring reports of State MDAs for Environment and what are the main concerns of the FMOE at this stage. • Is the FPMU receiving and compiling the periodic reports of State MDAs for Environment and is it forwarding it to the FmoE. • Overall assessment of (i) activities that are going well (ii) activities that need improvements and (iii) remedial actions required. • Are the processes identified in the ESMF working well? • Based on the performance of the SPIU, what, if any changes to the ESMF or RPF is needed. • Should there be additional training/ capacity building measures to increase the performance of the SPIU and State MDAs for Environment. 3.8.7.1 Monitoring Roles and Responsibilities The roles and responsibilities for monitoring impacts and mitigation measures during implementation (construction/rehabilitation works) will be as follows State Project Implementation Unit: The SPIU will be responsible for monitoring the Environment and social impacts and mitigation measures resulting from the action of their contractors, sub contractors, transporters, suppliers and all other third parties in the course of their duties under the subproject. Therefore, wherever Environment and social impacts are attributable to their sub project activities the appropriate mitigation measures will apply consistent with the sub project ESMP, and SPIU would be responsible for monitoring and evaluating the same. The SPIU shall provide regular report to the State MDAs for Environment, FMoE and IDA. State MDA in-charge of Environment: The MDA for Environment in each participating state will play the leading role of monitoring the activities of SPIU in their respective state. This will be done by ensuring 154 that the sub project Environment and social management plan (ESMP) is being implemented as specified therein. Consequently, the State MDAs for Environment will monitor the SPIU monitoring procedures and reports on a regular basis, perhaps quarterly. They will equally make regular site visits to inspect and verifying the nature and extent of the impacts and the success or lack off, of the mitigation measures. The Federal Project Monitoring Unit (FPMU): The FPMU, with the assistance of State MDAs for Environment and the FMoE, shall be responsible for ensuring project compliance of the SPIU with the Environment laws of Nigeria and social requirements set by the RAMP-2 project. The FPMU will monitor the SPIUs activities by reviewing the consolidated periodic monitoring reports of the State MDAs for Environment and FMoE and by conducting periodic technical audits of the SPIU. 3.8.8 CONSULTATION PLAN The purpose of consultation is to seek meaningful participation of all the stakeholders, including all the rural communities who will be served by the SPIU, NGO’s in the implementation of RAMP-2, thereby introducing transparency and accountability in the project. During the preparation of the Environment and Social Management Framework (ESMF) and the Resettlement Policy Framework (RPF), the key stakeholders (both at the State and local levels) in the participating states were consulted. Equally the ESMF and RPF have been disclosed in Nigeria and at the World Bank’s info shop. In the same way, consultations will continue during the preparation of the ESMPs for each planned investment. The approved and cleared ESMPs will be disclosed publicly in the States and concerned local government areas while extensive consultations will take place during the preparation of Resettlement and Compensation. Public participation and consultations would take place through workshops, seminars symposia, meetings, radio programs, request for written proposals/comments, filling in of questionnaires/forms, etc. The consultation plan will be monitored by FMoE and the State MDAs for Environment, who will set their own verifiable indicators to assess the degree of participation of the key stakeholders during all phases of project implementation. 3.8.9 OVERALL SOCIAL AND ENVIRONMENTAL BENEFITS AND IMPACTS It is expected that the infrastructure projects implemented by RAMP-2 will deliver significant social benefits to the rural communities. However, they are to be planned/ designed in such a way as to ensure a distribution of benefits to vulnerable groups including the old, youth, women, and the poorest. Some of the expected potential impacts are as follows: 3.8.9.1 The potential Positive impacts. 155 Road improvement provides socio-economic benefits as accessibility and commercial activities are enhanced. Equally, RAMP-2 will positively impact the local communities in the following ways. Facilitate economic integration at all levels. Attract migration of people to settle along the rehabilitated road, creating more viable settlements and increasing the population of the villages along the corridor of the intervention rural roads. Reduce the wear and tear on vehicles. Thus the effect on the overall vehicle operational costs will be positive and significant. This will significantly reflect in improved travel and waiting times, increased frequency of transport services and reduced transport costs. Increase the demand for goods and services which enable more people to engage in various economic activities. Increased production results in employment generation. Increased farm employment and reduces out-migration in search of jobs in the urban centres. Trading in farm produce will intensify as production levels are increased and diversified and access is gained to wider markets. Enable opportunities for skilled as well as unskilled labour during the road construction/rehabilitation phase. Opportunity for the establishment of new industries due the availability and accessibility to land and raw materials enabled by road network infrastructures. Roadside commercial development brings about improved Incomes earned directly or indirectly which enable improvements in the standard of living of the people involved with the project. Women will expand their opportunities for catering and trading, as more settlements spring up following the new road intervention, since there will be increased demand for food, goods and services, both in the construction and operation phases. Improve the welfare and general well being of rural beneficiaries through increased access to health care, education and other social services, rendered closer due to enhanced accessibility. Improved roads can cause diversion of traffic leading to decongestion, improved air quality and reduced noise pollution. Overall the impact on employment and income of the local communities is considered to be significant and positive. However, there are also some downside potential impacts, largely arising from project execution, to be addressed. These include the following: 3.8.9.2 The potential Negative Impacts and Mitigants. Environmental and social impacts and mitigation for planned investments (rural/feeder roads, bridges) may occur during two phases: A. Construction Phase; and 156 B. Post-construction/Maintenance Phase For each phase, the negative impacts will be assessed in respect of 5 major resource categories, namely: Land Resources Hydrology and Water Resources Air Quality and Noise Biological Resources Socio-Economic and Cultural Resources. Potential Negative Impacts and Mitigation Measures No. Impact/ Potential Source Mitigation Measures Construction Phase Land Resources Worksite/Campsite Management, Materials and Equipment Storage and Waste Management Negative effects on land resources can occur due to: Poor site compounds/facilities administration. Pollution from inadequate sanitation, disposal of solid and liquid waste and leakage of spills from petroleum products or other construction materials. The Contractors site compound shall include: Adequate living and sanitation facilities for the workers, including an approved plan for solid and liquid waste disposal. Approved Environment, Health and Safety Plan for storage of equipment, petroleum products, etc., so as to minimize risk of spillage or leakage, as well as safety and emergency response procedures. Construction of bitumen and oil interceptor traps to ensure these substances do not enter the groundwater. Leave the site compound in a clean and rehabilitated condition to the satisfaction of the designated Roads Engineer (RE) and the Environment/Social specialist at the SPIU, and the community, at the end of the contract period. To facilitate this, at project commencement collect and store top soil to be spread over the area on project completion. Material Excavation and Deposit 157 Improper management of Borrow The Contractors should have an approved pits and quarry areas which involve plan for: land excavation and/or blasting that o Disposal of excavated materials. can result in potential negative o Removal of debris and demolished impacts including chronic erosion structural materials and siltation, safety hazards, or o Transportation to approved disruption to scenic or protected dumping locations. areas. o Authorization for dumping shall be secured from the landowners, the Poorly maintained borrow pits can Community and/or relevant also be a collection point for water government authority. and source of malaria. The Contractor shall avoid dumping excavated materials onto adjacent Dumping of spoil material from road farmlands or terraces. excavation along the side of the The Contractor shall at commencement road can form a traffic safety hazard of operations strip the overlaying top and damage vegetation adjacent soil and stores it for spreading on project agricultural land. completion. Hydrology Water Resources Management and Water Inadequate water supply for The Contractor shall obtain access Resources construction/consumption at site authorization for use of water resources compounds can cause social and address any local concerns for tensions because the contractor excessive draw-down on the water table or water requirement may interfere surface water supplies. with the pattern of locally established use of water. Air Quality and Noise Dust, Potential Pollutants and Noise during Construction During rural road construction, dust The Contractor shall take all necessary and particulate concentrations may measures to limit pollution from dust and be dispersed in the air especially any windblown materials during the works. during dry seasons and on windy Measures include: days. This may be generated by i) utilize water spraying during excavation of soils, burning of operation; waste, blasting and crushing of ii) trucks leaving the site are properly rocks and transport of materials covered to prevent discharge of to/from sites. dust, rocks, sand, etc.; The use of poorly maintained iii) crushers and other equipment construction equipment is another conform to relevant dust emission source of air pollution and noise control; and because the gaseous emission iv) stored materials and heaps should (smoke) may contain pollutant preferably be located away from gases. communities and farmlands. v) routine/proper maintenance of construction equipment. 158 The Contractor shall adopt the best practicable means of minimizing noise during construction. Noisy equipment shall not be used during days of rest or after normal working hours without the consent of supervising authority. Biological Resources Damage to Biological Resources/Protected areas during Construction Cutting of brush and trees along the roads may occur during construction/Rehabilitation. Also, the project road may run adjacent to, or through a designated protected area thereby making construction to affect a particular habitat. Wherever practicable, mature trees shall be retained. All cleared and/or excavated materials shall be disposed of at the approved disposal sites. On no account shall the spoils merely be dosed into the adjacent bush. Known protected or special habitats shall be identified during project screening. Design adjustment shall be considered to avoid destruction of productive, ancient or other special vegetation, as well as avoidance and/or protection of known protected habitats or sensitive zones. During construction, the Contractor shall take all necessary measures to minimize potential impacts of construction activities on flora or fauna resources along the roads through barriers or vertical signs. SocioEconomic and Cultural Resources Employment benefits Contractor may choose to employ Employment benefits to the community heavy duty equipment to the shall be maximized through labour detriment of the local community’s intensive methods and contracting with employment opportunities for the local contractors. roads project. Public Health and Safety at Construction Site The health and safety of the The Contractor shall take all necessary workers, road users and action to ensure safety and health communities surrounding rural conditions at the construction site, in his roads may be affected during the Environment, Health and Safety Plan. construction period due to: Mitigation measures shall be taken in 159 o The risk of accidents of workers respect of: and the public arising from the o Reducing construction site risks to the use of construction vehicles and workers and the public: Safety rules for machinery, blasting, the creation work operations shall be instituted by of excavated areas and detour the Contractor, including, but not limited roads, the working on steep to; location of plant equipment away slopes and the risk of falling rock from sensitive locations (hospitals, or excavated material in schools, etc.), equipment operation mountainous areas; procedures, safety barriers, warning o The health risks to workers and signs, first aid and medical kits and the community arising from procedures, and safety training for the potentially unsanitary conditions workers. at site compounds; o Reducing health risks from compound o Exposure to diseases from living conditions and interaction with stagnant water from the community: Employee rules and inadequately maintained borrow information campaigns shall be pits or sanitation facilities; and instituted by the Contractor on health o The increased risk of practices and communicable diseases. communicable and sexually The Contractor shall also ensure that transmitted diseases, notably prevention and treatment facilities are HIV/AIDS. made available to his employees. o HIV/AIDS awareness and treatment: In collaboration with the relevant agency, the Contractor shall institute an HIV/AIDS Awareness Campaign, with links to the National Program for testing and treatment. The Contractor shall also encourage the use of condoms by the workers if need be. Involuntary Resettlement it is possible that Road Construction The scoping and screening process should works could involve resettlement identify potential requirements for land due to: acquisition or resettlement and the extent (i) affected persons living or of impact on affected people. The screening engaged in livelihood activity should also determine whether such within the right of way; or impacts can be avoided or minimized (ii) technical or safety reasons, through design measures. the road departs from the These may include such measures as existing alignment and changing the design at the contentious affects persons living or location (such as road narrowing), in engaged in livelihood agreement with the community and activities with the altered affected persons. If these impacts cannot right of way be avoided through such measures, the safeguard policy OP. 4.12 (Involuntary Resettlement) will be triggered and the 160 guidance provided in the Resettlement Policy Framework (RPF) of this project will be applied. 6 Road Closure and Detours Diversions and road closures to public access for certain periods may be required with potential disruptions to traffic flows and safety hazards. The Contractor shall install and maintain warning signs to guide detour users and avoid collision with construction vehicles. Detours shall be carefully planned and drivers using unfamiliar detours shall be assisted with adequate road signs. Speed restrictions shall be introduced along detour roads. Road closures, where unavoidable, shall be planned in close collaboration with the relevant authorities and the Community. 7 8 Graveyards and Sacred Areas Graveyards, burial plots and sacred areas located adjacent to the project roads may be affected either through: (i) physical intrusion; (ii) excessive drainage from the road onto the graveyard, causing flooding; or (iii) potentially unwanted public access to sacred sites. Chance Finds of Cultural Resources Excavation may reveal archaeological or other valuable cultural resources which could be physically damaged from construction activities. Where graveyards or burial plots are located adjacent to the roads, the project shall avoid disturbance through: (i) adjustments to alignments; and/or (ii) drainage and other design measures to avoid excessive runoff or erosion onto the graveyard or burial ground. (iii) If any impact is unavoidable, the appropriate compensation measures will be applied, as per the RPF. The Contract shall specify procedures for archaeological chance finds. In the event of the discovery of any such resources during the course of construction activities, the Contractor shall immediately notify the SPIU for necessary action, in collaboration with relevant MDA responsible for archaeological or other valuable cultural resources. 161 Post Construction Phase Land Resources Maintenance Worksite/Campsite Management, Materials and Equipment Storage and Waste Management Negative effects on land resources can occur due to: Poor site compounds/facilities administration. Pollution from inadequate sanitation, disposal of solid and liquid waste and leakage of spills from petroleum products or other construction materials. The Contractors site compound shall include: Adequate living and sanitation facilities for the workers, including an approved plan for solid and liquid waste disposal. Approved Environment, Health and Safety Plan for storage of equipment, petroleum products, etc., so as to minimize risk of spillage or leakage, as well as safety and emergency response procedures. Construction of bitumen and oil interceptor traps to ensure these substances do not enter the groundwater. Leave the site compound in a clean and rehabilitated condition to the satisfaction of the designated Roads Engineer (RE) and the Environment/Social specialist at the SPIU, and the community, at the end of the contract period. To facilitate this on project completion, spread-over the top soil earlier collected and stored at the project commencement.. Maintenance Material Excavation and Deposit Improper management of Borrow The Maintenance Contractors should have pits used to obtain materials for an approved plan for: gravel road maintenance, as well as o Disposal of excavated materials. the possibility of surplus fill can o Removal of debris and demolished result in potential negative impacts structural materials including chronic erosion and o Transportation to approved siltation, safety hazards, or dumping locations. disruption to scenic or protected o Authorization for dumping shall be areas. secured from the landowners, the Community and/or relevant Poorly maintained borrow pits can government authority. also be a collection point for water The Contractor shall avoid dumping and source of malaria. excavated materials onto adjacent 162 farmlands or terraces. Hydrology Water Resources Management and Water Inadequate water supply for Maintenance contractors shall identify Resources maintenance/consumption at site surface and/or groundwater sources with compounds can cause social prior approval of local communities. tensions because the contractor water requirement may interfere with the pattern of locally established use of water. Pollution from Vehicle Leakage or Accidents with Hazardous Cargo Surface or groundwater pollution Although this is likely to be infrequent, the may occur from routine spillage or community shall be made aware of the leakage from vehicles using the need for timely clean up of spillage of road, or from overturned trucks hazardous waste resulting from accidents. bearing petroleum or other hazardous materials. Quality and Noise Biological Resources Air Pollution and Noise from Vehicles Increased traffic could result in higher concentrations of vehicle emissions and dust particles, as well as noise levels. The Maintenance Contractor shall take all necessary measures to limit Air and Noise pollution from vehicles and any windblown materials during the maintenance works. Measures include utilization water spraying during operation; The Contractor shall provide feedback/observation on road worthiness of vehicles frequent on the route, through their report to the SPIU, to the relevant authorities/laws enforcement agencies for necessary action. Increased Pressure on Biological Resources from Induced Development 163 SocioEconomic and Cultural Resources As a result of improved access, induced development might contribute to increased pressure on the areas biological resources, such as increased wood-cutting or increased grazing thereby making the rural road to affect a particular habitat. Increased Accidents Higher speeds and increased traffic on some improved gravel roads might raise traffic accident rates, particularly in populated zones. Potential induced impacts, such as increased wood cutting or grazing, shall be addressed through community awareness and relevant programs implemented by other government agencies, such as the Ministry of Agriculture, and NGOs. Speed reduction measures and signs shall be maintained where appropriate during the operational period. Pedestrian safety, in particular the threat posed to women and children by high speed vehicles shall be addressed through mitigation measures such as signs for pedestrian crossings and walkways to schools, water sources, etc. In collaboration with the community, safety awareness campaigns shall be carried out. Target groups will include: drivers and students of primary and secondary schools. Public Health and Safety at Construction Site The health and safety of the The Maintenance Contractor shall take all Maintenance workers, road users necessary action to ensure safety and and of communities surrounding health conditions at the construction site, in rural roads may be affected during his Environment, Health and Safety Plan. the after construction period due Mitigation measures shall be taken in to: respect of: o The health risks to workers and o Reducing Maintenance site risks to the the community arising from workers and the public: Safety rules for potentially unsanitary conditions work operations shall be instituted by at site compounds; the Contractor, including, but not limited o Exposure to diseases from to; location of plant equipment away stagnant water from from sensitive locations (hospitals, inadequately maintained borrow schools, etc.), equipment operation pits or sanitation facilities; and procedures, safety barriers, warning o The increased risk of signs, first aid and medical kits and communicable and sexually procedures, and safety training for the transmitted diseases, notably workers. HIV/AIDS. o Reducing health risks from compound living conditions and interaction with the community: Employee rules and 164 information campaigns shall be instituted by the Contractor on health practices and communicable diseases. The Contractor shall also ensure that prevention and treatment facilities are made available to his employees. o HIV/AIDS awareness and treatment: In collaboration with the relevant agency, the Contractor shall institute an HIV/AIDS Awareness Campaign, with links to the National Program for testing and treatment. The Contractor shall also encourage the use of condoms by the workers if need be. 3.8.10 Grievance/Complaints Handling System Introduction The project understands the need for having an efficient and responsive grievance handling mechanism which delivers results and ensures corrective actions within a specific time frame, if the project has to get the willing cooperation of all the concerned. Accordingly the project has designed a grievance handling system which will not only ensure enquiring into the grievance/complain within the specified time frame but also the remedial/ corrective actions that need to be taken within a specified time frame and communication of results to the complainant. Since the RAMP-2 project aims to assist in the social accountability processes by encouraging and enabling demand-side citizen involvement in governance as well as building the capacity of participating stakeholders to better respond to demand-side concerns, it is especially important that the design of all project components incorporate mechanisms and processes to address complaints that may arise in the course of project implementation, as a result of their activities or omissions therein. The RAMP-2 Project, although time-bound, will therefore establish a Complaints Handling System (CHS) that will receive and act upon complaints from citizens or organizations in relation to any occurrences for which the RAMP-2 Project is directly responsible (or believed to be