Henan Towns Water Supply and Sanitation Project
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Document of The World Bank Public Disclosure Authorized Report No: ICR00002898 IMPLEMENTATION COMPLETION AND RESULTS REPORT (IBRD-48290) ON A Public Disclosure Authorized LOAN IN THE AMOUNT OF US$ 150 MILLION TO THE PEOPLE’S REPUBLIC OF CHINA FOR A HENAN TOWNS WATER SUPPLY AND SANITATION PROJECT Public Disclosure Authorized December 24, 2013 Public Disclosure Authorized Sustainable Development Department China and Mongolia Country Management Unit East Asia and Pacific Region CURRENCY EQUIVALENTS Currency Unit=Renminbi (RMB) US$ 1.00 = RMB 8.0080 (Appraisal May 2006) US$ 1.00 = RMB 6.1000 (Project Closing June 2013) FISCAL YEAR January 1 – December 31 ABBREVIATIONS AND ACRONYMS ADB Asian Development Bank CPS Country Partnership Strategy CQS Consultant Quality Selection C Y Calendar Year DBO Design Build Operate EA Environmental Assessment EIA Environmental Impact Assessment EMP Environmental Management Plan EPB Environmental Protection Bureau ERR Economic Rate of Return FM Financial Management FRR Financial Rate of Return FY Fiscal Year FYP Five Year Plan GDP Gross Domestic Product GOC Government of China HPEPD Henan Provincial Environmental Protection Department HPFD Henan Provincial Financial Department IBRD International Bank for Reconstruction and Development MOF Ministry of Finance MWR Ministry of Water Resources PIU Project Implementation Unit PMO Project Management Office PPMO Provincial Project Management Office RAP Resettlement Action Plan TA Technical Assistance WTP Water Treatment Plant WUC Water Utility Company WWTP Wastewater Treatment Plant Vice President: Axel van Trotsenburg, EAPVP Country Director: Klaus Rohland, EACCF Sector Manager: Mark Lundell, EASCS Project Team Leader: Shunong Hu, EASCS ICR Team Leader: Joanna Masic, EASCS ICR Primary Author: Eddie Hum (Consultant) CHINA Henan Towns Water Supply and Sanitation Project TABLE OF CONTENTS Data Sheet A. Basic Information ...................................................................................................... iv B. Key Dates .................................................................................................................. iv C. Ratings Summary ...................................................................................................... iv D. Sector and Theme Codes ........................................................................................... v E. Bank Staff ................................................................................................................... v F. Results Framework Analysis ...................................................................................... v G. Ratings of Project Performance in ISRs ................................................................... vi H. Restructuring (if any) ................................................................................................ vi I. Disbursement Profile ................................................................................................. vii 1. Project Context, Development Objectives and Design ............................................... 1 2. Key Factors Affecting Implementation and Outcomes .............................................. 4 3. Assessment of Outcomes .......................................................................................... 10 4. Assessment of Risk to Development Outcome ......................................................... 13 5. Assessment of Bank and Borrower Performance ..................................................... 13 6. Lessons Learned ....................................................................................................... 16 7. Comments on Issues Raised by Borrower/Implementing Agencies ......................... 17 Annex 1. Project Costs and Financing .......................................................................... 19 Annex 2. Project Outputs by Component ..................................................................... 20 Annex 3. Economic and Financial Analysis ................................................................. 26 Annex 4. Bank Lending and Implementation Support/Supervision Processes ............ 32 Annex 5. Resettlement Implementation ........................................................................ 34 Annex 6. Summary of Borrower's ICR and/or Comments on Draft ICR ..................... 36 Annex 7. List of Supporting Documents ...................................................................... 