GEF PROJECT DOCUMENT COVER PAGE
1.
Identifiers
Project Number:
CUB/99/G31
Project Name:
Demonstrations of Innovative Approaches to the Rehabilitation
of Heavily Contaminated Bays in the Wider Caribbean
Duration:
5 years
Implementing Agency:
UNDP, UNEP
Executing Agency:
UN Office of Project Services
Requesting Country or Countries:
Cuba and Jamaica
Eligibility:
Eligible under para. 9(b) of GEF Instrument
GEF Focal Area(s):
International Waters
GEF Programming Framework:
Operational Programme, #10, Contaminants Based
2.
Summary
The GEF pilot phase project, "Planning and Management of Heavily Contaminated Bays and
Coastal Areas in the Wider Caribbean" was a Pre-investment Facility (PRIF) project working in
Havana Bay, Cuba; Cartagena Bay, Colombia; Puerto Limón, Costa Rica and Kingston Harbour,
Jamaica. The project succeeded in achieving its principal objectives, including: 1) development of
integrated Investment Action Plans for the rehabilitation and management of the four bays, 2)
formulation of proposals for Institutional Strengthening to improve the operational capacities of
those institutions responsible for bay management, and 3) identify sources of financing for the
implementation of proposed remedial actions. The PRIF and related national and donor activities
have helped to leverage baseline investments in the four bays in excess of $250 million.
One of the priority issues in the region identified in the pilot phase project and other studies is the
problem of eutrophication resulting from excess inputs of nutrients to the coastal zone and adjacent
international waters. Principal sources of nutrient contamination in the four pilot sites include
poorly or untreated sewage, agriculture and industrial activities. As a follow-up to the PRIF and on-
going baseline, the proposed GEF project will leverage national co-financing to help two of the
countries to overcome a number of key barriers to the adoption of best practices that limit the
contamination of their national and adjacent international waters. The project will implement
demonstrations/pilot projects to test innovative technical, management, legislative and educational
approaches for reducing the input of priority international waters contaminants, the nutrients
nitrogen and phosphorus, to Havana Bay, Kingston Harbour and the adjacent Wider Caribbean. It
will further strengthen and/or help create new institutions responsible for the rehabilitation and
sustainable management of the two bays. The project supports the mandate of the Cartagena
Convention for the Protection and Development of the Marine Environment of the Wider Caribbean
Region, particularly Article 7, Pollution from Land-based Sources, and Article 13, Scientific and
Technical Co-operation, as well as the new Land-Based Sources Protocol currently in preparation.
In addition to the demonstrations/pilot projects noted above, UNEP-CAR/RCU will be responsible
for regional coordination, including sharing and dissemination of project activities and nutrient
pollution control strategies for the Wider Caribbean. Activities will include print and on-line
information dissemination, regional workshops and study tours, in order to promote and exchange
best practices and lessons learned to other countries in the Wider Caribbean Region facing similar
problems with excess nutrients and eutrophication.
3.
Costs and Financing (US$):
GEF:
- Project
: 6,910,000
- Support Costs
: 400,000
- PRIF
: 2,500,000
Subtotal GEF
: 9,410,000
Co-financing:
- Government
Cuba
: 14,208,000*
Jamaica
: 11,345,000
Sub-total, Gov't.
: 25,553,000
- Nordic Funds (PRIF)
: 300,000
Total Project Cost
: 35,263,000
4.
Associated Financing (US$)
: 183,244,000
5.