responsible), and which are perceived by the aggrieved party to have involved corrupt, illegal, unjust, or unfair activities, omissions, or behaviour. The CHS mechanisms and procedures are briefly described below. What constitutes a ‘complaint’? For the purposes of the RAMP-2 Project, a complaint is a notification (in written, verbal or electronic form) regarding project activities and/or conduct of staff, consultants, partners and/or sub-contractors, directly or indirectly supporting the project or associated with its 165 implementation, which the complainant believes is wrong, either under the law or on the grounds of unacceptable behaviour. The complainant(s) need not be personally aggrieved or impacted, and may be acting merely in accordance with a sense of civic duty in bringing an occurrence to the attention of project authorities. All complaints, whether notified by persons who feel personally aggrieved or acting out of a sense of civic duty, will be acknowledged and acted upon by project authorities. The CHS for the RAMP-2project will aim to build on and strengthen existing mechanisms. At the level of an individual, it is envisaged that complaints may fall under one of three situations: (i) (ii) (iii) the complaint refers to outputs, activities and processes that fall under the SPIU Partner/Contractor’s mandate – at first instance, these should be handled by the relevant SPIU Partner/Contractor, where it is assumed that an understanding of the concerns raised and options for addressing them will be greatest; the complaint refers to an issue outside the mandate and scope of work of the SPIU Partner/Contractor– these should be channelled to the appropriate agency; and the submission is not a complaint but, in effect, a request for information or clarification – the required information or clarification, if within the scope of the SPIU Partner/Contractor, will be provided directly or will be channelled to the appropriate agency, if needed. In support of this approach, each SPIU Partner/Contractor will have a clearly designated focal point, who will receive, screen, and route the submission as appropriate – whether to be handled within the SPIU Partner/Contractor, through its internal mechanism, or forwarded elsewhere. If resolution of the complaint through the SPIU Partner/Contractor’s internal mechanism is not achieved, the complaint will be referred to the SPIU and subsequently to the World Bank, either directly or through FMPU, if resolution of the complaint is not still achieved. RAMP-2 Complaints Handling Mechanism Channel 1 Complaints should be directed to the SPIU in writing. The SPIU will log the complaint (providing a unique ID code), and forward it to the PC for action. The SPIU will issue an acknowledgement letter within five working days, including an outline of the complaint review and appeal process. A written response will be issued within two weeks. The SPIU can also coordinate a meeting with the aggrieved party if required. To address such issues in an expedient manner, the SPIU will nominate a sub-committee to handle complaints. Channel 2 166 If the complaint is not satisfied by the SPIU’s response nor has a complaint regarding SPIU’s decision-making process, they can directly write to the LGA. All complaints submitted to the LGA will be logged with a unique ID code. Complainants will receive an acknowledgement letter within five business days, including an outline of the complaint review and appeal process. The complaint will be filed according to a tracking system, so that complaints are classified, and responded to consistently. Further, the complaint will be discussed within the LGA and responded to in writing within two weeks. The LGA will also convene a meeting of the aggrieved parties if required. The LGA will undertake a six-monthly internal review of the complaint handling mechanism, and make necessary corrections, if need be. Channel 3 Finally, if the complainant is not satisfied with the LGA or SPIUs response or has a complaint about the overall RAMP-2 Project, they can write to the overall RAMP-2 project grievance committee facilitated by the FPMU. This committee will convene on a case-by case basis, arbitrate the issue based on the guidelines established, and convene the necessary stakeholders if necessary. All the stakeholders, including state and nonstate actors will be able to lodge a complaint with the RAMP-2 grievance committee. The Complaints Handling Mechanism (CHM) at the SPIU Apart from the individual SPIU Partner/Contractor complaints mechanisms, a standalone Complaints Handling Mechanism (CHM) will be established at the SPIU. The SPIU’s CHM may receive submissions directly from stakeholders, through the RAMP-2 website, and in written or verbal form (if a phone hotline is established); it may also receive complaints forwarded by the SPIU Partner/Contractors, as noted above. As in the case of the SPIU Partner/Contractors, the CHM will require the screening of submissions for appropriate handling. The CHM will directly focus on and seek to resolve those complaints (and requests for information or clarification) that pertain to outputs, activities and processes undertaken by the RAMP-2 Project, i.e., those which (i) (ii) (iii) are described in the PAD and this PIM; are funded through the RAMP-2 Project (including counterpart funds); and are carried out by staff or consultants of the SPIU Partner/Contractors, or by their partners and sub-contractors, directly or indirectly supporting the project. It is envisaged that such cases would fall under (but are not limited to) the following categories: (i) request for information, comment or suggestion, e.g., request for clarification as to the delay in reimbursing expenses of participants in a given training event; 167 (ii) (iii) (iv) violation of rights or non-performance of obligations, e.g., complaint by consultant or firm whose contract is suspended as a result of presumed poor performance or non-delivery of agreed-upon outputs; grievances or offenses involving a violation of law, e.g., Involuntary Resettlement or allegations of corruption; and complaints against project staff, members of project committees, consultants, and sub-contractors involved in project implementation, e.g., allegation of bias in the awards of contract. Institutional Arrangements for the CHM at the SPIU and Local Levels The CHM at the SPIU and Local levels will not require an additional institutional structure but will draw on existing resources through the following: (i) (ii) Complaints Committee: To ensure fairness, oversee due diligence, and coordinate as needed across SPIU Partner/Contractors in the handling of complaints, a Complaints Committee (CC) will be constituted. The CC will have a maximum of six members, the core of which will be drawn from the SPIU and other key MDAs (the State Project Coordinator, Internal Auditor and four other focal people nominated by the Permanent Secretary of the supervising ministry. In addition, to ensure neutrality, the committee will include, one or two respected representatives of the non-state sector, from within the State Project Monitoring Committees. The Committee will be under the chairmanship of a Permanent Secretary or any other high official. CHM support: Overall responsibility for managing the CHM at the SPIU will be held by the Project Coordinator. A staff of the SPIU will be appointed as the focal point for undertaking the day-to-day tasks associated with the various steps of the process described below. The principles upon which the RAMP-2 CHM will be founded are: Accessibility: There will be alternative entry points to access the CHM. Complaints may be submitted through any of the SPIU Partner/Contractor s or to the SPIU. Complaints may be submitted in writing, by phone, or through the RAMP-2 Project website. Complaints may be made by or on behalf of an individual, a community, or an organization. Individual communities and citizens may submit complaints either directly, or through a proxy organization, such as a NGO or trade union. The CHM, its structure and processes will be kept simple so as to be easily understood by all citizens and stakeholders. Outreach: Information about the CHM, and the alternative ways to access it, will be posted on the RAMP-2 Project website, and will be presented and explained during RAMP-2 Project orientation activities. Project publications, especially those targeting citizens, communities, and NSAs, will contain key information detailing the alternative channels for submitting complaints and explaining the process involved. Neutrality: To ensure fairness in the handling of complaints, a Complaints Committee (CC) will be established. The core of the CC will also include a 168 respected and neutral representative of the non-state sector. Committee members will absent themselves from committee business in the event that they or their agency are the subject of a complaint. Responsiveness: Receipt of all submissions will be acknowledged by the SPIU Partner/Contractor and by the SPIU (as appropriate) within five working days. Consideration of valid complaints by the Complaints Committee will occur within 30 working days, giving time for collection and examination of evidence if required. Additional time may be required for negotiation with aggrieved parties, but resolution should not exceed 45 working days. Openness and transparency: The project will keep a record of all complaints submitted, including their outcomes, and details of time taken to consider and resolve the complaints. A regularly up-dated summary of this record will be posted on the RAMP-2 Project website, and will be available to stakeholders and the media. Anonymity and confidentiality: Citizens submitting complaints may request anonymity, in which case their names will not be made public through the website or released to the media. Confidentiality will also be observed during the period in which the Complaints Committee is considering a case (e.g., the source and any person, company or entity accused of wrongdoing should be protected). Flexibility: The overall RAMP-2 Project CHM at the SPIU more specifically, will remain flexible in order to ensure alignment with the evolving mechanisms and processes within the other participating SPIU Partner/Contractors, and to be able to incorporate the lessons and experience that will be made available in the course of project implementation. To this end, the overall CHM at the SPIU will be subject to stakeholder review at least annually. Key Steps and Processes for Handling Complaints in the CHM The following is a summary of the key steps and processes for handling complaints at the CHM that will be established at the SPIU: 1) Receipt, registration, and acknowledgement of submissions: In all cases, acknowledgement should be provided to the complainant within five working days. 2) Screening of submissions: Complaints which are not related to an area of RAMP-2 Project responsibility will be forwarded to the relevant authority. All other submissions will be sent to the CC for consideration. 3) Preparation of the case brief: For all cases which are to be sent to the CC, the focal point will prepare a brief report summarizing the origin and nature of the complaint, the proposed action to be taken, and the scope of the response to be provided. This report will be presented to the CC, along with the original complaint. 4) Informing the World Bank: In cases where a complaint might, if substantiated, involve a breach of the IDA legal agreements, the Bank’s Task 169 Team Leader must be notified immediately and be kept informed of the investigation process and its outcome. 5) Assessment: Reports on complaints will be reviewed by the CC, observing the principles of neutrality and responsiveness indicated above. Initially, the Committee should consider all complaints within 10 working days of receipt of the brief. The Committee will preferably consider cases when it comes together for the monthly Project Coordinating meetings. However special meetings should be convened to consider cases where the nature of the complaint requires urgent action. Where appropriate, the Committee may order further investigations and will designate one Committee member to oversee them. The SPIU Partner/Contractor focal point may be called upon to obtain additional information on the case. The CC may also request that the Project Auditor assist in further investigation and analysis of the case. Persons, companies or entities accused of wrongdoing must be given a fair opportunity to present their side of the case. The aim should be to have sufficient facts for adjudication within 15 working days after the case is presented to the Committee. In cases where investigations are complex and unavoidably take longer, the complainant should be notified of progress at two-week intervals. Deliberations of the CC will be by consensus. 6) Response: A formal response to the complainant will be issued in all cases, informing (i) whether the case was brought before the CC or was forwarded to another agency (and explaining why); (ii) what the outcome of the CC’s deliberations were; and (iii) what follow-up actions are to be carried out. 7) Disclosure: Public disclosure (e.g. on the RAMP-2 Project website) of the complaint, results of the assessment, and follow-up actions recommended by the Committee should be made once the Committee decision is reached, observing, however, the principle of anonymity and confidentiality as may be requested or required under certain cases. Right of Appeal and Alternative Mechanisms In the event that a positive resolution of a complaint cannot be reached within 45 working days and no explanation is provided as to why further time is needed to adequately consider the case, or if the aggrieved party is unsatisfied with a decision of the Complaints Committee, the matter may be referred to the next meeting of the State Project Monitoring Committee for consideration. If the SPMC cannot resolve the issue, the SPMC will refer the matter to the State Executive Council for resolution. In addition, incidents of corruption in relation to the use of RAMP-2 Project funds, including unsound procurement activities, or improper use of equipment procured or purchased with RAMP-2 funds, by staff appointed to the RAMP-2 170 Project, by official partners of the participating SPIU Partner/Contractors or by sub-contractors, can also be channelled to the SPMC. At any time, a complainant retains the right to utilize the Nigerian legal system. The complainant may also utilize the traditional methods for redressal of disputes, Multi-Door Courthouse as well as the complaints and remedies mechanism of the World Bank. Cases of fraud and corruption should be directed to the World Bank Country Office, Abuja. Traditional Methods For Redressal Of Disputes The traditional methods for redressal of disputes, though largely informal, already exist in most communities. However, the mechanisms are affordable, accessible and speedy procedures. The methods include Traditional arbitration This is one of the cardinal mechanism in alternative dispute machinery, whereby the dispute is submitted to a neutral and unbiased third party (arbitrator), usually a King, Village head or chief of higher stature and reputation, to hear and consider the merit of the dispute. They give their verdict in the form of “Arbitral Award” which is legally binding on disputed parties. The arbitrator must, possess: • open and discerning mind, • ability to drive home decisive points bluntly, • proof of radiant character disposition; and • capacity for projecting the interest of their forebears towards implementing customs and norms. Traditional Mediation This is a purposeful art, adopted to intervene in a conflicting situation and environment, whereby parties to the conflict submit themselves to a neutral third party, adjudged to be highly interested and concerned with the well – being of the individuals in the communities. The Mediator brings about friendly disposition and restoration of order to both parties to the conflict and the society at the end of the intervention. However, Mediator neither gives verdict nor makes award. This mechanism is non-binding on the parties. The arbitrator must, possess • imposing character disposition, • respectability in the society, • knowledgeable in customs and norms, • quick-witted to a fault, • determination to end the feud; • and restoration of harmonious relationship Traditional Conciliation: It is a process by which a third party called “Conciliator” meets disputed parties separately in order to resolve their differences. Conciliator neither gives verdict nor makes award. This mechanism is also non-binding on the parties. It is also called “shuttle diplomacy”. 171 Multi-Door Courthouse (MDC): This is an independent, not-for-profit organization that promotes the prompt, effective and economic resolution of disputes through arbitration, predominantly mediation, expert determination and early neutral evaluation. This is a resource that could be called upon by the stakeholders to arbitrate. They would be of particular use should disputes around the compensation and resettlement process arise. In addition, there are a series of customary avenues that have been set up to deal with dispute resolution and they will be employed as the “court of first appeal”, where relevant. Social Integration and Participation All RAMP-2 activities as a matter of principle will promote the avoidance of any activity/subproject that Overlooks the rights and special provisions of vulnerable groups in the communities Causes any conflict among community or groups Restricts the participation of women and/or marginalized any group. Especially for Components 1 & 2, include in contract clauses the idea of holding Contractors financially and in some cases criminally liable for adverse impact that result from failure to implement contracted required mitigated measures. As a matter of principles, Social inclusions or community participation in subprojects shall be managed, in particular through the inclusion of clauses that involve the following measures: Activities Community participation Generic Mitigation Measures Integration with host populations & promotion of social inclusion Social Inclusion & Avoidance of elite Capture/ Vulnerable groups Participation in decision- making built into the planning and implementation of components 1 & 2 to allow local people a voice in matters concerning them. Involvement of affected people for consultation with and participation in the preparation and implementation A summary of the views expressed and how these views were taken into account in preparing the resettlement plans/EMP A review of the alternatives presented and the choices made by affected persons wherever options available to them, including choices related to forms of compensation and resettlement assistance. Use existing local groups rather than form new ones Reduce social exclusion by increasing access to opportunities, goods, services and facilities for all stakeholders, especially the marginalised; For close social integration to occur, socially marginalized groups and individuals must fully participate in social and economic opportunities. Target women and youths, who have often been left out of efforts to increase sustainable livelihoods. Encouragement of programmes that meet peoples felt needs and reduce the feeling of alienation, which creates not only the perception but also the actual situation of being socially excluded. Include special efforts (affirmative action) to fully integrate socially marginalized people into the society Ensure access to information on all projects/subprojects activities through 172 Activities Generic Mitigation Measures participatory village focus groups. Partnerships could go far in removing the barriers to social inclusion. Where different groups or individual have different views or opinions, particularly emphasis will be put on the views and needs of the vulnerable groups The empowerment of women groups is essential for public good, so ensure for component 2 opportunities at least 35% are targeted at women Ensure an agreement on expectations faithful implementation of memorandum of understanding Service delivery, equity Ensure development benefits to all communities and groups, regardless of ethnicity, gender, generation, health conditions or socio-economic status. Encourage cross-cultural communication that could facilitate human coexistence, harmony and mutual partnerships should be created. Faithful implementation of memorandums of understanding signed by relevant stakeholders (affected persons, communities, or government). Special efforts, including affirmative action, may be needed to fully integrate socially marginalized people into their society Design subproject activities in manner that encourage cross-cultural communication systems that facilitate human coexistence, harmony and mutual partnerships. Impact of resettlement on any host communities should always be seen as very urgent issues to treat through: o arrangements for prompt tendering of any payment due the hosts for land or other assets provided to Project affected persons; and o arrangements for addressing any conflict that may arise between RAMP-2 Implementers and host communities; and Include and ensure community participation and oversight of projects in their domains Description of responsibilities for implementation of compensation payment and resettlement activities should be outlined and an assessment of the institutional capacity of such agencies and NGOs; and any steps that is proposed to enhance the institutional capacity of agencies and NGOs responsible for resettlement implementation. Participatory planning, budgeting and monitoring Public information dissemination fund use Collective embracement of the tenets of probity, accountability and transparency. To resolving conflict in the communities use existing traditional methods that are affordable and accessible procedures for redressal of disputes such as: o community meetings, elders-in-council, dialogue, council of chiefs, appeals and summons, elders assembly, religious leaders, youth council, women groups, and ultimately the police and courts Ensure an implementation schedule covering all payments of compensation and other applicable resettlement activities from preparation through implementation, including target dates for the achievement of expected benefits to PAPs and hosts and terminating the various forms of assistance. The schedule should indicate how the resettlement activities are linked to the implementation of the overall project. The affected persons and CBOs/NGOs should be abreast of the schedule Ensure local communities/CBOs/NGOs play a role in the monitoring framework. Gender issues Avoidance of promotion of any conflict among community groups Implementation Arrangements: Accountability in the use of public funds Grievance procedures Implementation schedule Project Monitoring 173 3.9. Governance and Accountability Action Plan The Demand For Good Governance (DFGG) refers to the extent and capability of citizens to hold the state accountable and make it more responsive. It complements and strengthens traditional supply-side efforts in this regard. Integrating DFGG into projects involves setting up systems to ensure that citizens have a greater voice, that the project is downwardly accountable to them, and that it is responsive to their needs. The Governance and Accountability Action Plan (GAAP), contains DFGG measures which usually involves communication between the government or project team and citizens to promote transparency, accountability, and civic participation. These goals can be achieved with measures that: • Promote Information disclosure and dissemination to improve project transparency; • Create and strengthen mechanisms for citizen consultation , feedback, and grievanceredress mechanisms to alert project staff to problems identified by beneficiaries, affected people, and other stakeholders; • Encourage project stakeholders to respond to citizen demands through participatory planning to ensure the project meets the needs of beneficiaries; and • enable citizens and CSOs to monitor or have formal oversight over project performance and to conduct independent budgetary and policy analysis. DFGG mechanisms are usually demand-driven, operating from the bottom up. DFGG therefore strengthens the capacity of civil society organizations (CSOs), the media, local communities, and the private sector to hold authorities accountable for better development results and, at the same time, enhances state capacity to become more transparent, accountable, and participatory in response to community demands. For a project critical success factors, DFGG lens allows the project implementer to think about risks and mitigation measures from the perspective of: project beneficiaries, project-affected persons, and the general public Some specific questions about government and anticorruption (GAC) risks and concerns are: • What type of social tensions is the project likely to create or exacerbate, particularly among stakeholder groups competing for project resources? • Which stakeholder groups are likely to support or resist the project? • How will the team communicate with and inform citizens and communities about the project? • How will stakeholder views be solicited and incorporated into project design and implementation? • How will project beneficiary targeting and selection be done to avoid corruption and favoritism? 