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Document of

The World Bank

for Official Use only

Report no: 87104-MX

PROGRAM APPRAISAL DOCUMENT

ON A

PROPOSED LOAN

IN THE AMOUNT US$55 MILLION

TO THE

NATIONAL BANK OF PUBLIC WORKS AND SERVICES (BANOBRAS)

WITH THE GUARANTEE OF THE UNITED MEXICAN STATES

FOR A

OAXACA WATER AND SANITATION SECTOR MODERNIZATION OPERATION

May 5, 2014

This document has a restricted distribution and may be used by recipients only in the performance of their official duties. Its contents may not otherwise be disclosed without World Bank authorization.

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CURRENCY EQUIVALENTS

(Exchange Rate Effective March 27, 2014)

Currency Unit = Mexican Pesos

US$1.00 = MX$13.13

FISCAL YEAR

January 1 December 31

ABBREVIATIONS AND ACRONYMS

ACGs Anti-Corruption Guidelines

ADOSAPACO Administracin Directa de Obras y Servicios de Agua Potable y Alcantarillado de la Ciudad de Oaxaca - Oaxaca Metropolitan Area Water Utility (until the creation of the SAPAO)

APAZU Programa de Agua Potable, Alcantarillado, y Saneamiento en las Zonas Urbanas - Program for Water Supply and Sanitation in Urban Areas (CONAGUA) ATI Access To Information BANOBRAS Banco Nacional de Obras y Servicios Pblicos - National Bank of Public Works and Services BP Bank Procedures

CDI Comisin Nacional para el Desarrollo de los Pueblos Indgenas - National Commission for the Development of Indigenous People CEA Comisin Estatal del Agua - State Water Commission CONAGUA Comisin Nacional del Agua - National Water Commission CSO Civil Society Organization DA Designated Account DLIs Disbursement Linked Indicators ESSA Environmental and Social Systems Assessment ESSM Environmental and Social Management Manual F/C Fraud and Corruption FM Financial Management GoO Government of Oaxaca IBRD International Bank for Reconstruction and Development IDA International Development Association IFR Interim Financial unaudited Report IPF Investment Project Financing IPOs Indigenous People Organizations IR Intermediate Results IVA Independent Verification Agent

MAS Oaxaca Programa de Modernizacin del sector Agua potable y Saneamiento - Oaxaca Water and Sanitation Sector Modernization Program M&E Monitoring & Evaluation OECD Organization for Economic Co-operation and Development OP Operational Procedures PAP Program Action Plan PDO Program Development Objective PforR Program for Results PIBAI Programa de Infraestructura Bsica para la Atencin de los Pueblos Indgenas - Program of

ii

Basic Infrastructure for Indigenous People (CDI)

PROTAR Programa de Tratamiento de Aguas Residuales - Program for the Treatment of Wastewater (CONAGUA)

PROSSAPYS Programa para la Construccin y Rehabilitacin de Sistemas de Agua Potable y Saneamiento en las Zonas Rurales - Program for the Construction and Rehabilitation of Water Supply and Sanitation Systems in Rural Areas (CONAGUA)

SAI Secretara de Asuntos Indgenas - State Secretariat of Indigenous Affairs

SAPAO Servicios de Agua Potable y Alcantarillado de Oaxaca - Oaxaca Metropolitan Area Water Utility

SCTG Secretara de la Contralora y Transparencia Gubernamental - State Comptroller General and Transparencys Office SEFIN Secretaria de Finanzas de Oaxaca - State Finance Ministry SEPA Sistema de Ejecucin del Plan de Adquisiciones Procurement Plan Execution System SFP Secretara de la Funcin Pblica - Federal Secretariat of Public Administration SHCP Secretaria de Hacienda y de Crdito Publico - Federal Finance Ministry

SIASAR Sistema de Informacin de Agua y Saneamiento Rural - Rural Water and Sanitation Information System SINPRES Sistema Integral de Presupuesto - Integrated budgeting and accounting system SOE Statement Of Expenditures TA Technical Assistance WSS Water Supply and Sanitation

Vice President: Jorge Familiar Country Director: Gloria M. Grandolini

Sector Director: Sector Manager:

Ede Jorge Ijjasz-Vasquez Wambui G. Gichuri

Task Team Leader: Charles Delfieux

iii

MEXICO

Oaxaca Water and Sanitation Sector Modernization Operation

Table of Contents

I. STRATEGICCONTEXT..................................................................................................................................1

A. CountryandStateContext...............................................................................................................................1

B. SectoralandInstitutionalContext....................................................................................................................2

C. RelationshiptotheCPS....................................................................................................................................3

D. StructureoftheOperationandRationaleforUseofInstrument....................................................................4

II. PROGRAMDESCRIPTION............................................................................................................................5

A. TheStatesWSSsectorprogram......................................................................................................................5

B. ScopeoftheProgram.......................................................................................................................................7

C. ProgramActivities............................................................................................................................................9

D. TAComponentActivities................................................................................................................................10

E. Costs,FinancingandBeneficiaries.................................................................................................................11

F. ProgramDevelopmentObjective...................................................................................................................12

G. ProgramKeyResultsandDisbursementLinkedIndicators............................................................................12

III. PROGRAMIMPLEMENTATION..................................................................................................................12

A. InstitutionalandImplementationArrangements...........................................................................................12

B. ResultsMonitoringandEvaluation................................................................................................................14

C. DisbursementArrangementsandVerificationProtocols...............................................................................14

IV. ASSESSMENTSUMMARY.......................................................................................................................15

A. Technical.........................................................................................................................................................15

B. Fiduciary.........................................................................................................................................................17

C. EnvironmentalandSocial...............................................................................................................................18

D. Fraud&AntiCorruptionInstitutionalCapacityAssessment..........................................................................21

E. IntegratedRiskAssessmentSummary...........................................................................................................22

F. ProgramActionPlan.......................................................................................................................................23

Annex1:DetailedProgramDescription..................................................................................................................24

Annex2:ResultsFrameworkandMonitoring.........................................................................................................35

iv

Annex3:DisbursementLinkedIndicators,DisbursementArrangementsandVerificationProtocols...................38

Annex4:SummaryTechnicalAssessment.............................................................................................................47

Annex5:SummaryFiduciarySystemsAssessment.................................................................................................63

Annex6:SummaryEnvironmentalandSocialSystemsAssessment......................................................................74

Annex7:IntegratedRiskAssessment.....................................................................................................................81

Annex8:ProgramActionPlan...............................................................................

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