40 DATA SHEET CHINA: Henan Towns Water Supply and Sanitation Project A. Basic Information Henan Towns Water Supply and Country: China Project Name: Sanitation Project Project ID: P081348 L/C/TF Number(s): IBRD-48290 ICR Date: 11/14/2013 ICR Type: Core ICR Lending Instrument: SIL Borrower: People's Republic of China Original Total US$ 150.00M Disbursed Amount: US$ 144.36M Commitment: Revised Amount: 144.36M Environmental Category: B Implementing Agencies: Henan Provincial Financial Department Cofinanciers and Other External Partners: B. Key Dates Revised / Actual Process Date Process Original Date Date(s) Concept Review: 11/03/2004 Effectiveness: 12/18/2006 Appraisal: 11/02/2005 Restructuring(s): 11/28/2012 Approval: 06/27/2006 Mid-term Review: 02/25/2010 11/21/2012 Closing: 06/30/2013 06/30/2013 C. Ratings Summary C.1 Performance Rating by ICR Outcomes: Unsatisfactory Risk to Development Outcome: Substantial Bank Performance: Moderately Unsatisfactory Borrower Performance: Moderately Unsatisfactory C.2Detailed Ratings of Bank and Borrower Performance (by ICR) Bank Ratings Borrower Ratings Quality at Entry: Moderately Satisfactory Government: Moderately Unsatisfactory Implementing Quality of Supervision: Moderately Unsatisfactory Moderately Unsatisfactory Agency/Agencies: Overall Bank Overall Borrower Moderately Unsatisfactory Moderately Unsatisfactory Performance: Performance: C.3 Quality at Entry and Implementation Performance Indicators Implementation Performance Indicators QAG Assessments (if any) Rating Potential Problem Project at any time (Yes/No): No Quality at Entry (QEA): None Problem Project at any time (Yes/No): Yes Quality of Supervision (QSA): None DO rating before Closing/Inactive status: Unsatisfactory D. Sector and Theme Codes Original Actual Sector Code (as% of total Bank financing) Sanitation 9 9 Sub-national government administration 5 5 Wastewater Collection and Transportation 4 4 Wastewater Treatment and Disposal 5 5 Water supply 77 77 Theme Code (as% of total Bank financing) Municipal governance and institution building 14 14 Pollution management and environmental health 29 29 Regulation and competition policy 14 14 Urban services and housing for the poor 29 29 Water resource management 14 14 E. Bank Staff Positions At ICR At Approval Vice President: Axel van Trotsenburg Jeffrey S. Gutman Country Director: Klaus Rohland David R. Dollar Sector Manager: Mark Lundell KeshavVarma Project Team Leader: Shunong Hu Takuya Kamata ICR Team Leader: Joanna Masic ICR Primary Author: Eddie Hum F. Results Framework Analysis Project Development Objectives (from Project Appraisal Document) The objective is to help create or expand water supply and wastewater management services and improve the planning, regulatory, and operational capacity of sector institutions, thereby helping improve living conditions and the economic growth of participating county towns with relatively low incomes. Revised Project Development Objectives (as approved by original approving authority) (a) PDO Indicator(s) Original Target Actual Value Formally Baseline Values (from Achieved at Indicator Revised Target Value approval Completion or Values documents) Target Years Number of people with 1,550 4,202 2,360 2,169.2 access to improved water supply in project towns (in The final number of beneficiaries was collected from the 20 thousands) counties that remained in the project at the end of 2012, and did not include beneficiaries in counties that dropped from the project. Number of people with 364 811 563 697 access to wastewater The total number of beneficiaries was 697,000 at the end of 2012, and management services in does not include people that benefitted from investments in the counties project towns (in thousands) that dropped from the project. Aggregate net profit after -2.3 110.4 69.34 -5.58 taxes of participating WUCs Data was collected from 20 counties at the end of the project, but did not (in million RMB) accurately reflect the true financial status of the project utilities as many remain government controlled and benefiting from large subsidies. G. Ratings of Project Performance in ISRs Date ISR Actual Disbursements No. DO IP Archived (US$ millions) 1 12/12/2006 Satisfactory Satisfactory 0.00 2 02/12/2008 Satisfactory Moderately Satisfactory 10.38 3 04/24/2009 Moderately Satisfactory Moderately Satisfactory 24.29 4 06/29/2010 Unsatisfactory Moderately Unsatisfactory 39.46 5 06/27/2011 Unsatisfactory Unsatisfactory 54.00 6 12/28/2011 Unsatisfactory Unsatisfactory 62.48 7 06/13/2012 Unsatisfactory Unsatisfactory 70.64 8 12/24/2012 Unsatisfactory Unsatisfactory 70.64 9 06/25/2013 Unsatisfactory Unsatisfactory 116.43 H. Restructuring (if any) November 28, 2012 – Level II Restructuring. I. Disbursement Profile 1. Project Context, Development Objectives and Design 1.1 Context at Appraisal 1. At the time of appraisal in 2006, China had gone through nearly three decades of economic reform and opening up. Sustained industrial and rural development was key to China’s remarkable economic growth during this period. As