174 • • • • How will people’s grievances, complaints, and concerns about the project be addressed? What entitlements and rights are available to service users and project beneficiaries? How will the project team inform people about their rights and assist in the protection of them? How will the rights of project beneficiaries and vulnerable groups be protected? Consultations with a wide range of stakeholders during the project preparation phase (especially with intended beneficiaries, affected people, and members of communities where the project will occur as well as with CSOs knowledgeable about the stakeholders and the project area) will be useful in identifying potential project risks. These stakeholders will probably have useful knowledge about the social, political, cultural, and even technical factors that could undermine a project’s effectiveness, its impact, and its sustainability The Governance and Accountability Action Plan (GAAP) developed for RAMP-2 is intended to improve the overall risk management, enhance efficiency and development impact and ensure allocated resources are spent for the intended purpose and directed to the beneficiaries. It aims at (i) mobilizing all existing integrity and accountability mechanisms in the country and good practices at the sector level, (ii) introducing or mainstreaming additional mitigating provisions to address the deficiencies of the local governance framework, resulting notably in poor maintenance. It covers the entire value chain of the project and is informed by the sector experience, extensive discussions with different stakeholders, including the FERMA, SRMs, SPIUs, industry experts, some beneficiaries/rural communities as well as lessons learnt from implementation of GAAPs in several on-going transport projects in Nigeria. Mobilizing all existing integrity and accountability mechanisms in the country The GAAP first calls on all mandatory integrity mechanisms (Freedom of Information Act, internal and external audits, vigilance and anti-corruption, grievance redressal mechanisms) and makes sure that the relevant institutions are effectively discharging their duties during the project implementation. All public institutions involved in project implementation at the federal, state and local level are required to abide by their legal obligations in that respect. Considering that several institutions are involved at the local level in the project implementation and that their responsibilities are often overlapping, the discharge of mandatory integrity mechanisms will be attributed at the state level based on each state own legal provision and governance framework. Integrity and accountability mechanisms mobilized for procurement and financial management (FM) are detailed in this document and indeed other relevant IDA and AFD Guidelines. Mainstreaming good practices already implemented at the sector level 175 In order to promote consistency between the governance framework applying to RAMP-2 in all the participating states, the GAAP aims at institutionalizing the good governance and accountability practices. To that effect, it rests on cross-fertilization and support from the most experienced implementing agencies to the ones either inexperienced or lacking capacity. This is enshrined in the TA component (Sub-Component 3.2) of the project. RAMP-2 operational guidelines identified good practices aim at enhancing transparency in the decision making, strengthening planning, harmonizing design tools and rationalizing the institutional framework. They are the following: preparation of Rural Roads Plan (based on Core and secondary networks) to provide allweather road connectivity to all habitations dissemination and regular updating of the information on the RAMP-2 website; citizen monitoring/social audit of RAMP-2 works in the states; development of RAMP-2 operational guidelines, which cover all aspects of the project cycle, including preparation by each block and district of a core network to prioritize the selection of communities, mandatory provision for peoples’ participation, adoption of an environmental and social management framework (ESMF); and development of a standard schedule of rates for rural roads, model bidding documents for use in all tenders, and standard instructions for procurement to guard against fraudulent, collusive, restrictive and unfair practices. Rationalizing function and resource allocation at the state level to mitigate the deficiencies in the local governance framework resulting in poor maintenance Maintenance is one of the main challenges to be overcome in RAMP-2 implementation. The RAMP-2 guidelines acknowledge the critical importance of the institutional framework for an effective maintenance and asset management of rural roads. Although the ultimate devolution of RAMP-2 roads management and ownership to the local governments, in the meanwhile the guidelines ascribe maintenance of the RAMP-2 roads to the State Projects Implementation Units (SPIUs) "till such a time the local governments will take over maintenance functions", recognizing that local governments often lack managerial, financial and technical capacity commensurate to this new responsibility. Accordingly, the GAAP aims at strengthening the maintenance and asset management institutional framework and system outlined in the RAMP-2 guidelines by supporting its clarification at the state level. It supposes that coordination between all spheres of government and public institutions involved in maintenance and asset management be formalized based on a clear and practical devolution of functions and resources. The GAAP promotes adequate policies, planning and prioritization as well as a collaborative and effective institutional framework at the state level through the development of state maintenance management systems and the piloting of effective mechanisms for the execution of maintenance activities. In addition, it focuses particularly on straightening the local governance framework, still uneven across states, notably when it comes to the jurisdiction and capacity of local governments. 176 Project Coordinator in each state will prepare quarterly progress reports on the GAAP implementation, including data for alert indicators on identified governance issues and submit, through the FPMU, to IDA for necessary review. If any red flags are triggered, enhanced thematic or state specific supervision will be conducted by FPMU through specific third party audits, reviews by industry experts, training workshops and joint interim missions by the IDA and the FPMU. Subsequent to this enhanced supervision, in case there is still ground for concern, a detailed inquiry and investigation by the FPMU or the IDA will be carried out. If investigations reveal lapses in integrity at any stage of the project cycle, local authorities will take corrective measures and the IDA sanctions regime will apply. The main provisions of this GAAP are reflected below to ensure a close monitoring of its observance. GAAP Matrix Agency Issues / Risk Mitigating Actions to be taken Responsible Inter-departmental coordination and institutional performance Effective Coordination and cooperation NATA, FPMU, coordination among relevant agencies at SPIU between national level will be strengthened relevant through better communication and agencies at exchange of information different levels A participatory assessment of institutional capacity of Maintenance Teams will be undertaken to strengthen/reorganize their management practices; Preparation of improved by-laws to provide appropriate charter and mandate to community cooperatives and CSOs; SPIUs Timeline Early Warning Indicators 2 times a year Coordination meetings do not take place in time or are not represented at appropriate level. Continuously Maintenance Teams, Community cooperatives and CSOs are not motivated to undertake self assessment and not interested in participating in training activities. Training and workshops will be organized for members of Maintenance Team, CSOs, etc Effectiveness of institutional framework 177 Issues / Risk Inconsistent allocation of resources and unclear delineation of functions at the local level between public agencies involved in rural road maintenance and asset management Mitigating Actions to be taken Each beneficiary state to formally commit to the implementation of adequate rural road maintenance and asset management funding, policies, procedures and systems based on clear and practical devolution of resources and functions between line ministries, parastatals and local government Facilitate consultation between stakeholders to that effect, disseminate best practices and to review annually pending issues pertaining to maintenance including institutional framework, and creation of maintenance management unit at the relevant state level rural road agency Strengthen internal accountability through carrying out regular internal audits and random performance audits (by external independent auditors). Agency Responsible State governments, SPIUs as a facilitator Continuously Early Warning Indicators Lack of maintenance despite availability of earmarked funds SPIU FPMU, SPIU Implementation environment Conflict A participatory process is used to SPIUs management validate road selection criteria results by local stakeholders Grievance handling system is captured in this document and its use will be monitored. Inclusion and representation Timeline An information officer will be designated according to the provisions of the FOI Act 2011; Communities will be encouraged to SPIUs promote the inclusion of women and other marginalized communities in project decision making systems; SPIUs Complaints on road sharing Continued absence (or poor compliance) of labour contribution rules. Women’s representation in maintenance team by percentage remains less than 33 percent. Capacity support will be provided 178 Issues / Risk Mitigating Actions to be taken to women and other marginalized communities through training programs to achieve meaningful participation. Fraud and Corruption Untested FPMU jointly with SPIUs to effectiveness of consolidate annual review of internal integrity vigilance, public information mechanisms disclosure, internal controls, grievance redressal and complaints handling mechanisms at the state levels and suggest improvements for internal integrity mechanisms SPIUs to strengthen the transparency and effectiveness of complaint handling and report annually on complaints received and actions taken Lack of Encourage greater participation transparency in through the procurement contractors/maintenance team process and outreach program ineffective Tender notices will be contract disseminated widely (e.g. management publication in national newspapers); Pre-bidding conferences will be held to provide information about sanctions to be undertaken against contractors found to be involved in corrupt practices (collusion, bribery, fraud, etc.); Agency Responsible FPMU, SPIUs Timeline 1st year Early Warning Indicators Lack of disclosure of public information Absence of grievances redressal and complaints handling procedures and monitoring SPIUs Annually SPIUs Continuously Number of complaints, rebidding rate SPIUs Continuously Delays in procurement Reports about Poor competition in procurement Media reports about misuse of project resources. Transparency will be ensured in evaluating bids Procurement training will be provided to the relevant staff engaged in the project; Procurement plan will be prepared 179 Issues / Risk Mitigating Actions to be taken and monitored to prevent weak monitoring arrangements for procurement. Ensure improved procurement capacity of the SPIUs through disclosure of procurement documents, application of the Procurement and carrying out of performance audits of procurement procedures and practices Promote cross-support across states and disseminate best practices Commit to prosecution of fraud and corruption during bidding process and contract implementation as per the country's regulations Agency Responsible State governments, FPMU as a facilitator Timeline Early Warning Indicators With immediate effect Absence of systematic follow up on bidders' Complaints FPMU When needed FPMU/SPIUs Continuously Absence of contractual remedies for contractors' non performance Discrepancies between disbursements and project progress Unwarranted payment delays unjustified payments made for incomplete and /or sub-standard work External/Social Accountability Untested Review the roles and effectiveness SPIUs effectiveness of of Vigilance and Monitoring Vigilance and Committees at the local level for Monitoring social accountability Committees at Improve the consistency and SPIUs the local level transparency of grievance redressal mechanism and report annually on grievances received and actions taken Within 1st year No grievance recorded Absence of consistent and transparent grievance redressal follow up 180 Issues / Risk Mitigating Actions to be taken Agency Responsible FPMU, SPIU Insufficient citizen oversight Mainstream citizen oversight through social audits as a monitoring instrument to be triggered by the grievance redressal mechanism Results frameworks Project outcomes will be publicized widely with lessons learned (annually). FPMU, SPIU Quality assurance systems Project beneficiaries will be involved in monitoring project activities; FPMU, SPIU, CSOs, Communities Public access to information Third-party supervision. Relevant project information made available on project website; FPMU, SPIU, CSOs Other media, including newspapers and electronic media, will publicize information; Timeline Continuously September every year, starting in 2013 Ongoing Continuously Early Warning Indicators Absence of social Audits Media reports about poor performance of project activities. Poor public perception of the effectiveness of third party monitoring. Public complaints about lack of adequate information on project activities Brochures will be available for the public in different languages; FOIcompliance will be assessed every year. Disclosure boards will be put in place on all project sites with information on the project. 181 ANNEXURES 182 Annex 1: Sample Work Plans Template COMPONENT NAME: ________________________________ MAIN ACTIVITY SUB-ACTIVITY INPUT OUTPUT SEMI-ANNUAL BUDGETS in Naira (000) Jan-Jun 13 Jul-Dec 2013 Jan-Jun 14 TOTAL 183 Annex 2: Sample Procurement Plans Goods (Shopping Method) Contract No. Contract Description Review Contract Value Draft Specs Prepared IDA Clears Specs Issues Quotations Quotations Received Quotations Evaluated IDA Clears Evaluation Supplier Notified Items Delivered Page 184 Goods Delivered Contract Signed Contract Awarded Draft Contract Cleared by IDA Contract Negotiated BER Cleared by IDA BER Sent to IDA Bids Evaluated Bid Opening Issue Notice at DG Mkt or Press BD Cleared by IDA Draft BD Prepared Contract Value Contract Description Review Contract No. Works (NCB) Contract No. Contract Description Page 185 BER Sent to IDA BER Cleared by IDA Contract Negotiated Draft Contract Cleared by IDA Contract Awarded Contract Signed Goods Delivered BER Sent to IDA BER Cleared by IDA Contract Negotiated Draft Contract Cleared by IDA Contract Awarded Contract Signed Goods Delivered Bid Opening Issue Notice at DG Mkt or Press BD Cleared by IDA Draft BD Prepared Contract Value Bids Evaluated Goods (ICB) Bids Evaluated Bid Opening Issue Notice at DG Mkt or Press BD Cleared by IDA Draft BD Prepared Contract Value Review Contract Description Review Contract No. Goods (NCB) Individual Consultants Contract No. Contract Description Review Contract Value TOR Drafted Draft TOR sent to IDA Draft TOR Cleared by IDA EOI Published Long List Prepare d Short List Prepare d Short List sent to IDA Short List Cleared by IDA Candidates Interviewe d Selection Cleared by IDA Long List Prepared Short List Developed Contract Negotiated Contract Awarded Consultants (CQ Method) Contract Package No. Contract Package Review Contract Value TOR Drafted Draft TOR Sent to IDA Consultants (QCBS Method) Page 186 Draft TOR Cleared by IDA EOI Published Short List Sent to IDA Contract Package Contract Package Review Full Cost (USD Equiv) TOR Drafted Request IDA NO to Draft RFP RFP Cleared by IDA Full Cost RFP's Tech Eval (USD Received Completed Review Equiv) Page 187 EOI Published IDA Clears Tech Eval Long List Prepared SL Developed SL/Draft RFP Sent to IDA for NO IDA Issues NO to SL/Draft RFP IDA Fin Eval Contract Clears Contract Completed Negotiated Draft Signed Contract RFP Issued Annex 3: Sample General Procurement Notice [COUNTRY] [NAME OF PROJECT] [Insert sector] GENERAL PROCUREMENT NOTICE Loan No. /Credit No. /TF No. /Grant No. Project ID No. The [insert name of borrower] [has received/has applied for/intends to apply for] financing in the amount of USD [insert dollar amount] equivalent from the World Bank and AFD toward the cost of the [insert name of project], and it intends to apply part of the proceeds to payments for goods, works, related services and consulting services to be procured under this project. This project will be jointly financed by the [insert name of co-financing agency]. The project will include the following components [describe the main project components, including consulting services, and include a brief description of the goods, works and services to be procured under ICB procedures]. Procurement of contracts financed by the World Bank and AFD will be conducted through the procedures as specified in the World Bank’s Guidelines: Procurement under IBRD Loans and IDA CreditE & Grants, May 2004 Revision October 1, 2006 and May 1, 2010, January 2011, and is open to all eligible bidders as defined in the guidelines. Consulting services will be selected in accordance with the World Bank’s Guidelines: Selection and Employment of Consultants by World Bank Borrowers May 2004 Revision October 1, 2006 and May 1, 2010, January 2011 Specific procurement notices for contracts to be bid under the World Bank’s international competitive bidding (ICB) procedures and for contracts for consultancy services will be announced, as they become available, in UN Development Business and dgMarket[and the names of technical magazines, newspapers and trade publications of wide international circulation and in local newspapers]. Prequalification of suppliers and contractors will be required for the following contracts [insert names of contracts]. Interested eligible bidders who wish to be included on the mailing list to receive invitations to prequalify/bid under ICB procedures, and interested consultants who wish to receive a copy of advertisement requesting expressions of interest for consultancy contracts, or those requiring additional information, should contact the address below. [Insert name of office] Attn: [insert name of officer & title] [Insert postal address and/or street address] [Insert postal code, city and country] Tel: [include the country and city code] Fax: [include the country and city code] E-mail: Web site: Page 188 Annex 4: Sample Expressions of Interest (EOI) [NAME OF COUNTRY or beneficiary] [NAME OF PROJECT or assignment] CONSULTING SERVICES TRUST FUND #: [insert: Trust Fund number] or BUDGET ALLOCATION # [insert account number] Expressions of Interest The World Bank and the AFD intends to finance the assignment/services described below under a [trust fund from the (insert name of trust fund provider)] or [budget allocation for the Bank’s administrative budget]. The services include [brief description, organization, and implementation period.] The FPMU/SPIU now invites eligible consultants to indicate their interest in providing the services. Interested consultants must provide information indicating that they are qualified to perform the services (brochures, description of similar assignments, experience in similar conditions, availability of appropriate skills among staff, etc.). Consultants may associate to enhance their qualifications. Consultants will be selected in accordance with the procedures set out in the current edition of the World Bank's Guidelines: Selection and Employment of Consultants by World Bank Borrowers. May 2004 Revision October 1, 2006 and May 1, 2010, January 2011 Interested consultants may obtain further information at the address below [state address at the end of document] from [insert office hours]. Expressions of interest must be delivered to the address below by [insert date]. [Insert name of office] [Insert name of officer] [Insert postal address and/or street address] Tel: [Indicate country and city code] Fax: [Indicate country and city code] E-mail: Page 189 Annex 5: Outline of the Terms of Reference Background of the Project. Brief overview and information on the following aspects of the assignment: (a) name of the Hiring Agency; (b) project location; (c) rationale of the project; (d) project history (what has been done so far and by whom); (e) list of relevant studies and basic data; (f) need for assistance in the project with respect to the issues to be resolved; (g) activities to be carried out; (h) source of financing; and (i) supervision arrangements. Objectives of the Consulting Assignment. Objectives and expected results of the assignment. Scope of Work. Details of all main activities (or tasks) and expected results. The TOR should describe only the activities and not the approach or the methodology by which the results are to be achieved since these would be the task of the proponents. Nevertheless, the TOR may suggest the approach or the methodology that consultants could or should use to execute the assignment and under certain selection methods the estimated staffmonths required can be stated. Transfer of Knowledge. If transfer of knowledge is an objective of the assignment, the TOR should provide specific details on the characteristics of the required services and ask consultants to propose training approaches and methods. Reports and Schedule of Deliverables. Estimated duration of the assignment, from the date of commencement to the date the hiring agency receives and accepts the consultant’s final report or a specified completion date including the reporting requirements (other dates may be considered such as the date of effectiveness of the contract). Depending on the nature assignment, the following reports are usually required: (a) Inception Report. This report should be submitted before the assignment begins to give the hiring agency confidence that the assignment can be carried out as stipulated in the contract. Any major inconsistency in the TOR, staffing problems, or deficiency in the hiring agency assistance that have become apparent during this period should be included; (b) Progress Reports. These reports keep the hiring agency regularly informed about the progress of the assignment. They may also provide warnings of anticipated problems or serve as a reminder for payment of invoices due; (c) Interim Reports (if applicable). If the assignment is phased, interim reports are required to inform the hiring agency of preliminary results, alternative solutions, and major decisions that need to be made; and (d) Final Report. The final report is due at the completion of the assignment. Data, local services, personnel and facilities to be provided by the hiring agency. Description of the facilities to be provided to the consultant such as office space, vehicles, survey equipment, office and computer equipment, and telecommunication devices. If the Hiring Agency provides support staff to work with the consultant, this Page 190 should be clearly indicated and the staff appointed should be under the consultants’ supervision and work on the same hours but he/she would be not remunerated under the consultants’ contract. Institutional Arrangements. Definition of the institutional setup of the assignment, role and responsibilities and type and timing of participation (including those from the hiring agency) of all concerned. Page 191 Annex 6: Sample Schedule of Requirements (Goods) 1 Line Item N 2 Description of Goods [insert [insert name of Good] number of the item] Goods Procurement No. ___ for the Supply of ______ 3 4 5 6 Delivery Date Quantity and Unit Price Total Price physical unit Per item before before tax tax (4 x 5) [insert quoted Delivery Date] [insert number of units to be supplied and name of the physical unit] 7 8 Sales and other Total Price per taxes payable per line item line item if (Col. 6+7) Contract is awarded [insert sales and [insert total price other taxes per item] payable per line item if Contract is awarded] TOTAL PRICE Page 192 Annex 7: Sample Training Plan Implementing Agency Capacity Building Activities with Time Schedule S/No Expected outcome /Activity Description Estimated Cost SDG Target Staff and/or their Titles Page 193 Estimated Duration Start Date Comments/Completion Date Annex 8: Sample Fixed Asset Disposal Request Form Department: _______________________________ Disposal Request No. ________________ Submitted by: Date: Signature 1) Details of asset to be disposed: Asset No. Asset Description Historical Cost Proposed Selling Price 2) Reason for the disposal: 3) Has the asset already been replaced? _____ (Yes) 4) Has a buyer been found? Yes No ______ (No) If yes, list the details of the buyer in this box 4) Has the disposal been authorized by the Project Coordinator? _____ (Yes) ______ (No) Page 194 Annex 9: Sample Fixed Asset Number Control Sheet Fixed Asset Barcode No. Date of Issue ISSUE Category of Asset Description & Location of Asset Page 195 DISPOSAL (Cancellation of Asset) Annex 10: Sample Fixed Asset Count Sheet Barcode No. per FAR Asset Category Asset Description & Location Page 196 Cost of Asset per FAR Agreed to Physical Asset Condition of Asset (i.e. good, damaged, obsolete or missing) Annex 11: Sample Page of the Advances Ledger ADVANCES LEDGER John Doe Date PV No. Jul. 1, 2012 Jul 6, 2012 Description Amount (SDG) Date PV No. Description Amount (SDG) Balance brought forward 20500 Subsistence allowance for State Procurement Officers – Benin State 6,500 Jul. 25, 2012 Page 197 20500 Accountability for advance against PV 20500 (3,500) Balance (SDG) 2,000 5,000 Annex 12: Sample Bank Reconciliation Statement Name of the Implementing Agency For the month ended: Jan. 31, 2012 Naira Opening Bank Balance as per ledger (Jan. 31, 2011) Transfer received from ____________ Total Cash Available 100,000 400,000 500,000 Total expenditures for the month Cash at bank balance as per ledger (Jan. 31, 2011) (350,000) 150,000 Bank balance shown in the Bank Statement (Jan. 31, 2011) 160,500 Add: Deposits in transit CRV 006 – Return from a supplier CRV 009 – Refund of travel advance 10,000 1,500 11,500 172,000 Less: Checks written but not presented for payment BD 12345 BD 12349 BD 12400 6,000 7,000 9,000 (22,000) (150,000) Prepared by: ______________________ Checked by: ________________________________ Accountant Project Finance Officer Page 198 4 Name and Address of Contractors/Supplie rs Contract or Purchase order No. & Date (or other ref.) 5 6 Brief Description of Goods, Works or Services 7 Total amount invoices covered by application (net of retention) 8 9 10 Invoice Amount Eligible for Financing Amount Paid From Special Account (if any) TOTALS Supporting documents for this SOE retained at:(insert location) Prepared by: ___________________________________________ Approved by: ________________________________ Page 199 11 12 Remarks 3 Date of Payment Item No. 1 Elig. % CONTRACT DETAIL Currency and Total Amount of Contract Annex 13: Sample Monthly Statement of Expenditures (SOE) Public Sector Reform, Decentralization, and Capacity Building Program For the month of _____________ Year _____ SOE No. ______ The World Bank APPLICATION FOR WITHDRAWAL STATEMENT OF EXPENSES(S0E) Category No. Annex 14: Sample Payments Made During Reporting Period Payments Made during Reporting Period Against Contracts Subject to the Bank’s Prior Review Contract Number Supplier Contract Date Contract Amount Page 200 Date of WB’s Non Objection to Contract Amount Paid to Supplier during Period WB’s Share of Amt Paid to Supplier during Period Annex 15: Sample Statement of Sources & Uses of Funds STATE EXPENDITURE EFFECTIVENESS FOR OPURTUNITIES AND RESULTS PROJECT Statement showing Uses of Funds by Project Activities- For the Quarter ended 30 September 2013 (Amounts in USD) 3rd Quarter 2012 Project (GON+IDA +AFD Credit) Var(BBudget Actual A) B%A Budget Cumulative IDA+AFD Credit Var Actual (B-A) B%A Project (GON+IDA +AFD Credit) Var Budget Actual (B-A) B%A 1. Upgrading and Rehabilitation of Rural Transport Infrastructure 1.1 Vehicles, furniture and equipment 1.2 Consultants 1.3 Training 1.4 Operating Costs Component 1 sub-total 2. Community-based road maintenance and annual mechanized maintenance 2.1 Works 2.2 Vehicles, furniture and equipment 2.3 Consultants 2.4 Training 2.5 Operating Costs 2.6 Grants Component 2 sub-total 3. Project Implementation Support and Coordination 4.1 Vehicles, furniture and equipment 4.2 Consultants 4.3 Training 4.4 Operating Costs Component 3 sub-total Total project expenditure Page 201 IDA +AFD Credit Var Budget Actual (B-A) Revised project budget B%A Project life/ FPP Project (GON+IDA + AFD Credit) Var(BGrant Actual A) B%A Annex 16: Sample Quarterly Progress Report Quarterly Progress Report Taken as Financial Monitoring Report for the quarter ended 30 September 2013 NAME OF PROJECT Funded by International Development Association (IDA), French Development Agency (AFD) and Government of Nigeria (GON) Insert date of report here Page 202 XYZ Project Quarterly Progress Report For the quarter ended 30 September 2013 Project Description: Project Development Objective: Sector: Location: Total Project Cost: The project is designed around two main components – Upgrading & Rehabilitation of Rural Transport Infrastructure and Community-based Road Maintenance & Annual Mechanized Maintenance- under which selected activities will be implemented to produce outputs that will contribute towards the achievement of the PDO. The project development objective (PDO) is to improve the transport conditions and bring sustained access to the rural population through rehabilitating and maintaining key rural transport infrastructure in a sustainable manner in selected Nigerian states. Public Sector The Project covers the following states: (a) Adamawa; (b) Enugu; (c) Niger; and (d) Osun. The Project will be implemented over a six-year period. Breakdown of project costs: GON Amount (USD Million) IDA AFD Total Total project cost Out of which Phase 1 Implementing Agency Implementing Period: The Project may require additional financing as it scales up over time. An independent Project Implementation Unit reporting to project steering committee. Six years. Page 203 XYZ Project Quarterly Progress Report For the quarter ended 30 September 2013 Table of contents Section 1 Executive summary 2 Physical progress 3 Component details 4 Financial management 5 Procurement 6 Next steps Pages Annexes I Physical outputs/ performance indicators II Summary procurement tables Page 204 XYZ Project Quarterly Progress Report For the quarter ended 30 September 2013 Section 1 - Executive Summary Provide an executive summary of the report including the project/programme: Details of the period covered by the report Brief details of the purpose of the report e.g. what is the focus of the report and what users should expect out of the report Highlights and successes Key performance indicators Constraints Details of the layout in the remainder of the report i.e. how many sections and what each section deals with Section 2 – Physical progress Project/program highlights: Provide details of activities that have successfully been completed and outputs that have been delivered within the period. Reference can be made to table(s) summarising physical output/progress/performance indicators which should be attached as Annex I. A Microsoft excel file with a template sheet labelled as “Annex1-Phy outputs” is provided. It should however be tailored to suit project specific circumstances. Provide details of project’s/program’s schedule of implementation i.e. whether the project/program is on or behind schedule Constraints and issues: Provide details of any constraints affecting the achievement of the project/program objectives and other issues affecting the project/program implementation such as changes in policies etc. Section 3 – Component details Introduction: Indicate whether all components are covered Components: For each component and activity in consideration, provide a narrative of its status and details pertaining to the position of its planned and actual targets Page 205 E.g. Component 2b, Activity 1: Youth Employment –Construction of the roads in ______is proceeding as planned. Agricultural works is delayed as the contract was halted pending thorough investigation of complaints by suppliers etc. Component 3, Activity 4.1: Renovation of offices – The SMOF PC offices renovation work commenced on _______________and is expected to be completed early (by December 2011) but will be above costs estimates due to heavy rains in July 2011 etc. 1. Component 3: Programme management – Project management costs significantly exceeded the plan due to payment of technical committee remuneration costs which had been planned for the next quarter. Etc. Others activities Provide details of various meetings held, such as the regular project progress meeting, joint missions etc. Provide details of key internal events that occurred during the period e.g. whether PIM has been completed or not etc. Section 4 – Financial Management Provide details with regards to the following: Receipts: applications for withdrawals made, amounts disbursed by IDA, AFD and GON; Payments made – split between IDA and GON; Analysis of budget vs. actual – explaining significant variances Statement of cash/fund balances Status of the IDA and AFD advance A summary statement showing sources and uses of funds should be inserted within the main text. See example (with arbitrary figures) below. Page 206 Xa Yb Zc (XYZ) Project Sources and Uses of Funds Statement - For the Quarter ended 30 September 2013 Government of Nigeria (Amounts in US$) Receipts and payments statement Receipts From IDA/AFD/GON Exchange gains Total financing 3rd Quarter 2011 Note IDA + AFD GON Total IDA + AFD Forecast: next six months Cumulative GON Total 1 2 194,500 11,255 205,755 100,000 0 100,000 294,500 11,255 305,755 994,500 24,510 1,019,010 300,000 0 300,000 1,294,500 24,510 1,319,010 950,000 12,000 962,000 3 68,147 0 197,000 265,147 29,116 0 50,500 79,616 97,263 0 247,500 344,763 138,000 0 217,500 355,500 46,116 0 50,500 96,616 184,116 0 268,000 452,116 340,108 302,300 290,000 932,408 Receipts less payments Add: Net foreign exchange gain/(loss) Net change in cash -59,392 0 -59,392 20,384 0 20,384 -39,008 0 -39,008 663,510 0 663,510 203,384 0 203,384 866,894 0 866,894 29,592 0 29,592 Statement of fund balances Opening cash and bank balances Cash at hand Local currency account Designated (Special) Account Total opening cash and bank balances Add: Net change in cash Net cash available 0 0 651,580 651,580 -59,392 592,188 843 138,159 0 139,002 20,384 159,386 843 138,159 651,580 790,582 -39,008 751,574 0 0 0 0 663,510 663,510 0 0 0 0 203,384 203,384 0 0 0 0 866,894 866,894 647 122,169 516,683 639,499 29,592 669,091 0 0 516,683 516,683 647 122,169 0 122,816 647 122,169 516,683 639,499 0 0 516,683 516,683 647 122,169 0 122,816 647 122,169 516,683 639,499 200 134,871 384,520 519,591 0 38,000 38,000 554,683 -38,000 -38,000 84,816 0 0 0 639,499 38,000 38,000 554,683 -38,000 -38,000 84,816 0 0 0 639,499 0 519,591 Less: Payments by component/category 1. Financial Management Systems 2. Service Delivery with employment opportunities 3. Project Management Total payments Closing cash and bank balances Cash at hand Local currency account Designated (Special) Account Total opening cash and bank balances Advances unaccounted for Advances at beginning of quarter Advances at end of quarter Movement in advances Total assets 4 5 Notes 1 Elaborate 2 3 4 5 Explanatory notes can be given as considered necessary intended to make readers understand the message. A notes column can be used to number those lines explanatory notes relate to. An additional statement showing uses of funds by activities should also be inserted within the main text or attached as an annex. This statement should compare budget and actual for the quarter, cumulative and project life per activity. The component/category totals should reconcile with the payment component/category figures in the statement above. A Microsoft excel file with template sheets labelled as “Sources and Uses of Funds Statement” and “Annex2-Detailed payments” is provided. These templates should be tailored to suit project specific circumstances. Page 207 XYZ Project Quarterly Progress Report For the quarter ended 30 September 2013 An illustrative of a statement showing uses of funds by project activities Xa Yb Zc (XYZ) Project Statement showig Uses of Funds by Project Activities- For the Quarter ended 30 September 2011 Government of Nigeria (Amounts in US$) 3rd Quarter 2006 Project (GON+IDA+AFD) Budget Actual Var(B-A) B%A 1. Financial Management Systems 1.1 Consultants 1.2 Workshops, seminars and training 1.3 Vehicles, furniture and equipment 1.4 Training on Financial Management Component 1 sub-total Budget Cumulative IDA+AFD Actual Var(B-A) B%A 37,700 38,500 54,200 0 130,400 22,912 36,440 37,911 0 97,263 14,788 2,060 16,289 0 33,137 61% 95% 70% 0% 75% 11,200 19,300 35,000 0 65,500 7,637 24,400 36,110 0 68,147 42,100 19,650 23,300 85,050 0 0 0 0 42,100 19,650 23,300 85,050 0% 0% 0% 0% 14,033 6,550 7,767 28,350 0 0 0 0 14,033 6,550 7,767 28,350 0% 0% 0% 0% 3. Project Management 3.1 Construction 3.2 Equipment Component 3 sub-total 262,119 229,500 36,000 18,000 298,119 247,500 32,619 18,000 50,619 88% 191,780 179,000 50% 36,000 18,000 83% 227,780 197,000 12,780 18,000 30,780 93% 50% 86% Total project expenditure 513,569 344,763 168,806 158% 321,630 265,147 2. Service Delivery 2.1 Consultant's training budget 2.2 Training evaluation 2.3 Training materials and curriculum development Component 2 sub-total 3,563 68% -5,100 126% -1,110 103% 0 0% -2,647 104% Project (GON+IDA+AFD) Budget Actual Var(B-A) B%A 121,300 87,433 56,000 46,650 458,000 50,033 0 0 635,300 184,116 72% 70,000 62,300 83% 40,000 37,000 11% 332,500 38,700 0% 0 0 29% 442,500 138,000 0% 0% 0% 0% 14,033 6,550 7,767 28,350 B%A Project life/FPP Grant Project (GON+IDA+AFD) Actual Var(B-A) B%A 7,700 3,000 293,800 0 304,500 89% 93% 12% 0% 31% 150,000 400,000 550,000 900,000 2,000,000 150,000 87,433 400,000 46,650 550,000 50,033 900,000 0 2,000,000 184,116 62,567 353,350 499,967 900,000 1,815,884 58% 12% 9% 0% 9% 0 0 0 0 14,033 6,550 7,767 28,350 0% 0% 0% 0% 800,000 300,000 900,000 2,000,000 950,000 150,000 900,000 2,000,000 0 0 0 0 950,000 150,000 900,000 2,000,000 0% 0% 0% 0% 23,300 3,000 26,300 89% 87% 89% 8,000,000 1,000,000 9,000,000 7,800,000 248,000 1,200,000 20,000 9,000,000 268,000 7,552,000 1,180,000 8,732,000 3% 2% 3% 13,000,000 13,000,000 452,116 12,547,884 12% 0 0 0 0 42,100 19,650 23,300 85,050 340,200 248,000 43,122 20,000 383,322 268,000 92,200 23,122 115,322 73% 220,800 197,500 46% 23,000 20,000 70% 243,800 217,500 56,483 191% 1,103,672 452,116 651,556 99% 714,650 355,500 Page 208 42,100 19,650 23,300 85,050 33,867 9,350 407,967 0 451,184 Budget Revised project budget IDA+AFD Actual Var(B-A) 359,150 120% XYZ Project Quarterly Progress Report For the quarter ended 30 September 2013 The following table (illustrating an example) can be used to explain the status of the IDA advance: Authorised advance Exchange gain on transfer USD 500,000 13,255 513,255 Amount in Designated (Special) Account Eligible expenditures paid but not yet claimed Eligible expenditures claimed but not yet received Ineligible expenditure paid – under resolution 204,099 117,907 156,850 34,389 513,255 The balance of IDA Special Account plus SOEs in transit (i.e., amounts spent but either not claimed or claimed but funds not yet received from IDA) should add up to the amount of the advance. Any adjustments or discrepancies should be explained as a footnote or separate attachment to this Table. In addition, reasons should be given for unusual items like ineligible expenditure paid under resolution. Section 5 – Procurement Provide details with regards to the following: Overall performance of the procurement function; Various procurement activities undertaken and their status; Implementation problems encountered Note: Summary procurement tables for goods, works and consultants should be attached. An example of a summary procurement table for goods is attached at annex II. A Microsoft excel file with a template sheet labelled as “Annex3-Proc tables” and “Annex2-Detailed payments” is provided. The template should be tailored to suit project specific circumstances. Section 6 – Next steps Provide a plan of activities for the next quarter 209 XYZ Project Quarterly Progress Report For the quarter ended 30 September 2013 (Example – with arbitrary figures) Xa Yb Zc (XYZ) Project Physical outputs - As at 30 September 2013 Government of Nigeria (Cost in US$'000) Target Component/activity Units (if not apparent) 1. Financial Management Systems 1.1 Consultants 1.2 Workshops, seminars and training Workshops Seminars International training courses 1.3 Vehicles, furniture and equipment Vehicles Computers Generators 1.4 Training on Judicial Management Senior judges Grade 2 magistrates 2. Service Delivery 3.1 Construction/ Note 1 Roads - Rivers Agricukltural Scheme - Rivers 3.2 Equipment Generators Computers % completion % completion Achievement Achievement as % of target To start of During To start of During During Total project reporting reporting reporting reporting reporting life period period period period Total todate period Total todate Comments Units Cost Units Cost Units Cost Units Cost Units Cost Units Cost Units Cost Units Cost 4 150 2 75 1 37 1 54 1 33 2 87 100% 89% 50% 58% 5 4 10 250 40 110 2 3 5 100 30 55 0 1 2 0 13 25 0 1 0 0 10 0 0 1 2 0 16 20 0 2 2 0 26 20 0% 0% 100% 123% 100% 80% 0% 50% 20% 0% 65% 18% 12 45 8 276 130 144 12 45 0 276 130 0 0 0 3 0 0 54 0 0 0 0 0 0 0 2 0 0 38 0 0 2 0 0 38 0% 0% 67% 0% 0% 70% 0% 0% 25% 0% 0% 26% 400 400 450 450 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0% 0% 0% 0% 0% 0% 0% 0% 1 1 375 375 30% 30% 112 112 30% 30% 112 112 0 20% 0 85 0 187 0% 100% 0% 91% 0 50% 0% 50% 208 10 600 600 Note 1: Unit of measurement is % completetion for large constructions Note 2: elaborate Page 210 0 30% 0 0 102 50% XYZ Project Quarterly Progress Report For the quarter ended 30 September 2013 Annex II (Example – with arbitrary figures) Xa Yb Zc (XYZ) Project Summary procurement plan Procurement of goods Contract CP description 1 Pick up double Cabin 4WD Vehicles & Spare 2 Computers, Communications & Visual 27-30, (ICT) 3 Audio 1 Generator 4 10 Gen 12-18 and 10 Gen. 5-8KVA 271 Unit Generator Unit PIU Quantity 31 Budget (US$) 700,600 PIU 50 156,900 PIU 21 PIU Meothod ICB 6 Unit Station Wagon 4WDVehicle & Spare Parts& Computers 7 printers Power Supply Supply (UPS) Power Technical Proposal opening Send out RFP Technical evaluation complete Final evaluation complete Contract singed Complete assignment 20/05/2006 20/05/2006 29/05/2006 29/05/2006 11/07/2006 11/07/2006 22/07/2006 14/08/2006 12/08/2006 18/08/2006 12/11/2006 21/09/2006 Received /sent to LIUs 08/10/06 632,500 Golden Arrow NCB Plan Actual 20/05/2006 20/05/2006 29/05/2006 29/05/2006 27/06/2006 27/06/2006 13/07/2006 12/08/2006 07/08/2006 29/08/2006 17/09/2006 08/10/2006 197,806 Compuart/Solarman Cos 93,150 NCB Shopping 19/06/2006 19/06/2006 07/06/2006 18/07/2006 18/07/2006 14/06/2006 30/07/2006 23/07/2006 21/06/2006 21/08/2006 28/08/2006 02/07/2006 30/09/2006 27/09/2006 10genset SWITCH delivered 04/07/2006 Diesel Generators Co/SWITCH 16,000 10/06/2006 10/06/2006 N/A 125,656 1 Plan Actual Plan PIU 1 35,000 Shopping Actual Plan 20/06/2006 07/06/2006 25/07/2006 14/06/2006 07/07/2006 22/06/2006 10/07/2006 08/07/2006 18/07/2006 08/07/2006 Received & Installed 25/07/2006 LIU Various 21,000 Price comparison Actual Plan 20/05/2006 N/A 19/09/2006 N/A 24/09/2006 01/07/2006 05/07/2006 15/07/2006 17/07/2006 LIU Various 1,500 Price comparison Actual Plan 20/05/2006 N/A 25/07/2006 N/A 08/1-12/06 01/07/2006 15/08/2006 05/07/2006 15/07/2006 17/07/2006 Actual 20/05/2006 25/07/2006 08/1-12/06 15/08/2006 (UPS) Totals 18,000 Different Co 1,450 Different Co 992,284 Selection of consultants Contract Budget CP description (US$) Method Plan 8 Start up Workshops and 200,000 Capacity Building NCB Training Actual Plan 9 Community mediation200,000 and facilitation ICB Actual Totals 400,000 1 2 16,872 Mago Eng Trading Co waiting budget revision 1,024,150 Notes: Contract amount (US$) Supplier name Plan Actual 30, Soundproof 5 Start document Prep Start document Send out Prep RFP 31/05/2006 21/08/2006 01/06/2006 03/08/2006 31/05/2006 21/08/2006 01/06/2006 03/08/2006 Technical Proposal opening 19/09/2006 04/09/2006 19/09/2006 04/09/2006 Technical Final evaluation evaluation Contract Complete complete complete singed assignment 11/10/2006 15/11/2006 14/01/2007 14/09/2006 10/10/2006 11/10/2006 15/11/2006 14/01/2007 12/09/2006 10/10/2006 Contract amount (US$) 188,150 EDATO/REED 386,853 Prior review threshlods: Goods US$ 50,000; Consultants US$ 100,000 Exchange rate used for contracts expected to be in local currency: US$ 1: SDD 210 Page 211 Supplier name 198,703 DIG Annex 17: Sample TOR for the Audit of Project Accounts Objective The objective of the audit of the Project Financial Statement (PFS) is to enable the auditor to express a professional opinion of the financial position of (Name of Project) at the end of each fiscal year and of the funds received and expenditures for the accounting period ended mm/dd/yy, as reported by the Project Financial Statement [as well as an opinion on the Statement of Expenditures] The project accounts (book of account) provided that basis for preparation of the (Name of Project) and are established to reflect the financial transactions in respect of the project, as maintained by the SPIU (names of SPIU) and subsequently the regulatory bodies. Scope The audit will be carried out in accordance with International Standards of Auditing, and will include such tests and controls as the auditor considers necessary under the circumstances. In conducting the audit, special attention should be paid to the following: a) All external funds have been used in accordance with the conditions of the relevant financing agreements, with due attention to economy and efficiency, and only for the purposes for which the financing was provided. Relevant financing agreements are set out in the Financing Agreement for the (Name of the Project) (Credit No. _______) and the supporting disbursement letter. b) Counterpart funds have been provided and used in accordance with the relevant financing agreements, with due attention to economy and efficiency, and only for the purpose for which they were provided. c) Goods, works and services financed have been procured in accordance with the relevant financing agreement. d) All necessary supporting documents, records, and accounts have been kept in respect of all project ventures [including expenditures reported via SOEs or SAs]. Clear linkages should exist between the books of account and reports presented to the Bank. e) Where Special Accounts have been used, they have been maintained in accordance with the provisions of the relevant financing agreement. f) The project accounts have been prepared in accordance with consistently applied International Accounting Standards and give a true and fair view of the financial situation of the project at mm/dd/yy and of resources and expenditures for the year ended on that date. 212 The Project Financial Statements should include a) Summary of Funds received showing the World Bank, project funds from other donors, and counterpart funds separately b) Summary of Expenditures shown under the main project headings and by main categories of expenditures, both for the current fiscal year and accumulated to date: and c) Balance sheet showing Accumulated Funds of the Project back balances other assets of the project, and liabilities, if any. As an annex to the Project Financial Statements, the auditor should prepare a reconciliation between the amounts shown as "received by the project from the World Bank" and that shown as being disbursed by the Bank. As part of that reconciliation, the auditor should indicate the mechanism for the disbursement i.e. Special Accounts, Statements of Expenditures, or direct reimbursement. Statement of Expenditures In addition to the audit of the PFS, the auditor is required to audit all SOEs used as the basis for the submission of withdrawal applications. The auditor should apply such tests and controls as the auditor considers necessary under the circumstances. These expenditures should be carefully compared for project eligibility with the relevant financing agreements and with reference to the Staff Appraisal Report for Guidance when considered necessary. Where ineligible expenditures are identified as having been included in withdrawal applications and reimbursed against, these should be separately noted by the auditor. Annexed to the Project Financial Statements should be a schedule listing individual SOE withdrawal applications by specific reference number and amount. The total withdrawals under the SOE procedure should be part of the overall reconciliation of Bank disbursements described above. Special Accounts In conjunction with the audit of the Project Financial Statements, the auditor is also required to audit the activities of the Special Accounts associated with the project. The Special Accounts usually comprise a) b) c) d) Deposit and replenishments received from the Bank Payments substantiated by withdrawal applications Interest that may be earned from the balances and which belong to the borrower; and The remaining balanced at the end of each fiscal year. The auditor must form an opinion as to the degree of compliance with the Bank's procedures and the balance of the Special Account at year-ended. The audit should examine the eligibility and correctness of financial transactions during the period under review and fund balances at 213 the end of such a period. The operation and use of SA in accordance with the financing agreement and the adequacy of internal controls for this type of disbursement mechanism. For this project the Special Accounts are referred to in [the disbursement letter] of the relevant financing agreements. Special Accounts statements and the auditor's report should wit the Project Financial Statements. Audit Opinion Besides a primary opinion on the Project Financial Statements, the annual audit report of the Project Accounts should include a separate paragraph commenting on the accuracy and propriety of expenditures withdrawn under SOE procedures and the extent to which the Bank can rely on SOEs as a basis for loan disbursement. The financial statements, including the auditor report, should be received by the Bank no later than [three to six] months after the end of the accounting period to which the audit refers. The auditor should submit the report to the borrowers designated agent rather than to any staff member of the project entity. The agent should the promptly forward two copies of the audited accounts and report to the Bank. Management Letter In addition to the audit reports, the auditor will prepare a "management letter" in which the auditor will: a) Give comments and observations of the accounting records, systems and controls that were examined during the course of the audit. b) Identify specific deficiencies and areas of weakness in systems and controls and make recommendation for their improvement. c) Report on the degree of compliance of each of the financial covenants on the financing agreement and give comments, if any, on internal and external matters affecting such compliance. d) Communicate matters that have come to attention during the audit which might have a significant impact on the implementation of the project. e) Bring to the borrower's attention any other matters that the auditors considers pertinent. General The auditor should be given access to all legal documents, correspondence, and any other information associated with the project and deemed necessary by the auditor. Confirmation should also be obtained of amounts disbursed and outstanding at the Bank. The Task Team Leader can assist in obtaining these confirmations. 214 It is highly desirable that the auditor become familiar with a copy of the Bank's Guidelines on Financial Reporting and Auditing of Projects Financed by the World Bank, which summarises the Bank's financial reporting and auditing requirements. The auditor should also be familiar with the Bank's Disbursement Manual. The Task Team Leader will provide both documents. 215 Annex 18: Sample TOR for the Information, Education & Communications Specialist The Information Education Communication (IEC) Specialist will be responsible for the development and management of a robust IEC program to inform and educate both the public service and the general public on RAMP-2. Specific duties will entail; a) Develop IEC strategies with regard to federal level communication, and work plans. b) Serve as the IEC link between the various components of the project c) Serve as the IEC link between the focal points and the SPIU d) Aggregate IEC initiatives of various MDAs and prepare a consolidated budget. e) Identify competent organizations to prepare IEC materials f) Monitor follow-up production and distribution of IEC materials across the various beneficiaries. g) Supervise IEC consultants as required and implementation of the component. h) Arrange periodic process and impact evaluation of communication initiatives. i) Identify and document “Lessons Learned and Good Practice” at all levels and disseminate appropriately. j) Collaborate with the M&E specialist to collect and disseminate survey/assessment related information. k) Support the Public Relations Officer of the various beneficiaries as needed Annex 19: Template for Contracts Awarded by ICB Rural Access and Mobility Project Federal Republic of Nigeria Project Number: Bid/Contract Reference No: Scope of Contract: Duration of Contract: Evaluation Currency: Awarded Bidder(s) Name: Address*: Bid price at bid opening: Evaluated Bid Price (in evaluation currency): Contract Price (in evaluation currency): Evaluated Bidder(s) Name: Address: Bid price at bid opening: Evaluated bid price (in evaluation currency): Name: Address: Bid price at bid opening: Evaluated bid price (in evaluation currency): … Rejected Bidder(s) Name: Address: Bid price at bid opening: Reason(s) for rejection: Name: Address: Bid price at bid opening: Reason(s) for rejection: *At least the city & country 217 Annex 20: Table7. Identification 1.1 Name of Borrower 1.2 Loan/Credit number 1.3 Date of effectiveness 1.4 Closing date (a) original (b) revised 1.5 Name of project 1.6 Purchaser (or Employer) (a) name (b) address 1.7 Contract number (identification) 1.8 Contract description 1.9 Cost estimate 1.10 Method of procurement (check one) 1.11 ICB LIB Other Prior review required Yes No 1.12 Domestic preference allowed Yes No 1.13 Fixed price contract Yes No 1.14 Co-financing, if any: (a) agency name (b) percent financed by agency 218 Annex 21: Table 8. Bidding Process 2.1 General Procurement Notice (a) first issue date (b) latest update 2.2 Pre-qualification, if required (a) number of firms pre-qualified (b) date of Bank’s no-objection 2.3 Specific procurement notice (a) name of national newspaper (b) issue date (c) name of international publication (d) issue date (e) number of firms separately notified 2.4 Standard Bidding Document (a) title, publication date (b) date of Bank’s no-objection (c) date of issue to bidders 2.5 Number of firms issued bidding documents 2.6 Amendments/Clarifications to documents, if any (a) list all issue dates (b) date(s) of Bank’s no-objection 2.7 Date of pre-bid conference, if any 2.8 Date minutes of conference sent to bidders and Bank 1. 1. 2. 2. 3. 3. 219 Annex 22: Table9. Bid Submission and Opening 3.1 Bid submission deadline (a) original date, time (b) extensions, if any 3.2 Bid opening date, time 3.3 Record of bid opening, date sent to Bank 3.4 Number of bids submitted (a) of which how many withdrawn by bidders prior to bid submission date 3.5 Number of bids submitted late and returned to bidders unopened 3.6 Bid validity period (days or weeks) (a) originally specified (b) extensions, if any (c) date of Bank’s “noobjection”, if required The following items should be filled in the case of Two-Stage Bidding only 3.7 Date of World Bank “noobjection” to first stage bid evaluation 3.8 Bidders not invited to submit second stage bids (list names of bidders) 3.9 Date of invitation to submit second stage bids 220 Annex 23: Table10. Bid Prices (as Read out from Bid Form) Name (a) Bidder Identification City/State or Province (b) Country (c) Read-out Bid Price(s) Currency(ies) Amount(s) (d) (e) Modifications or Comments1 (f) etc. 1 Describe any modifications to the read-out bid price, such as discounts offered, withdrawals, and alternative bids. Note also the absence of any required bid security or other critical items. Annex 24: Table11. Bid Prices (as Recorded in the Grand Summary Cost Table) Bidder Identifications Name City/State or Province (a) (b) Country (c) Supply & Installation & Recurrent Costs Prices(s) Recurrent Costs Supply & Installation Costs Currency(ies) (d) Amount(s) (e) etc. 1 Describe any modifications to the prices, and reasons for the modifications. Currency(ies) (f) Amount(s) (g) Modifications or Comments1 (h) Annex 25: Table12. Bid Examination and Evaluation1 Bidder (a) Preliminary Examination of Bids2 Verification Eligibility Bid Security Completeness of Bid (b) (c) (d) (e) Substantial Technical and Commercial Responsiveness3 (f) Acceptance for Detailed Evaluation (g) etc. 1 The Bid Evaluation Report should, in addition to this table, include a detailed narrative related to this table, including discussion of rejection of bids. 2 Bids that fail Verification, Eligibility, Bid Security, and/or Completeness of Bid requirements, should not be examined further, and not subjected to further evaluation. 3 The Bid Evaluation Report should include detailed narrative on any deviations to the commercial and the mandatory technical specifications. Minor deviations should be noted, while major and material deviations should be highlighted and a reason for any rejections presented in the report. Annex 26: Table13. Corrections and Unconditional Discounts (Supply & Installation Costs) Bidder Supply & Installation Price Currency(ies) (a) (b) Corrections Amount(s) Computational Provisional Errors1 Sums (c) (d) (e) Corrected Supply & Installation Price(s) Unconditional Discounts2 Corrected/Discounte d Supply & Installation Price(s) Percent Amount(s) (f) = (c) + (d) (e) (g) (h) (i) = (f) – (h) etc. Note: Only bids accepted for detailed evaluation (Table 12, column g) should be included in this and subsequent tables. Columns a, b, and c are from Table 17 (columns a, d, and e, respectively). 1 Corrections in column d may be positive or negative. 2 If the discount is offered as a percent, column h is normally the product of the amounts in columns f and g. If the discount is provided as an amount, it is entered directly in column h. A price increase is a negative discount. Discounts applied against the bid price should be recorded against the Supply & Installation price. Annex 27: Table14. Corrections and Unconditional Discounts (Recurrent Costs) Bidder Recurrent Costs Price Currency(ies) (a) (b) Corrections Amount(s) Computational Provisional Errors1 Sums (c) (d) (e) Corrected Recurrent Costs Price(s) Unconditional Discounts2 Corrected/Discounte d Recurrent Costs Price(s) Percent Amount(s) (f) = (c) + (d) (e) (g) (h) (i) = (f) – (h) etc. Note: Columns a, b, and c are from Table 11 (columns a, f, and g, respectively). 1 Corrections in column d may be positive or negative. 2 If the discount is offered as a percent, column h is normally the product of the amounts in columns f and g. If the discount is provided as an amount, it is entered directly in column h. A price increase is a negative discount. Annex 28: Table15. Exchange Rates Currency Used for Bid Evaluation: Effective Date of Exchange Rate: Authority or Publication Specified for Exchange Rate: Note: Attach copy of exchange rates provided by specified authority or publication. Annex 29: Table 16.Currency Conversion (Supply & Installation Price) Specify Evaluation Currency: Bidder Currency(ies) of Bid Corrected/Discounted Supply & Installation Price(s) Applicable Exchange Rate(s)1 (a) (b) (c) (d) etc. Note: Columns a, b and c are from Table 17, columns a, b and i. 1 Column d is from Table 15. 2Columnf is the sum of prices in column e for each bidder. Evaluation Currency Supply & Total Supply & Installation Installation Price2 Price(s) (e) = (c) x (d) (f) Annex 30: Table 17. Currency Conversion (Recurrent Costs Price) Specify Evaluation Currency: Bidder Currency(ies) of Bid (a) (b) Corrected/Discounted Recurrent Costs Price(s) (c) etc. Note: Columns a, b and c are from Table 16, columns a, b and i. 1 Column d is from Table 15. 2Column f is the sum of prices in column e for each bidder. Applicable Exchange Rate(s)1 (d) Evaluation Currency Recurrent Costs Total Recurrent Price(s) Costs Price2 (e) = (c) x (d) (f) Annex 31: Table 18. Additions, Adjustments, and Priced Deviations (Supply & Installation Price) Specify Evaluation Currency: Bidder (a) Corrected/Discounted Supply & Installation Price1 (b) Additions2 Adjustments2 Priced Deviations2 (c) (d) (e) Total Supply & Installation Price3 (Adjusted Bid Price P) (f) = (b) + (c) + (d) + (e) etc. 1 Columnb is from Table 17, column f. Each insertion in columns c, d, or e should be footnoted and explained in adequate detail, accompanied by calculations. 3 Column f is termed “Adjusted Bid Price (P)”. 2 Annex 32: Table 19. Additions, Adjustments, and Priced Deviations (Recurrent Costs Price) Specify Evaluation Currency: Bidder Corrected/Discounted Recurrent Costs Price1 Additions2 Adjustments2 Priced Deviations2 (a) (b) (c) (d) (e) Total Recurrent Net Present Value Costs Price of Recurrent (Adjusted Bid Price Costs3 (R) P) (f) = (b) + (c) + (d) + (g) (e) etc. 1 Column b is from Table 17, column f Each insertion in columns c, d, or e should be footnoted and explained in adequate detail, accompanied by calculations. 3Columng is computed using formula indicated in ITB 28.6(d). Computation should be shown on separate sheet attached to the Bid Evaluation Report. 2 Annex 33: Table20. Evaluated Bid Price (C) Specify Evaluation Currency: Bidder Adjusted Bid Price1 (P) (a) (b) Net Present Value of Recurrent Costs2 (R) (c) etc. 1 From Table 18, column f From Table 19, column g 3 Column f is termed “Evaluated Bid Price (C)” as indicated in ITB 28.6. 2 Total3 (Evaluated Bid Price C) (d) = (b) + (c) Annex 34 :Table 21. Domestic Preference for Goods Specify Evaluation Currency: Bidder (a) Total Price1 (b) Prevailing Tariff (%)2 (c) Domestic Preference (%) (d) Preference Price (e)=(b) * (d) Total Comparison Price (f) = (b) + (e) etc. 1 2 Column c is from Table 20, column d. Column c is the sum of duties and import taxes on the particular items or group of similar items as a percent of the CIF or CIP price. Annex 35 :Table 22. Detailed Scoring Sheet Bidder Name: [Insert name of Bidder]1 Category2 Feature3 (a) (b) 0 (c) Scoring Scale (Ratings and Scores Assigned)4 1 2 3 (d) (e) (f) Total 4 (g) (h) Subtotal By Category5 etc. 1 There should be a separate sheet for each bidder. The Bid Evaluation Report should include a narrative on each bidder in reference to evaluation scores, and the bid evaluation committee’s determination of responsiveness of bids within the scoring scale. 2 Insert Category and Feature names as indicated in the actual bidding document (ITB 28). Additional rows may be needed, depending on number of categories. 3 Insert features names as indicated in the actual bidding document (ITB 28), for each Category. Additional rows may be needed, depending on number of features. 4 The scoring scale is described in ITB 28.5(d). This report should include the full scale used by evaluators, and should highlight the score given by the evaluation committee for each scored category/feature. 5 Add scores for each Category as a sub-total. If feature scores are not weighted, carry forward to Table 24, “Score” column Annex 36 :Table 23. Feature Weighted Scores (S) (If Applicable) 1 Use only if Feature Scores are weighted within a Category Bidder Category2 Feature Feature Weight [Insert name of Bidder 1] Weighted Feature Feature Score3 Score4 [Insert name of Bidder 2] Weighted Feature Feature Score Score [Insert name of Bidder 3] Weighted Feature Feature Score Score [Insert name of Bidder 4 etc.] Weighted Feature Feature Score Score Subtotal by Category5 etc. 1 As indicated in ITB 28.5 (e) and the BDS of the actual bidding document Category and Feature names as indicated in the actual bidding document (ITB 28). Additional rows may be needed, depending on number of categories/features. 3 From Table 22, column h. 4 Derived by multiplying Feature Weight by Feature Score 5 Add weighted scores for each Category as a sub-total and carry forward to Table 24, “Score” column 2 Insert Annex 37 :Table 24. Technical Bid Score (T) [Insert name of Bidder 1] Bidder Category1 Category Weight 2 Technical Bid Score5 (T) 1 Score3 LEAVE BLANK Weighted Score4 [Insert name of Bidder 2] Score LEAVE BLANK Weighted Score [Insert name of Bidder 3] Score LEAVE BLANK Weighted Score [Insert name of Bidder 4] Weighted Score Score LEAVE BLANK Insert Category names as indicated in the actual bidding document (ITB 28). Additional rows may be needed, depending on number of categories. 2 As indicated in the BDS of the actual bidding document. 3 From Table 23, “Weighted Score” columns (see footnote 5 for Table 23), or for from Table 22 column h. 4 Derived by multiplying Category Weight by Category Score. 5 Technical Bid Score (T) is derived as the addition of the values in the column titled “Weighted Score”. Annex 38 :Table 25. Combined Evaluation – Evaluated Bid Score (B) Insert Weight for the Price (X) as indicted in the BDS: Insert Weight for the Technical Score (1-X) as indicated in the BDS: Bidder (a) Evaluated Bid Price (C) Technical Bid Score (T) (b) 1 (c) 2 Clow X C (d)3 T (1 X ) Thigh (e)4 Evaluated Bid Score (B) (f)=(d)+(e) etc. Award Recommendation5 1 Award to highest Evaluated Bid Score (B) Bidder’s Name: From Table 20, column d, or Table 21 column f if domestic preference applies. From Table 24. 3C low is the lowest Evaluated Bid Price (C). 4T high is the Highest Technical Bid Score (T). 5 Bidder with Highest Evaluated Bid score will be termed the “Lowest Evaluated Bidder” as indicated in ITB 28.4, and be eligible for award subject to ITB 31 (Post-qualification), and ITB 32 (Award Criteria). 2 Annex 39 :Table 26. Proposed Contract Award 1. Lowest evaluated responsive bidder (proposed for contract award). (a) name (b) address 2. If bid submitted by agent, list actual supplier. (a) name (b) address 3. If bid from joint venture, list all partners, nationalities, and estimated shares of contract. 4. Principle country (ies) of origin of goods/materials. 5. Estimated date (month, year) of contract signing. 6. Estimated delivery to project site/completion period. Currency(ies) 1 2 3 4 7. Bid Price(s) (Read-out)1 8. Evaluated Bid Price2 9. Other Adjustments3 10. Proposed Award 11. Disbursement Category4 Amount(s) From Table 10, columns d and e. From Table 20, column d. All adjustments should be explained in detail From the Loan Agreement 194 Annex 40: Table 27. CHECKLIST PREPARATION OF TERMS OF REFERENCE Important Components to ensure clarity, consistency and preparation of good contracts ITEM 1 2 SUBJECT AREA Title Background YES/NO YES/NO 3 Source of funds Yes/NO 4 Objectives YES/NO 5 YES/NO 6 Scope and methodology/Specific Tasks Estimated Time Frame YES/NO Guides consultant to determine availability of key staff and to reprogramme their activities 7 Staff Requirement YES/NO 8 Estimated time in-puts (personmonths)/professional time inputs YES/NO 9 Resources, data, information to be made available to consultant by client Expected output/Reports and time of deliverables YES/NO Academic, professional and work experience (1) Important basis to determine cost of assignment (2) Guides the preparation of RFP and Draft contract (3) This is not the same as time duration and must be estimated by experts Partly facilitates pricing 10 YES/NO COMMENTS Helps consultants to focus General guiding information to consultants Consultants are always interested to know this Summarises immediate and long term goal Guides consultant to constitute team and provide a strong basis for pricing Clearly defined outputs/deliverables and reports should always be specified Time expected for these deliverables should be specified, to whom, no. of copies etc. Payments are normally tied to outputs 195 Annex 41: CDD MOU Sample MEMORANDUM OF UNDERSTANDING (MOU) BETWEEN THERAMP-2 PROJECT AND [X] STATE [FADAMA III/CSDP] PROJECT OFFICE INTRODUCTION The [FADAMA III/CSDP] Project is a World Bank assisted Project currently operating in [x] out of the [x] Local Government Areas in [x] State. The following arrangements have been agreed upon: I. INSTITUTIONAL ARRANGEMENT Some of the activities of the Components 1 & 2 of RAMP-2 will be implemented through the institutional arrangement of the [FADAMA III/CSDP project]. Selection of benefitting communities; The RAMP-2 will be responsible for the selection of Road Rehabilitation Project in the communities following the laid down criteria as stipulated by RAMP-2 PAD and Project Implementation Manual (PIM). Selection of Road Maintenance Group; The RAMP-2 will be responsible for the selection of Road Maintenance groups/communities in consultation with FADAMA III project following the laid down criteria as stipulated by RAMP-2 PAD and Project Implementation Manual (PIM). II. GEOGRAPHICAL COVERAGE RAMP-2 will provide financing for the selected Projects enabling additional interventions in LGAs already covered by the [FADAMA III/CSDP] Project. [States will adopt a narrow or wide scope for RAMP-2 funding]. The Local Government Areas eligible for RAMP-2 funding are as follows: III. [x] [x] .... FINANCIAL MANAGEMENT Funds shall be released by RAMP-2 directly to the project beneficiaries based on approval of activities in the Annual Work Plan and Budget. For proper documentation, the original Payment Voucher for all expenditures shall be domiciled at the RAMP-2 project office, while [FADAMA III/CSDP] office retains photocopies. Without prejudice to the State financial processes, release of funds shall be for eligible expenditures and follow approved World Bank procedures as documented in the financial procedures manual. IV. PROCUREMENT The Procurement Unit of the RAMP-2 will carry out all procurement activities related to the Component 1& 2 of RAMP-2.. All procurements under the project shall comply with World Bank procurement guidelines as enshrined in the RAMP-2 Project financing agreement. 196 All procurements subject to prior reviews shall be sent to the FPMU for review/comments before submitting through the State PC to the RAMP-2 TTL for review and “No Objection V. MONITORING AND EVALUATION M&E organization and data collection: Data for the Component 1 & 2 of RAMP-2 output and interventions will be collected using existing [FADAMA III/CSDP] monitoring and evaluation systems and tools. M&E will be managed by [FADAMA III/ CSDP] M&E officers, while SPIU officers will be responsible for quality control. M&E framework Project M&E indicators will be updated by the FPMU team and shared with SPIU and the [FADAMA III/ CSDP] team. M&E Implementation Joint supervision efforts - can agree on checklists and reporting template. Debrief meeting to be used to consolidate findings and come up with joint report. The state [FADAMA III/ CSDP] M&E officers will be responsible for data collection, analysis and reporting to SPIU at the state level. Systems for validating data will be jointly agreed with guidance from FPMU. Outcome evaluation for the Component 2 of RAMP-2 should be jointly planned with guidance from FPMU RAMP2 team on a standardized basis. The SPIU, [FADAMA III/ CSDP] teams at state level can adapt to their context as necessary. Reporting and Communication Six-monthly review meetings will be held at state level. [FADAMA III/ CSDP] M&E teams will report data on project output indicators to SPIU teams monthly. SPIU teams will collate all reports and submit to FPMU while providing feedback to [FADAMA III/ CSDP] M&E teams every quarter. VI. COMMUNICATION The Communication Officer of the [FADAMA III/CSDP] project will be responsible for the communication strategy for the sub-components to be adopted in collaboration with the FPMU and SPIU Communication Officers. VII. CAPACITY BUILDING As part of learning events, some staff of the SPIU will participate in initial sensitization programmes organised by the [FADAMA III /CSDP] project in order to upgrade their understanding of the processes involved. VIII. SAFEGUARDS The Safeguard Officer of the FADAMA III/CSDP Project will be responsible for safeguard activities, in line with the ESMF and RPF of the RAMP-2 project. Every quarter a joint supervision of [FADAMA III/CSDP] activities will be conducted between [FADAMA III/CSDP] and RAMP-2 Safeguards Officers. The RAMP-2 Safeguard Officer will assess through this supervision process compliance with safeguards aspects, and will report on activities that have taken place during the last quarter including any concerns to the SPC. IX. REPORTING 197 The [FADAMA III/CSDP] office shall prepare and forward all statutory reports (Including physical progress) on RAMP-2 project activities under [FADAMA III/CSDP] on a quarterly basis to the RAMP-2 project office. Besides, the [FADAMA III/CSDP] project shall also submit other adhoc reports as may be required, to the RAMP-2 project. Copies of all reports are to be forwarded also to the FPMU, Honourable Commissioner, Ministry of [x] and the [FADAMA III/CSDP] offices. SIGNED BY For and on behalf of [x] State RAMP-2 Project SIGNED BY For and on behalf of [x] State [FADAMA III/CSDP] Signature --------------------------Title: Project Coordinator [x]StateRAMP-2 Project Date: Signature -----------------------------Title: Project Coordinator [x] State, [FADAMA III/CSDP] Date: 198 Annex 42: ENVIRONMENTAL AND SOCIAL IMPACT MITIGATION & MONITORING CHECKLIST Type of Monitoring Responsibility Potential Impacts Generic Mitigation Measures Activity Indicators Construction Roads & Drainages : Mitigation & Monitoring Checklist Negative social and Participation of Work with affected communities to economic effects on communities in anticipate and plan for enhanced access to local people and local planning and demand on local public infrastructure communities, such as: and services Unplanned Avoid creating congested and unsafe road commercial conditions at intersections, and in villages development and towns Demand for local public infrastructure and services increases beyond existing capacities Disruption of traditional lifestyles Induced population movements and natural resource exploitation activities, due to improved access (e.g. conversion of forest to pasture, or of sustainable land use to unsustainable, short-cycle cropping; illegal or unsustainable hunting) Displacement of Number of project Work commencement only after payment housing or farms or affected people of compensation involuntary adequately resettlement compensated and resettled Loss of natural areas, Avoid infringing on: Degree of important habitats, biodiversity Critical habitats or areas with significant biodiversity biodiversity (e.g. wetlands) (number of species) in road Protected natural sites and wilderness vicinities areas Extent of critical habitats Damage valuable Avoid areas of cultural, historical, or religious Participation of historic, religious, significance communities in cultural, and Apply chance find procedures in construction local planning archaeological clauses resources SPIU/SPIU Partner/Contra ctors SPIU/SPIU Partner/Contra ctors SPIU/SPIU Partner/Contra ctors/ Ministry of Agriculture/ Rural Development MDAs SPIU/SPIU Partner/Contra ctors 199 Type of Activity Potential Impacts Generic Mitigation Measures Social disruption during construction (e.g. enhanced transmission of STDs and TB) Comprehensive community participation in construction planning and management Education on avoiding communicable diseases/hygiene Use local labour where possible Assess ecology of disease carriers in road corridor, and employ suitable mitigation measures (e.g. proper drainage of construction areas and road sides, effective road maintenance) Creation of stagnant water in construction borrow pits and quarries, and on road sides, that breed disease carriers Impact of road noise on surrounding habitation Dust Contaminate surface water and generate trash due to lack of solid waste management Increased soil erosion leading to sediment in runoff and, possibly, gully formation from: Construction activities such as grading, excavations, and borrowing/quarryin g Inadequate design of culverts and drainage controls Plant 30 meter tree buffer strips between road and surrounding habitation Stabilize the road surface with gravel and other rocky surfacing materials Provide temporary sanitation (e.g. latrine), where this is not possible, instruct crews to employ soil mining (digging a pit for human waste and covering with soil immediately after use) • Collect all solid waste from all site areas and dispose of either in local landfill or well-screened waste pits Design: Use surface drainage controls and mulch on vulnerable surfaces and slopes Line receiving surfaces with stones or concrete Locate and design borrow/quarry sites for erosion control during road construction and future maintenance operations Identify the most environmentally sound source of materials within budget Construction: Limit earth movement and soil exposure to the dry season Balance cut and fill for minimum deposition of earth Provide sedimentation basins Resurface and re-vegetate exposed surfaces Monitoring Indicators Occurrence of illness or disease Occurrence of illness or disease Drive roads after moderate rains to identify areas that collect or gully water Number of community complaints to local authorities about noise Number of community complaints to local authorities about dust Local complaints of excessive waste and odours Responsibility SPIU/SPIU Partner/Contra ctors SPIU/SPIU Partner/Contra ctors SPIU/SA SPIU/SA SPIU/SA Quality of soil/productivit y Integrity of road structures Accidents due to erosion of road SPIU/SA 200 Type of Activity PostConstruction and Operation Potential Impacts Landslides, slumps and slips Accidents and safety risks Generic Mitigation Measures Avoid areas of soil, slope or geological instability and unstable river crossing sites Stabilize slopes by planting vegetation Minimize vertical road cuts Install drainage ditches to divert water away from road Construct basic speed bumps and employ traffic signs where possible Increased soil erosion leading to sediment in runoff and, possibly, gully formation from inadequate maintenance of road surface, ditches, borrow/quarry sites, and drainage and erosion control measures Ensure proper and timely maintenance of erosion control and drainage measures along the road and at borrow/quarry sites Clean out culverts and side channels/run out when they begin to fill with sediment Fill mud holes and pot holes with quality gravel Use water from settling basins and retention ponds for road maintenance Quarry used for construction may become a health hazard Discuss with local community the usefulness of using pits as water collection pits for cattle, irrigation High light issues of disease transmission and the need to prohibit its use for drinking, bathing, and clothes washing Plant 30 meter tree buffer strips between road and village Impact of road noise on village Dust due to traffic Implement agreed dust control measures such as wetting dirt roads, truck washing for trucks exiting site, and monitoring dust emissions Monitoring Indicators Quality of road Degree of erosion Number of accidents reported per month to local government Quality of soil/productivit y Integrity of road structures Accidents due to erosion of road Collection of water in drainage system Occurrence of disease or illness Responsibility SPIU/SA SPIU/SA SPIU/SA SPIU/SA Number of community complaints to local authorities about noise Number of community complaints to local authorities about dust SPIU/SA SPIU/SA Water Supply and Sanitation : Mitigation & Monitoring Checklist Illness or disease related to poor source water quality or from contaminants entering water supply system Ensure that water is fit for drinking (make regular testing a part of the project if possible) Ensure planning, design, and maintenance of supply, sanitation, and wastewater works is appropriate to local needs, and to soil and water table conditions Regular testing (if possible) Involve community in local planning Occurrence of illness or disease SPIU/SA 201 Type of Activity Potential Impacts Monitoring Indicators Generic Mitigation Measures Responsibility process Contaminated soils from disposal of inadequately decomposed wastewaters Contamination of water source supply Groundwater contamination Surface water contamination Involve community in local planning process Ensure planning, design, and maintenance of supply, sanitation, and wastewater works is appropriate to local needs, and to soil and water table conditions Protect groundwater sources from surface runoff (e.g. rainwater, spillage around wells, wastewater from latrines or homes) that may enter as drainage from above or as seepage from below Locate source well away from latrines, septic systems, traditional defecating areas, and animal pens Protect surface water sources from contamination from: o Runoff from nearby agricultural areas (e.g. silt, agrochemicals, animal waste) o Other uses such as bathing, laundering, and animal watering o Garbage and vegetative debris Ensure adequate design, installation, and maintenance of latrines, holding tanks, septic systems and wastewater soak-aways Ensure adequate spacing between latrines and soak-aways Ensure proper maintenance of latrines, holding tanks, septic systems and wastewater soak-aways Locate latrines, septic systems and soakaways at least 30 meters from any water body (e.g. stream, lake, river) Occurrence of illness or disease Occurrence of illness or disease Decrease in production due to water contamination (e.g. stunted growth, no growth) Complaints/pro blems documented form local community Occurrence of illness or disease Decrease in production due to water contamination (e.g. stunted growth, no growth) Occurrence of illness or disease Decrease in production due to water contamination (e.g. stunted growth, no growth) SPIU/SA SPIU/SA SPIU/SA SPIU/SA Waste Management : Mitigation & Monitoring Checklist 202 Type of Activity Potential Impacts Displaced land uses Disruption or destruction of sites of cultural, religious or historical importance Human settlements and land uses near landfill and composting sites Windblown garbage, dust and smoke Increased traffic to/from the sites Odours Containment of water sources Creation of stagnant water sources Creation of stagnant water in project sites that breed disease carriers Loss of natural area, important habitats, biodiversity Soil erosion Generic Mitigation Measures Involve community in locating project sites and access routes as well as developing practices & responsibilities for managing project activities and sites Involve community in locating appropriate project sites and access routes that avoid such resources Involve community in locating project sites and access routes Spread and compact incoming refuse, and cover with soil, daily Pave access roads, or use water spraying to reduce dust • Provide for safe ventilation of decomposition gases • Spread and compact refuse, and cover with soil daily Ensure site layout and management practices, including working training, are adequate Install adequate surface drainage control measures Maintain erosion and surface drainage control measures during operations Ensure site layout is adequate for drainage Install adequate surface drainage control measures Maintain erosion and surface drainage control measures during operations Assess ecology of disease carriers in project area and employ suitable mitigation measures (e.g. proper drainage) Avoid infringing on: Protected natural areas and wilderness areas Critical habitats or areas with significant biodiversity (e.g. wetlands) Minimize time of exposure of areas cleared, graded or excavated Stabilize and revegetate disturbed areas Install adequate surface drainage control measures Maintain erosion and surface drainage control measures during operations Monitoring Indicators Survey of local population regarding land uses Survey of local population regarding problems with culturally sensitive areas Survey of local population regarding siting of facility Complaints from community Complaints from community Complaints from community Incidences of illness or disease Decrease in agricultural production Periodic check for pooling water due to inadequate drainage Increase in disease carriers Occurrence of illness or disease Survey land area and community for environmentally sensitive areas/habitats Degree of erosion Responsibility SPIU/SA SPIU/SA SPIU/SA SPIU/SA SPIU/SA SPIU/SA SPIU/SA SPIU/SA SPIU/SA SPIU/SA SPIU/SA 203 Type of Activity Potential Impacts Generic Mitigation Measures Monitoring Indicators Complaints from Protect water resources by locating community landfills: Lower agricultural o Where the underlying soils are relatively impermeable, and have a high productivity Increased instances capability for containing chemical of illness contaminants (e.g. clays) or disease o So that the bottom of the landfill is above the water table o Away and down gradient from surface waters, and groundwater recharge areas sources, whose use could be affected by contamination unless the distance to the receiving water is adequate to dilute and disperse potential contamination Use a landfill liner (e.g. clay, synthetic) Collect surface runoff and discharge to safe area Install test wells at landfill perimeter, and monitor water quality during operations, for early identification and mitigation of emerging adverse effects Health and Sanitation : Mitigation & Monitoring Checklist Disease transmission Schedule for Community waste management plan through infectious periodic review of Clearly assigned staff responsibilities waste, sharps, and compliance to and Community guidelines for generation, contaminated water effectiveness of handling, storage, treatment and disposal Chemical and toxic plan Staff trained in handling, storage, threats through treatment, and disposal chemical and Protective clothing available (provide thick pharmaceutical gloves and aprons for staff handling exposure healthcare waste) Good hygiene practices (soap and water readily available) Vaccinated workers Temporary storage containers in designated locations Minimization, reuse, and recycling procedures Segregate waste " Treatment methods for hazardous or highly hazardous waste (Open-air burning or incineration of healthcare waste on site. Designate a final disposal site (bury waste on site in clay-lined pit Responsibility Contamination of surface and groundwater with landfill runoff and leach ate Management of health care wastes at facilities (health centres, laboratories, maternity clinics) SPIU/SA SPIU/SA 204 Type of Activity Planning a new facility Potential Impacts Spread of disease Environmental impact Generic Mitigation Measures Select a location with easy access to safe drinking water (source should be dedicated exclusively to the facility, if possible, to reduce spreading disease) Install adequate sanitation facilities to prevent the spread of disease from infected patients Avoid locations adjacent to schools to minimize children’s risk of exposure Pick a location where waste can be safety buried (e.g. above the water table and protected from scavenging) or easily shipped off site for safe disposal in a sanitary landfill Monitoring Indicators Responsibility Involve community in siting facility and other planning measures SPIU/SA Social &Biophysical: Mitigation & Monitoring Checklist Conversion/degradatio n of Protected Areas, Natural Habitats and Forests Avoid significant conversion or degradation of natural habitats, forests Subproject should incorporate acceptable mitigation measures such as minimizing habitat loss and establishing and maintaining an ecologically similar area even for minor impacts. Complaints from community Lower agricultural productivity Increased instances of erosion and land degradation Use of Pesticide Encourage and ensure the embrace of Integrated Pest Management (IPM) Ensure the following in the selection and use of pesticides: o They must have negligible adverse human health effects; o They must be shown to be effective against the target species; o They must have minimal effect on nontarget species and the natural environment. The methods, timing, and frequency of pesticide application must be aimed to minimize damage to natural enemies; and, o Their use must take into account the need to prevent the development of resistance in pests. o Pesticide financed by RAMP-2 must be manufactured, packaged, labelled, handled, stored, disposed of, and applied according to standards that, at a minimum, comply with the FAO's. o FAO’s Pesticide storage and stock control manual, Revised guidelines on good labelling practice for pesticides, Complaints from community Lower agricultural productivity Increased instances of illness or disease SPIU/SA SPIU/SA 205 Type of Activity Potential Impacts Generic Mitigation Measures Conflicts, loss of land and property Guidelines for the management of small quantities of unwanted and obsolete pesticides, Guidelines on Management Options for Empty Pesticide Containers, and Guidelines on personal protection when using pesticides in hot climates would serve as guide. Consistent with World Bank OP 4.07, RAMP-2 financing will not be used for formulated products that fall in WHO classes IA and IB, or formulations of products in Class II, if they are likely to be used by, or be accessible to, lay personnel, farmers, or others without training, equipment, and facilities to handle, store, and apply these products properly. Awareness raising Participatory land use planning and management Application of the Resettlement Policy Framework (resettlement and compensation) By-laws and their effective enforcement Joint management programmes Provision of alternative Establish of conflict resolution mechanism for each project/subproject Include local population in the design, site selection, development and management of subprojects. Ensure planning, design and maintenance of subprojects is appropriate to local needs, traditions, culture and desires. Incorporation of Public Consultation Concerns in Specific Project Design Ensure development benefits to all communities and groups, regardless of ethnicity, gender, generation, health conditions or socio-economic status. Incorporation of mechanisms that ensures effective community participation and oversight, and the development of effective grievance redress systems. Monitoring Indicators Responsibility Complaints from community Survey land area and community for occupancy SPIU/SA 206 Type of Activity Potential Impacts Generic Mitigation Measures Deprivation/Elite capture/social exclusiveness/Vulnerab le Groups Incorporation of mechanism that ensures would-be community beneficiaries are not deprived access due to elite capture or other activities such as undue influence in project or subproject awards, allocations. Before the start of each project, develop comprehensive organizational and maintenance plan, commitment from local government, communities and other relevant parties Ensure group-based development opportunities through designs and provision of support mechanisms that give consideration to the vulnerable. Target Vulnerable Groups with additional options and support-mechanism than those not considered vulnerable. Ensure that the interests/rights of the vulnerable groups are integrated into sub-project activities by making it a requirement to integrate the interests of the poor and vulnerable. Reduce social exclusion by increasing access to information, opportunities, goods, services and facilities for all stakeholders, especially the marginalised; For close social integration to occur, socially marginalized groups and individuals must fully participate in social and economic opportunities. Target women who have often been left out of efforts to increase sustainable livelihoods. The empowerment of women groups is essential both in helping them to help themselves, and towards development and the public good Monitoring Indicators Responsibility Complaints from community and/or VG SPIU/SA 207 Annex 43: M&E Framework for RAMP-2-Project The M&E system would be anchored on the results framework of the RAMP-2 which is typified by the Table below: No 1. Component Results-chain mode Coordination & Program Support. 1A Component Activities: Mobilization, Advocacy & Sensitization. Facilitation Disbursement Procurement Trainings for Stakeholders-Federal, State, LGA & Community levels Meetings held Workshops held Establishment of functional M&E/MIS & Financial Management Systems. Monitoring & Supervision visits. 3. Community-Driven Investment. 3E (i) Component Outputs (Transport Sector- i.e. Road, Bridges, Culvert-4): Roads constructed/ rehabilitated /completed. Bridges & culverts constructed/ rehabilitated/completed. 3E (ii) Component Outcomes (Transport Sector- i.e. Road, Bridges, Culvert-4): Improved access. Performance indicators Means of Verification No. of MDAs, LGAs & communities sensitized. No. of MDAs, LGAs and communities sensitized and mobilized No. of CDPs reviewed by LGRCs and submitted to SA for approval. SA records, monitoring reports, quarter and annual reports Km of roads constructed/ rehabilitated /completed. No. of bridges/culverts constructed/ rehabilitated/completed. Monitoring reports, quarter and annual reports, Monitoring reports, quarter and annual reports, No. of persons/vehicles plying roads per week. Average time spent commuting from one point to another. % reduction in cost of Evaluation reports, quarter and annual reports, SA records, monitoring reports, quarter and annual reports Timeliness of replenishment by SAs SA records, monitoring and FPMU. Amount disbursed by reports, quarter and annual SA &FPMU reports, financial statement of the SA Preparation of procurement plan. SA records, monitoring No. and type of procurement reports, quarter and annual carried out reports, financial statement of the SA No. & types of trainings given to SA records, monitoring stakeholders at the Federal, State, reports, quarter and annual and LGA& Community levels. reports No. of LG/MDA/DO/SA staff trained. No. & types of meetings held. SA records, monitoring reports No. & types of workshops held. SA records, monitoring reports No. of monthly, quarterly and SA records, monitoring annual reports submitted. No and reports, quarter and annual type of report generated by reports, financial statement system of the SA No. of monitoring & supervision SA records, monitoring visits. reports 208 No Component Results-chain mode Performance indicators Means of Verification transportation 3G (ii) Component Outcomes (Socio-Economic Sector6): Increase in social activities. Improved revenue generation by community. Improved skills acquired. Increased availability of goods. Increase in sales of traders. Reduction in crime rate No. of social activities. Evaluation reports, quarter and annual reports, Average amount of revenue Evaluation reports, quarter generated/month. and annual reports, No. of persons trained and utilizing Evaluation reports, quarter acquired skills. and annual reports, No. of new types of goods sold in Evaluation reports, quarter the market. and annual reports, Average % change in sales per Evaluation reports, quarter month. and annual reports, No. of reported crime cases. Evaluation reports, quarter and annual reports, 209 Annex 44: Operational Risk Assessment Framework (ORAF) Stage: Appraisal Project Stakeholder Risks Description: General Elections were concluded in 2011 with the current incumbent President, returned as the President. Borrower relations and donor relations do not represent risks, since project objectives are closely aligned with ongoing projects and policies (e.g. Transformation Agenda). Frustration expressed by constituents from states who were not selected as “state-one” or “state-two” may affect project preparation and implementation. IDA and AFD financing might become locked in poor performing states due to earmarking of funds to specific states, as per the state borrowing plans. Rating High Risk Management: Close monitoring of on-the-ground situation. Selections of states with good governance track record where the situation is likely to be less volatile. New CPS clearly abandons the “lead state” approach. Selection process takes into account the 6 geopolitical areas’ dimension. New selection process is fair and transparent and was discussed during the Feb. 10, 2011 workshop in presence of all states. Perspective for scaling up to new states embedded in project design despite focus on four states only. Proposed project design should be validated by the 2012 borrowing plan presented for approval to the National Assembly. Resp: IDA, AFD, Client Implementing Agency Risks (including fiduciary) Capacity Description: Institutions in charge of project implementation (particularly for some SPIUs) have a too weak capacity to correctly implement Bank’s fiduciary and reporting procedures, leading to execution delays and possible non-compliance with Bank’s guidelines and policies. There might be an inherent lack of capacity, in terms of technical and managerial skills, qualified staff, for work design and supervision, accounting, overall planning and management, more so at the state government level. The capacity of the private sector is too limited, with the consequences of unsuccessful bidding processes or poorlyexecuted works. Governance Description: State and/or rural roads selected for improvement do not serve a public good function to connect small farmers to markets, but rather some local private interest. Stage: Prep, Imp Due Date : Recurrent Status: Ongoing Rating: High Risk Management: Clear accounting and internal control procedures including chart of accounts established and documented in the project’s operational manual. The project will finance the hiring and comprehensive training of at least two fiduciary staff (one procurement and one financial management specialist) in each SPIU. A “hotline” mechanism will be established at the FPMU in order to provide timely assistance whenever needed. The FPMU has beefed up its technical expertise with the hiring of engineers seconded by the MA&RD. At least two road engineers will supervise implementation in tier-one states. Road works will be packaged in larger contracts, in order to be more attractive to private construction firms. Bidding processes will be crafted in order to maximize competition. Resp: Client Stage: Prep, Imp Due Date: Recurrent Status: Ongoing Rating: High Risk Management: The road prioritization methodology has been designed in order to base road selection on objective criteria only. A participatory process is also used to validate results by local stakeholders. Road design studies will allow verifying that traffic levels and projections are sufficiently high in order to justify economically the proposed investments. The road prioritization methodology with be further refined during implementation in order to select the second batch of roads to be rehabilitated by the project and improve alignment with NATA. 210 Resp: Client Project Risks Design Description: Roads designed to standards that are not cost effective or environmentally sound. Road maintenance is not performed adequately on the rehabilitated roads, leading to an accelerated deterioration of the infrastructure. Road rehabilitation costs are not adequately estimated, leading to overruns and lower outputs. Social & Environmental Description: Road works are not designed or executed in a fashion that is consistent with Bank safeguards policies, leading to negative impacts for the people or the environment. Program & Donor Description: The AFD and IDA do not manage to agree on joint operational procedures or they disagree on their interpretation during implementation. Delivery Monitoring & Sustainability Description: The lack of reliable data and background information affects the soundness of the decision-making of key stakeholders during project preparation or implementation. Decentralized implementation in multiple states overwhelms the Bank’s supervision capacity, especially if states are too distant one from another. Stage: Imp Due Date: Status: Rating: High Risk Management: Preparation of sound road design studies, following best international practices and with due attention paid to cost effectiveness. The establishment of a sound road maintenance system is a key objective of the proposed project. Community-based maintenance pilots have been launched in the four identified “tier-1” states, with particular progress observed in Osun and Enugu. Experience sharing and peer learning to be promoted by the FPMU. Sustainability for the financing of road maintenance being built up through a decreasing contribution from IDA and AFD funds. Results will be evaluated at project’s mid-term. The project also builds on the lessons of RAMP-1 both in Kaduna and Cross River states. Resp: IDA, AFD, Stage: Prep, Imp Due Date: Recurrent Status: Ongoing Client Rating: Low Risk Management: Technical road standards based on best engineering and sound environmental management practices. Preparation of specific safeguards studies for identified works with disclosure prior to appraisal. Preparation of safeguards frameworks for works still to be identified during execution. Close monitoring of safeguards during implementation. Appropriate staffing of FPMU and SPIU with both social and environmental staff and adequate training of these staff. Resp: IDA, AFD, Stage: Prep, Imp Due Date: Recurrent Status: Ongoing Client Rating: Low Risk Management: Close partnership very early-on in project preparation with systematic joint missions. Co-financing agreement under negotiation between IDA and AFD. On-going policy dialogue with FMOF on the terms of the borrowing plan to establish a joint co-financing. Resp: IDA, AFD Stage: Prep, Imp Status: Ongoing Due Date: Rating: High Risk Management: Strong emphasis of monitoring and evaluation with robust baseline surveys to be prepared in the four initial pilot states. The FPMU and the SPIUs have hired or are hiring fulltime staffs for monitoring and evaluation. Significant supervision resources expected. Particular attention to be paid to capacity of FPMU to perform a good-quality daily management of project implementation and on reporting mechanisms (with clear red-flagging). Resp: IDA, AFD, Stage: Prep, Imp Status: Ongoing Due Date: Client 211 Overall Risk Following Review Implementation Risk Rating: High 212 Annex 45: Results Framework and Monitoring NIGERIA: Second Rural Access and Mobility Project Core Project Development Objective (PDO): The objective of the project is to improve transport conditions and bring sustained access to the rural population, through rehabilitating and maintaining key rural transport infrastructure in a sustainable manner in selected Nigerian states. Responsibility Description (indicator Cumulative Target Values* PDO Level Results Unit of Baseline Data Source/ Frequency for Data definition) (as of Indicators* Measure Methodology YR 1 YR 2 YR3 YR 4 YR5 Nov.2011) Collection Project Outcome Indicators (i) Direct project Population living in the area 0 600,000 800,000 1,100,000 1,581,000 Every 6 beneficiaries, of which People 0 - Road design SPIUs/FPMU of influence of the / 50% / 50% / 50% / 50% / 50% months female /% /0 studies rehabilitated roads (and % of women) (ii) Roads in good and Percentage of rural roads in fair condition as a Every 6 - Works progress good or fair condition as a share of total classified % 0-1 1 3 6 8 10 months reports from SPIUs/FPMU share of total registered roads supervision firms rural road network in targeted “tier-1” states (iii) Increase of share - Road design Percentage of the rural of rural population Percen Annually studies and works SPIUs/FPMU population in targeted “tierwith access to an alltage 0 0 +1 +3 +5 +6 progress reports 1” states living less than season road (Rural points 2km away from an allAccess Indicator) weather road (iv) Roads receiving Kilometers of rural roads adequate levels of Every 6 - Consolidated SPIUs/FPMU (either pilot roads or roads maintenance km 0 80 1,000 1,325 1,650 1,650 months SPIUs’ progress rehabilitated by the project) reports with both efficient, permanent routine maintenance and annual mechanized maintenance Intermediate Results (Component A : Upgrading and rehabilitation of rural transport infrastructure): 213 (i) Kilometers of rural roads rehabilitated (ii) Number of river crossings built km 0 0 800 1,125 1,450 1,450 Every 6 months - Works progress reports from supervision firms number 0 0 10 30 50 65 Every 6 months - Works progress reports SPIUs/FPMU SPIUs/FPMU Kilometers of rural or state roads rehabilitated by the project according to agreed standards Number of river crossings rehabilitated or built by the project according to agreed standards Intermediate Results (Component B : Community-based road maintenance and annual mechanized maintenance): (i) Kilometers of rural roads receiving efficient, permanent routine maintenance km 0 80 1,000 1,325 1,650 1,650 Every 6 months - Consolidated SPIUs’ progress reports SPIUs/FPMU (ii) Kilometers of rural roads receiving Every 6 - Consolidated SPIUs/FPMU efficient, annual km 0 80 1,000 1,325 1,650 1,650 months SPIUs’ progress mechanized reports maintenance (iii) Number of days of work generated by routine maintenance - Consolidated 0 20,000 250,000 331,250 412,500 412,500 km activities, of which Annually SPIUs’ progress SPIUs/FPMU / 0% / 5% / 10% / 15% / 20% / 25% /% proportion performed reports by vulnerable groups (women or young people) Intermediate Results (Component C: State and federal institutional strengthening, program’s scaling up and promotion of rural transport policies): (i) Number of kilometers of roads in “tier-2” states with design studies completed km 0 0 300 600 0 0 Every 6 months - FPMU progress reports FPMU Kilometers of rural roads (either pilot roads or roads rehabilitated by the project) with efficient, permanent routine maintenance Kilometers of rural roads (either pilot roads or roads rehabilitated by the project) receiving efficient, annual mechanized maintenance Number of days of work generated by the project’s routine maintenance activities and proportion of these days performed by vulnerable groups such as young people or women Number of kilometers of roads for which road design studies have been financed by the FPMU, according to agreed standards, as part of the project’s scaling up activities 214 (ii) Number of “tier-1” and “tier-2” states with GIS-based road inventories number 0 0 4 4 4 4 Every 6 months - FPMU progress report SPIUs/FPMU Number of “tier-1” and “tier-2” states where comprehensive inventories of the rural road network have been completed with the use of GIS-based technologies. 215 Annex 46: S/No I II III VI INSTITUTIONAL SAFEGUARD RESPONSIBILITIES FOR RAMP-2 Category Roles Federal Provision of advice on screening, scoping, review of draft RAP/EA report (in Government MDAs liaison with State Ministry of Environment), (Federal Ministry Receive comments from stakeholders, public hearing of the project proposals, of Environment and convening a technical decision-making panel (in liaison with State Ministry and her agencies of Environment), (Such as NESREA) Project categorization for EA, Applicable standards, Environmental and social liability investigations, Monitoring and evaluation process and criteria (in cooperation with State Ministry of Environment), State Government Provision of advice on screening, scoping, review of draft RAP/EA report (in MDAs (Ministry of liaison with Federal Ministry of Environment), Lands, Survey and Receiving comments from stakeholders, public hearing of the project proposals, Urban and convening a technical decision-making panel (in liaison with Federal Development, Ministry of Environment), Ministry of Project categorization for EA, Applicable standards, Environmental and social Environment, etc. liability investigations, Monitoring and evaluation process and criteria (in cooperation with Federal Ministry of Environment), Compliance overseer at State Level, on matters of Land Acquisition and compensation and other resettlement issues, Other MDAs Participate in the EA processes and in project decision-making in relevant areas or resources under their jurisdiction or management, that helps prevent or minimize impacts and to mitigate them. World Bank Assess implementation Recommend additional measures for strengthening the management framework and implementation performance. RAMP-2SPIU Liaise closely with Ministry of Environment in preparing a coordinated response Safeguards Unit on the environmental and social aspects of project development. V Local government Vi VII CDA NGOs/CSOs Liaising with the SPIU to verify adequacy of resettlement location and provide approval for such sites, Provide additional resettlement area as the need arise Provide necessary infrastructures in relocated areas, Engage and encourage carrying out comprehensive and practical awareness campaign for the proposed sub-projects, amongst the various relevant grass roots interest groups. Ensure Community participation by mobilizing, sensitizing community members; Assist in ensuring effective response actions on Environmental and Social issues on the sub-projects Conduct scientific researches alongside government groups to evolve and devise sustainable environmental strategies and rehabilitation techniques. Organizing, coordinating and ensuring safe use of volunteers in a response action, and identifying where these volunteers can effectively render services in management planning, institutional/governance issues and other livelihood related matter, Conduct project impacts awareness campaigns 216 Annex 47: Representation Form10 I refer to the credit facility agreement no CNG 1008 01 M between the Federal Republic of Nigeria and Agence Francaise de Developpement (“AFD”) dated ______for the Second Rural and Access Mobility Project. This confirms that, to the best of my knowledge, information and belief, the amount requested under the attached Application of Withdrawal will not be used for payments to contractors, sub-contractors or suppliers, who are on any of the financial sanction lists (including in particular the fight against the financing of terrorism) of: - the European Union, France. Sincerely, ……………………………….. Authorized Signatory of the Federal Republic of Nigeria ………………………………………………………………….. 10 This form is to be attached by the Borrower to WA. 217 Annex 48: DRAWDOWN REQUEST LETTER (Final Beneficiary letterhead) From: Final Beneficiary To: AGENCE FRANÇAISE DE DEVELOPPEMENT On: [date] Federal Republic of Nigeria - AFD Agreement n° CNG 1011 01 F, signed on [] Drawdown Request n° [] Dear Sirs, 1. We refer to the credit facility agreement n° CNG 10011 01 L entered into between the Federal Republic of Nigeria and the Lender on [] (hereinafter the “Agreement”). Capitalised words and expressions used but not defined herein have the meanings given to them in the Agreement. 2. This letter is a Drawdown Request. 3. We hereby irrevocably request the Lender to make the Drawdown pursuant to the following terms: Amount: USD [●] or, if less, the Available Credit. Interest Rate: fixed / floating Contemplated Drawdown Date: [●] 4. The Interest Rate shall be determined in accordance with the provisions of Clause 4 (Interest) of the Agreement. The Interest Rate applicable to the Drawdown will be provided to the Borrower in writing and the Borrower hereby agrees to such Interest Rate, subject to the provisions of the immediately following paragraph. In case of fixed rate only: In the event the Interest Rate applicable to the requested Drawdown is greater than [percentage in words] ([●]%), the Borrower requests that you cancel this Drawdown Request. 5. We confirm that each condition set out in Clause 2.3 (Conditions of Utilization) is fulfilled on the date of this Drawdown Request. We undertake to immediately inform the Lender in the event that any of the said conditions would appear not to be fulfilled before or on the Drawdown Date. 6. We attached hereto all documents required under Schedule 4 (Conditions Precedent) of the Agreement. 7. The Drawdown shall be credited to the following bank account: (a) Name [Final Beneficiary]: [●] (b) Address [Final Beneficiary]: [●] (c) IBAN Account Number : [●] 218 (d) SWIFT Number: [●] (e) Bank and bank’s address [of Final Beneficiary]: [●] 8. This request is irrevocable. 1. We attach hereto all relevant documentary evidence of expenses as well as the payment requests to be paid on behalf of the Borrower: [List of documentary evidence of expenses] Sincerely, …………………………………… Authorized signatory of Final Beneficiary …………………………………… 219 Annex 49: DRAWDOWN CONFIRMATION LETTER (Agence Française de Développement letter-head) From: AGENCE FRANÇAISE DE DÉVELOPPEMENT To: FEDERAL REPUBLIC OF NIGERIA – FEDERAL MINISTRY OF FINANCE On: [date] Re: Drawdown Request n° [] dated [] AFD Agreement n° CNG 1011 01 F, signed on [] Drawdown Confirmation letter n°[] Dear Sirs, 1. We refer to the credit facility agreement n° CNG 1011 01 F entered into between the Federal Republic of Nigeria and the Lender on [] (hereinafter the “Agreement”). Capitalised words and expressions used but not defined herein have the meanings given to them in the Agreement. 2. By a Drawdown Request Letter dated [●], the Borrower [or FINAL BENEFICIARIES countersigned by the Borrower] requested the Lender to make a Drawdown in the amount of USD [●], as provided for in the Agreement. 3. The terms of the Drawdown made available in connection with your Drawdown Request are the following: Amount: [amount in words] Dollars (USD [●]) Drawdown Date : [●] Drawdown with floating-rate Indicative applicable interest rate to the Drawdown Date : [●percentage in words] ([●]%) per annum Overall effective rate (half-yearly period): [●percentage in words] ([●]%) Overall effective rate (per annum): [●percentage in words] ([●]%) Drawdown with fixed-rate Applicable Interest Rate: [percentage in words] ([●]%) per annum Overall effective rate (half-yearly period): [percentage in words] ([●]%) Overall effective rate (per annum): [percentage in words] ([●]%) 220 For information purposes: Rate Setting Date: [●] Reference Rate on the Rate Setting Date: [percentage in words] ([●]%) per annum Sincerely, …………………………………… Authorized signatory of Agence Française de Développement ………………………………… 221 Annex 50 SECOND RURAL ACCESS AND MOBILITY PROJECT SENSITIZATION OF COMMUNITY ON ROAD MAINTENANCE LIST OF VILLAGES IN THE CORRIDOR OF THE ROAD Name of Community: Name of the road: Local Government Area: Population: Length of the road: Name of Villages around the corridor of the road: NO. NAME OF VILLAGE NAME OF VILLAGE HEAD PHONE NO. Annex 51 SECOND RURAL ACCESS AND MOBILITY PROJECT SENSITIZATION OF COMMUNITY ON ROAD MAINTENANCE ATTENDANCE SHEET Name of Community: Name of the road: Local Government Area: Population of the Community: Length of the road: NO. NAME VILLAGE/ADDRESS 223 PHONE NO. Annex 52 SECOND RURAL ACCESS AND MOBILITY PROJECT ELECTION OF ROAD MAINTENANCE TEAM BY THE COMMUNITY ATTENDANCE SHEET Name of community: Name of the road: Local Government Area: Population of the community: Date of meeting: NO. NAME VILLAGE/ADDRESS 224 PHONE NO. Annex 53 SECOND RURAL ACCESS AND MOBILITY PROJECT LIST OF ROAD MAINTENANCE TEAM ELECTED BY THE COMMUNITY ATTENDANCE SHEET Name of community: Name of the road: Local Government Area: Population of the community: Date of meeting: NO. NAME VILLAGE/ADDRESS __________________________ PHONE NO. _____________________________ ____________________________________ 225 Annex 54 SECOND RURAL ACCESS AND MOBILITY PROJECT INAUGURAL MEETING OF ROAD MAINTENANCE TEAM ATTENDANCE SHEET Name of Team: Name of community: Name of the road: Local Government Area: No. of members: Date formed: Date of meeting: NO. NAME VILLAGE/ADDRESS 226 PHONE NO. Annex 55 Sample Contract Agreement For Road Maintenance Team SECOND RURAL ACCESS AND MOBILITY PROJECT (RAMP-2) CONTRACT AGREEMENT FOR _____________ COMMUNITY LABOUR BASED RURAL ROAD MAINTENANCE _____ PROJECT _____, 20__ 227 CONTRACT AGREEMENT FOR HIRING OF PERSONNEL FOR ROUTINE LABOUR-BASED RURAL ROAD MAINTENANCE An agreement made this ………………… day of …………………….20……… between _______________ (____________), Ministry Second of Rural Access _______________ and Mobility (_________) on Project behalf of _______________ Government, hereinafter referred to as the Employer; AND ______________________________________________________________ of____________________________________________________________ hereinafter referred to as the Contractor. BY WHICH IT IS AGREED AS FOLLOWS: 1. That Employer shall hire the services of Contractor for Labour-based Road Maintenance at rate of N__________.00k/USD ________ (Amount in words) per month per kilometre for a period of 12 months and up to a ceiling of N____________(USD__________) per year. 2. Payment Schedule: Payment shall be made on monthly basis of actual work done and certified by the Project in line with the agreed Supervision Checklist 3. Responsibility of the contractor shall be performance based as listed below and detailed in Supervision Checklist and Road Maintenance Manual: Performance indicators referred to the condition that the different road elements should obtain as a result of the maintenance activities. Only if the road elements have obtained the desired condition, will the monthly payment be approved. Monthly inspections shall be carried out by the SPIU designated engineer to determine whether the performance indicators have been achieved on each section of the road after which monthly payment shall be made in accordance with the performance of each section. A list of the performance indicators for the different maintenance activities is as shown below: 228 No. 1. Activity Road Performance Indicator and inspection clearing The road pavement and shoulder are free of debris. Issues require attention are documented and forwarded to SPIU for necessary action. 2. Removal of landslides The road surface and drainage ditches are up to 10m3 3. free of landslides. Clearing earth drains The earth drains are clear and there is not stemming of water. The culverts are clear and drain freely. 4. Clearing culverts 5. Clearing the road verges The vegetation does not impede visibility or normal vehicle transit, especially in corners or dangerous sections, and 6. Repairing the road The road shoulder is free of potholes and verges 7. The road verges is free of garbage. less than 5cm below the road pavement. There are less than 5 potholes larger than Repairing potholes 15 centimetres per kilometer. 8. Employment aged children of under No under aged children are deployed in road maintenance activities. 4. Twelve (12) bicycles shall be provided for the 12-member Maintenance Team for effective mobility in the performance of their duty and shall not be seen as a gift from the Employer, but to be returned at the end of the Contract term. 5. Contractor shall be provided with working tools which will be signed for and shall be returned, in good condition, before the last pay is made at the end of the Contract. 6. Maintenance of the bicycles and any other working tools shall be the duty of the Contractor. 7. Contractor shall not engage the service of any child below the age eighteen (18) years for road maintenance activities. Any reported 229 or seen engagement of under aged shall attract verbal warning, 10% reduction in monthly remuneration and termination of appointment on first, second and third instances respectively. 8. No member of the Maintenance Team should be more than sixty (60) years old as at the time of engagement. Each member is expected to submit his or her Birthday Certificate or Sworn Affidavit. 9. Responsibility of State Project Implementation Unit (SPIU): It shall be the responsibility of the Employer through the SPIU to perform the following: (i) (ii) (iii) (iv) (v) (vi) (vii) (viii) (ix) (x) (xi) Weekly supervision and inspection of road to confirm compliance with checklist and note issues that need urgent attention. Monthly payment to Contractor based on each section of the road’s performance as indicated on the Supervision Checklist. Supply of working tools to the Contractors as indicated in Road Maintenance Manual. Carry out Mechanized Periodic Road Maintenance at the end or onset of rainy season. Organise training on entrepreneurial skills and labour based Routine Road Maintenance for the Contractors. Penalize Contractors for non-compliance as indicated on the Supervision Checklist. Carry out monthly inspection of the equipments and working tools supply to the Contractors. Ensuring minimum women’s participation in the maintenance groups (at least 10% and preferably 30%); Carrying out community sensitization on the need for gender inclusivity in rural roads maintenance; engaging in advocacy at the level of the traditional rulers to ensure buy-in at the level of the community’s political leadership; and include gender-desegregated indicators in the project’s M&E framework. 10. The Contractor shall replace any damaged tool. 11. Financial penalties shall be invoked on each affected section of the road for non-compliance as indicated in the Supervision Checklist. 12. Contract Amendment: No variation in or modification of the terms of the contract shall be made except by written amendment signed by the parties. 13. Assignment: The Contractor shall not assign, in whole or part, its obligations to perform under the contract, except with the Purchaser's prior written consent. 230 14. In case any of the parties (Employer or Contractor) wishes to terminate the Contract, a month notice shall be given or a month’s remuneration in lieu of notice shall be paid. 15(a) Amicable Settlement: The Parties agree that the avoidance or early resolution of disputes is crucial for the smooth execution of the Contract and the success of the agreement. The Parties shall make every effort to resolve amicably by direct informal negotiation any disagreement or dispute arising between them under or in connection with the contract. 15(b) Dispute Resolution: If, after thirty (30) days from the commencement of such informal negotiations, the Parties have been unable to resolve amicably a contract dispute, either party may require that the dispute be referred for resolution to the formal mechanisms which include, but not restricted to, conciliation mediated by a third party, adjudication in an agreed national forum, and/or Court of law in Nigeria.. 16 Governing language :The Contract shall be written in the English language, and the English Language version of the Contract shall govern its interpretation. All correspondence and other documents pertaining to the contract, which are exchanged by the parties shall be written in the English language. 17 Applicable Law :The contract shall be interpreted in accordance with the laws of Nigeria. 18 Notices : Any notice given by one party to the other pursuant to the contract shall be sent in writing and confirmed in writing to the address of the relevant party specified in the contract. A notice shall be effective when delivered before or on the notice's effective date, whichever is later. 19 Taxes and Duties :The contractor shall be entirely responsible for all taxes, stamp duties, license fees, and other such levies imposed by the law of Nigeria. IN WITNESS WHEREOF the said parties have hereunto set their hands and seals this …….……… day of …………………….. month year………………… 231 EXECUTED FOR AND ON BEHALF OF THE EMPLOYER: NAME: SIGNATURE: POSITION: DATE: In the presence of: NAME: SIGNATURE: POSITION: DATE: THE COMMON SEAL OF THE CONTRACTOR is hereafter affixed in the presence of: _____________________ ____ __________________________ PRESIDENT SECRETARY 232 Annex 56 GENERAL ENVIRONMENT MANAGEMENT CONDITIONS FOR CONSTRUCTION CONTRACTS. General 1. The Contractor shall comply with any specific Environment Management Plan (EMP) or Environment and Social Management Plan (ESMP) for the works he is responsible for, in addition to the contract general conditions. The Contractor shall inform himself about such an EMP, and prepare his work strategy and plan to fully take into account relevant provisions of that EMP. If the Contractor fails to implement the approved EMP after written instruction by the Supervising Engineer (SE) to fulfil his obligation within the requested time, the SPIU reserves the right to arrange through the SE for execution of the missing action by a third party on account of the Contractor. 2. Notwithstanding the Contractor’s obligation under the above clause, the Contractor shall implement all measures necessary to avoid undesirable adverse Environment and social impacts wherever possible, restore work sites to acceptable standards, and abide by an Environment performance requirements specified in an EMP. In general these measures shall include but not be limited to: (a) Minimize the effect of dust on the surrounding environment resulting from earth mixing sites, asphalt mixing sites, dispersing coal ashes, vibrating equipment, temporary access roads, etc. to ensure safety, health and the protection of workers and communities living in the vicinity dust producing activities. (b) Ensure that noise levels emanating from machinery, vehicles and noisy construction activities (e.g. excavation, blasting) are kept at a minimum for the safety, health and protection of workers within the vicinity of high noise levels and nearby communities. (c) Ensure that existing water flow regimes in rivers, streams and other natural or irrigation channels is maintained and/or re-established where they are disrupted due to works being carried out. (d) Prevent bitumen, oils, lubricants and waste water used or produced during the execution of works from entering into rivers, streams, irrigation channels and other natural water bodies/reservoirs, and also ensure that stagnant water in uncovered borrow pits is treated in the best way to avoid creating possible breeding grounds for mosquitoes. 233 (e) Prevent and minimize the impacts of quarrying, earth borrowing, piling and building of temporary construction camps and access roads on the biophysical environment including protected areas and arable lands; local communities and their settlements. In as much as possible restore/rehabilitate all sites to acceptable standards. (f) Upon discovery of ancient heritage, relics or anything that might or believed to be of archaeological or historical importance during the execution of works, immediately report such findings to the SE so that the appropriate authorities may be expeditiously (g) Discourage construction workers from engaging in the exploitation of natural resources such as hunting, fishing, and collection of forest products or any other activity that might have a negative impact on the social and economic welfare of the local communities. (h) Implement soil erosion control measures in order to avoid surface run off and prevents siltation, etc. (i) Ensure that garbage, sanitation and drinking water facilities are provided in construction workers camps. (j) Ensure that, in as much as possible, local materials are used to avoid importation of foreign material and long distance transportation. (k) Ensure public safety, and meet traffic safety requirements for the operation of work to avoid accidents. 3. The Contractor shall indicate the period within which he/she shall maintain status on site after completion of civil works to ensure that significant adverse impacts arising from such works have been appropriately addressed. 4. The Contractor shall adhere to the proposed activity implementation schedule and the monitoring plan/strategy to ensure effective feedback of monitoring information to project management so that impact management can be implemented properly, and if necessary, adapt to changing and unforeseen conditions. 5. Besides the regular inspection of the sites by the SE for adherence to the contract conditions and specifications, the SPIUs may appoint an Inspector to oversee the compliance with these Environment conditions and any proposed mitigation measures. State Environment authorities may carry out similar inspection duties. In all cases, as directed by the SE, the Contractor shall comply with directives from such inspectors to 234 implement measures required to ensure the adequacy rehabilitation measures carried out on the bio-physical environment and compensation for socio-economic disruption resulting from implementation of any works. Worksite/Campsite Waste Management 6. All vessels (drums, containers, bags, etc.) containing oil/fuel/surfacing materials and other hazardous chemicals shall be bonded in order to contain spillage. All waste containers, litter and any other waste generated during the construction shall be collected and disposed off at designated disposal sites in line with applicable government waste management regulations. 7. All drainage and effluent from storage areas, workshops and camp sites shall be captured and treated before being discharged into the drainage system in line with applicable government water pollution control regulations. 8. Used oil from maintenance shall be collected and disposed off appropriately at designated sites or be re-used or sold for re-use locally. 9. Entry of runoff to the site shall be restricted by constructing diversion channels or holding structures such as banks, drains, dams, etc. to reduce the potential of soil erosion and water pollution. 10. Construction waste shall not be left in stockpiles along the road, but removed and reused or disposed of on a daily basis. 11. If disposal sites for clean spoil are necessary, they shall be located in areas, approve by the SE, of low land use value and where they will not result in material being easily washed into drainage channels. Whenever possible, spoil materials should be placed in low-lying areas and should be compacted and planted with species indigenous to the locality. 12. The Contractor shall obtain appropriate licenses/permits from relevant authorities to operate quarries or borrow areas. 13. The location of quarries and borrow areas shall be subject to approval by relevant local and national authorities, including traditional authorities if the land on which the quarry or borrow areas fall in traditional land. 14. New extraction sites: a) Shall not be located in the vicinity of settlement areas, cultural sites, wetlands or another valued ecosystem component, or on high or steep ground or in areas of high scenic value, and shall not be located less than 1km from such areas. 235 b) Shall not be located adjacent to stream channels wherever possible to avoid siltation of river channels. Where they are located near water sources, borrow pits and perimeter drains shall surround quarry sites. c) Shall not be located in archaeological areas. Excavations in the vicinity of such areas shall proceed with great care and shall be done in the presence of government authorities having a mandate for their protection. d) Shall not be located in forest reserves. However, where there are no other alternatives, permission shall be obtained from the appropriate authorities and an Environment impact study shall be conducted. e) Shall be easily rehabilitated. Areas with minimal vegetation cover such as flat and bare ground, or areas covered with grass only or covered with shrubs less than 1.5m in height, are preferred. f) Shall have clearly demarcated and marked boundaries to minimize vegetation clearing. 15. Vegetation clearing shall be restricted to the area required for safe operation of construction work. Vegetation clearing shall not be done more than two months in advance of operations. 16. Stockpile areas shall be located in areas where trees can act as buffers to prevent dust pollution. Perimeter drains shall be built around stockpile areas. Sediment and other pollutant traps shall be located at drainage exits from workings. 17. The Contractor shall deposit any excess material in accordance with the principles other general conditions, and any applicable EMP, in areas approved by local authorities and/or the SE. 18. Areas for depositing hazardous materials such as contaminated liquid and solid materials shall be approved by the SE and appropriate local and/or national authorities before the commencement of work. Use of existing, approved sites shall be preferred over the establishment of new sites. 19. To the extent practicable, the Contractor shall rehabilitate the site progressively so that the rate of rehabilitation is similar to the rate of construction. 20. Always remove and retain topsoil for subsequent rehabilitation. Soils shall not be stripped when they are wet as this can lead to soil compaction and loss of structure. 21. Topsoil shall not be stored in large heaps. Low mounds of no more than 1 to 2m high are recommended. 22. Re-vegetate stockpiles to protect the soil from erosion, discourage weeds and maintain an active population of beneficial soil microbes. 23. Locate stockpiles where they will not be disturbed by future construction activities. 236 24. To the extent practicable, reinstate natural drainage patterns where they have been altered or impaired. 25. Remove toxic materials and dispose of them in designated sites. Backfill excavated areas with soils or overburden that is free of foreign material that could pollute ground water and soil. Maximizing Resources & Sustaining Development 26. Identify potentially toxic overburden and screen with suitable material to prevent mobilization of toxins. 27. Ensure reshaped land is formed so as to be inherently stable, adequately drained and suitable for the desired long-term land use, and allow natural regeneration of vegetation. 28. Minimize the long-term visual impact by creating landforms that are compatible with the adjacent landscape. 29. Minimize erosion by wind and water both during and after the process of reinstatement. 30. Compacted surfaces shall be deep ripped to relieve compaction unless subsurface conditions dictate otherwise. 31. Re-vegetate with plant species that will control erosion, provide vegetative diversity and, through succession, contribute to a resilient ecosystem. The choice of plant species for rehabilitation shall be done in consultation with local research institutions, forest department and the local people. Water Resources Management 32. The Contractor shall at all costs avoid conflicting with water demands of local communities. 33. Abstraction of both surface and underground water shall only be done with the consultation of the local community and after obtaining a permit from the relevant Water Authority. 34. Abstraction of water from wetlands shall be avoided. Where necessary, authority has to be obtained from relevant authorities. 35. Temporary damming of streams and rivers shall be done in such a way avoids disrupting water supplies to communities downstream, and maintains the ecological balance of the river system. 237 36. No construction water containing spoils or site effluent, especially cement and oil, shall be allowed to flow into natural water drainage courses. 37. Wash water from washing out of equipment shall not be discharged into watercourses or road drains. 38. Site spoils and temporary stockpiles shall be located away from the drainage system and surface run off shall be directed away from stockpiles to prevent erosion. Traffic Management 39. Location of access roads/detours shall be done in consultation with the local community especially in important or sensitive environments. Access roads shall not traverse wetland areas. 40. Upon the completion of civil works, all access roads shall be ripped and rehabilitated. 41. Access roads shall be sprinkled with water at least five times a day in settled areas, and three times in unsettled areas, to suppress dust emissions. Blasting 42. Blasting activities shall not take place less than 2km from settlement areas, cultural sites, or wetlands without the permission of the SE. 43. Blasting activities shall be done during working hours, and local communities shall be consulted on the proposed blasting times. 44. Noise levels reaching the communities from blasting activities shall not exceed 9decibels. Disposal of Unusable Elements 45. Unusable materials and construction elements such as electro-mechanical equipment, pipes, accessories and demolished structures will be disposed of in a manner approved by the SE. The Contractor has to agree with the SE which elements are to be surrendered to the Client’s premises, which will be recycled or reused, and which will be disposed of at approved landfill sites. 46. As far as possible, abandoned pipelines shall remain in place. Where for any reason no alternative alignment for the new pipeline is possible, the old pipes shall be safe removed and stored at a safe place to be agreed upon with the SE and the local authorities concerned. 238 47. AC-pipes as well as broken parts thereof have to be treated as hazardous material and disposed of as specified above. 48. Unsuitable and demolished elements shall be dismantled to a size fitting on ordinary trucks for transport. Health and Safety 49. In advance of the construction work, the Contractor shall mount an awareness and hygiene campaign. Workers and local residents shall be sensitized on health risks particularly of AIDS. 50. Adequate road signs to warn pedestrians and motorists of construction activities, diversions, etc. shall be provided at appropriate points. 51. Construction vehicles shall not exceed maximum speed limit of 40km per hour. Repair of Private Property 52. Should the Contractor, deliberately or accidentally, damage private property, he shall repair the property to the SPIUs’ satisfaction and at his own cost. For each repair, the Contractor shall obtain from the SPIUs a certificate that the damage has been made good satisfactorily in order to indemnify the Client from subsequent claims. 53. In cases where compensation for inconveniences, damage of crops etc. are claimed by the SPIUs, the Client has to be informed by the Contractor through the SE. This compensation is in general settled under the responsibility of the Client before signing the Contract. In unforeseeable cases, the respective administrative entities of the Client will take care of compensation. Contractor’s Environment, Health and Safety Management Plan (EHS-MP) 54. Within 6 weeks of signing the Contract, the Contractor shall prepare an EHS-MP to ensure the adequate management of the health, safety, Environment and social aspects of the works, including implementation of the requirements of these general conditions and any specific requirements of an EMP for the works. The Contractor’s EHS-MP will serve two main purposes: • For the Contractor, for internal purposes, to ensure that all measures are in place for adequate EHS management, and as an operational manual for his staff. • For the Client, supported where necessary by a SE, to ensure that the Contractor is fully prepared for the adequate management of the EHS aspects of the project, and as a basis for monitoring of the Contractor’s EHS performance. 239 55. The Contractor’s EHS-MP shall provide at least: • a description of procedures and methods for complying with these genera Environment management conditions, and any specific conditions specified in an EMP; • a description of specific mitigation measures that will be implemented in order to minimize adverse impacts; • a description of all planned monitoring activities (e.g. sediment discharges from borrow areas) and the reporting thereof; and • the internal organizational, management and reporting mechanisms put in place for such. 56. The Contractor’s EHS-MP will be reviewed and approved by the Client before start of the works. This review should demonstrate if the Contractor’s EHS-MP covers all of the identified impacts, and has defined appropriate measures to counteract any potential impacts. EHS Reporting 57. The Contractor shall prepare bi-weekly progress reports to the SE on compliance with these general conditions, the project EMP if any, and his own EHS-MP. An example format for a Contractor EHS report is portrayed in Annex 6. It is expected that the Contractor’s reports will include information on: • EHS management actions/measures taken, including approvals sought from local or national authorities; • Problems encountered in relation to EHS aspects (incidents, including delays, cost consequences, etc. as a result thereof); • Lack of compliance with contract requirements on the part of the Contractor; • Changes of assumptions, conditions, measures, designs and actual works in relation to EHS aspects; and • Observations, concerns raised and/or decisions taken with regard to EHS management during site meetings. 58. It is advisable that reporting of significant EHS incidents be done “as soon as practicable”. Such incident reporting shall therefore be done individually. Also, it is advisable that the Contractor keeps his own records on health, safety and welfare of persons and damage to property. It is advisable to include such records, as well as copies of incident reports, as appendixes to the bi-weekly reports. A sample format for an incident notification is shown on annex 7. Details of EHS performance will be reported to the Client through the SE’s reports to the Client. Training of Contractor’s Personnel 59. The Contractor shall provide sufficient training to his own personnel to ensure that they are all aware of the relevant aspects of these general conditions, any project EMP, and his 240 own EHS-MP, and are able to fulfil their expected roles and functions. Specific training should be provided to those employees that have particular responsibilities associated with the implementation of the EHS-MP. General topics should be: • EHS in general (working procedures); • emergency procedures; and • social and cultural aspects (awareness raising on social issues). Cost of Compliance 60. It is expected that compliance with these conditions is already part of standard good workmanship and state of art as generally required under this Contract. The item “Compliance with Environment Management Conditions” in the Bill of Quantities covers this cost. No other payments will be made to the Contractor for compliance with any request to avoid and/or mitigate an avoidable EHS impact. 241 Annex 57 SCREENING REPORT FOR STANDARD FORMAT AND SCREENING CHECKLIST 1. GENERAL DESCRIPTION 1.1. Overview of the Local Government 1.2. List of Selected Rural/Feeder Roads 2. PROJECT-SPECIFIC SCREENING (FOR EACH ROAD IN PACKAGE): 2.1. Existing alignment 2.2. Proposed Works 2.3. Estimated Cost 2.4. Summary of Environment and Social Issues 2.4.1. Land Resources 2.4.2. Hydrology and Water Resources 2.4.3. Air and Noise 2.4.4. Biological Resources 2.4.5. Socio-Economic and Cultural 2.4.5.1. Population 2.4.5.2. Employment and Other Benefits 2.4.5.3. Resettlement 2.4.5.4. Other site-specific issues 2.5. Environment Screening Category 2.6. Applicable Safeguard Policies 3. LOCAL GOVERNMENT PACKAGE ESMP ACTION PLAN 4. ATTACHMENTS 4.1. Road Alignment Maps 4.2. Photos 4.3. Location and Administrative Maps 4.4Environment and Social Checklist 242 Annex 58 SCREENING REPORT ENVIRONMENT AND SOCIALCHECKLIST Local Government: Road: Date: Issue Land Resources Worksite/Campsite Areas Excavation/Borrow Areas Disposal Areas Other Degree* Water Resources & Hydrology Sources of Water for Construction Drainage Issues Other Biological Resources Special Trees/Vegetation in ROW Protected Areas directly affected Other Air Quality & Noise Special issues (e.g. quiet zone for hospital) Socio-Economic & Cultural Involuntary Resettlement** Graveyards and Sacred Areas affected Cultural Resources Population affected/provided access Other *Degree: N = Negligible or Not Applicable L = Low M = Moderate H = High **If yes, indicate # of persons affected and nature of the effect 243 Comment Annex 59 _____________SECOND RURAL ACCESS AND MOBILITY PROJECT SUPERVISION CHECKLIST FOR LABOUR BASED ROUTINE ROAD MAINTENANCE TASK/ ACTIVITY Road Inspection RESPONSIBILITY OF CONTRACTOR Inspect the road and drainage every (other) day on bicycle to identify any defect MAINTENANCE OBJECTIVE Constantly assess whether there are any urgent issues to be dealt with. Landslides Removing landslide up to 10m3 Road surface and drainage are free of landslides High vegetation growth impediment to visibility and restriction to normal traffic Damaged road shoulder Vegetation control and collection of garbage and removal of obstructions Clearing of landslides of smaller than 10m3 from the road pavement, shoulder and the earth drains Cut all grasses, plants and branches of trees in the road verges that impede visibility of normal traffic Repairing the road shoulder Silted or blocked culvert Cleaning of culvert DEFECTS MAXIMUM RESPONSE Everyday 1 TIME Warning No more than 10m3 2 days Warning The vegetation does not impede visibility of normal traffic and the road reserve is free of garbage. Zero percent tolerance to visibility 5 days Warning Filling up and compacting the road shoulder to the height of the road Ensure that the road pavement is not undermined Road shoulder not more than 5cm below the road pavement 5 days Warning Removing all materials that are obstructing the flow of water in the culvert Must be constantly cleaned Presence of sediment in a maximum of 20% of the transversal 3 days Warning TOLERANCE Every day during the rainy season and every (other) day in the dry season ST PENALTIES 2 TIME 3RD TIME 5% pay 10% pay reduction reduction on on the the affected affected section of section of the road the road 5% pay 10% pay reduction reduction on on the the affected affected section of section of the road the road 5% pay 10% pay reduction reduction on on the the affected affected section of section of the road the road ND 5% pay reduction on the affected section of the road 5% pay reduction on the affected section of 4TH Review/Ter mination of Contract Ditto Ditto 10% pay reduction on the affected section of the road Ditto 10% pay reduction on the affected section of the road Determinati on of Contract Silted or blocked earth drain Cleaning of earth drains Removing all materials that are obstructing the flow of water in the earth drains No obstacles or sediment on the earth drains Loss of Shape, Ruts and Corrugation Trimming of the surfacing materials and shaping to provide camber To put the road back to the normal shape by constantly checking with camber board Potholes Filling and compaction of potholes Trimming of the surfacing material with hoes, mattock, and rakes it to form the required camber and cross falls Filling with grade A lateritic and gravel materials and compaction with hand rammer Erosion gullies Improvement of turn out and earth drains Clearing of silted materials and reshaping turn out and earth drains Filling and compacting of erosion gullies Filling of all erosion gullies with grade A lateritic materials section Presence of sediment in a maximum of 30% of the earth drain 4 days Warning Presence of corrugation to the maximum of 10% 5 days Warning Potholes must be constantly filled Not more than 5 potholes per km 3 days Warning Constantly preventing erosion gullies from cutting off the road Not more than 1 erosion gully per km 2 days Warning 245 the road 5% pay reduction on the affected section of the road 5% pay reduction on the affected section of the road 5% pay reduction on the affected section of the road 5% pay reduction on the affected section of the road 10% pay reduction on the affected section of the road Ditto 10% pay reduction on the affected section of the road Ditto 10% pay reduction on the affected section of the road Determinati on of Contract 10% pay reduction on the affected section of the road Determinati on of Contract Annex 60 SECOND RURAL ACCESS AND MOBILITY PROJECT COMMUNITY LABOUR BASED RURAL ROAD MAINTENANCE PILOT PROJECT PEFORMANCE INDICATOR FOR ___KM ____________ROAD MAINTENANCE TEAM MONTHLY ASSESSMENT: _____________________________ No 1 2 3 4 5 6 7 8 PERFORMANCE INDICATOR 0 -1km Wk1 wk2 wk3 1 – 2km wk4 wk1 wk2 wk3 2 – 3km wk4 wk1 wk2 Road inspection and clearing: The road carriage way and shoulder are free of debris ,and any urgent issue encountered are written down in the notebook and corrected Removal of landslides up to 1m3: The road surface and drainage ditches are free from landslides Clearing earth drains: The earth drains are clear and there is no storage of water Clearing the culverts: The culverts are clear and drain freely Clearing the road verges: The vegetation does not impede visibility or normal vehicle transit especially in corners or dangerous sections, and the road verges is free of garbage Repairing the road verges: The road shoulder is free of potholes and less than 5cm below the road pavement Repairing potholes: There are less than 5 potholes larger than 15 centimetres per km Usage of underage 246 wk3 3 – 4km wk4 wk1 wk2 wk3 4 – 5km wk4 wk1 wk2 wk3 5 – 6km wk4 wk1 wk2 wk3 wk4 Weekly Score Monthly Score Recommendation for payment: Penalty Signature: Inspection Officer:________________________________ Signature:_____________________________________ Approval:____________________________ Project Coordinator_______________________________________ Date:___________________________ 247