Operational Focal Point Endorsement:
Jamaica 17 March 1999
Cuba 16 March 1999
Name: Leonie Barnaby
Name: Humberto Arango
Title: Director
Title: Director
Organisation: Environmental Protection
Organisation: Ministry of Science, Technology and
& Conservation Division,
the Environment
Ministry of Environment and Housing
6. IA Contact: Andrew Hudson, Principal Technical Advisor, International Waters, UNDP-GEF, 304 E.
45th Street, New York, NY 10017 USA, Tel. 212 906 6228, Email: andrew.hudson@undp.org
* Assumes US$1 = 1 Cuban Peso
2
UNITED NATIONS DEVELOPMENT PROGRAMME
Project with participation from the government of:
Cuba
Project Budget Number:
Summary of UNDP and Cost-Sharing
CUB/99/G31/A/1G/31
UNDP:
Current
Project Title:
GEF
$ 4,038,598
Demonstration of Innovative Approaches to the Rehabilitation of
Heavily Contaminated Bays in the Wider Caribbean
Project Short Title:
Total GEF budget: $ 4,038,598
Caribbean Contaminated Bays
Cost Sharing:
Executing Agent:
UN Office of Project Services
Sub Total:
$ 4,038,598
Implementing Agent:
UNDP in cooperation with UNEP
Parallel Financing:
GEF Implementing Agency:
Cuba
$15,999,000
UNDP
Project site:
GRAND TOTAL
$ 20,037,598
Havana, Cuba
Beneficiary Country:
Cuba
Estimated Start Date : December 2001
Estimated End Date : December 2006
Local PAC (UNDP-Havana) Approval Date: 9 November 2001
Classification Information
ACC sector & sub-sector
0400 Natural resources
0410 Water resources planning and
development
DCAS sector &sub-sector
003-Natural resources
015-Environmental preservation & rehabilitation
Primary type of intervention : Programme Support
Secondary type of intervention: Programme
Technical Support
Primary area of focus/ sub-focus
03-Promoting environment & natural resources
sustainability/25-Improvement of the urban
environment
Primary target beneficiaries
03-Target place (environmental habitat)
3
Brief Description
The GEF pilot phase project, "Planning and Management of Heavily Contaminated Bays and Coastal
Areas in the Wider Caribbean" was a Pre-investment Facility (PRIF) project working in Havana Bay,
Cuba; Cartagena Bay, Colombia; Puerto Limón, Costa Rica and Kingston Harbour, Jamaica. The project
succeeded in achieving its principal objectives, including: 1) development of integrated Investment
Action Plans for the rehabilitation and management of the four bays, 2) formulation of proposals for
Institutional Strengthening to improve the operational capacities of those institutions responsible for bay
management, and 3) identify sources of financing for the implementation of proposed remedial actions.
The PRIF and related national and donor activities have helped to leverage baseline investments in the
four bays in excess of $250 million.
One of the priority issues in the region identified in the pilot phase project and other studies is the
problem of eutrophication resulting from excess inputs of nutrients to the coastal zone and adjacent
international waters. Principal sources of nutrient contamination in the four pilot sites include poorly or
untreated sewage, agriculture and industrial activities. As a follow-up to the PRIF and on-going baseline,
the proposed GEF project will leverage national co-financing to help one of the countries to overcome a
number of key barriers to the adoption of best practices that limit the contamination of its national and
adjacent international waters. The project will implement demonstrations/pilot projects to test innovative
technical, management, legislative and educational approaches for reducing the input of priority
international waters contaminants, the nutrients nitrogen and phosphorus, to Havana Bay and the adjacent
Wider Caribbean. It will further strengthen and/or help create new institutions responsible for the
rehabilitation and sustainable management of the bay. The project supports the mandate of the Cartagena
Convention for the Protection and Development of the Marine Environment of the Wider Caribbean
Region, particularly Article 7, Pollution from Land-based Sources, and Article 13, Scientific and
Technical Co-operation, as well as the new Land-Based Sources Protocol currently in preparation.
In addition to the demonstrations/pilot projects noted above to be implemented by UNDP, as GEF co-
implementing agency, UNEP will be responsible, through CAR/RCU, for sharing and dissemination of
project activities and nutrient pollution control strategies for the Wider Caribbean. Activities will include
print and on-line information dissemination, regional workshops and study tours, in order to promote and
exchange best practices and lessons learned to other countries in the Wider Caribbean Region facing
similar problems with excess nutrients and eutrophication.
* assumes official exchange rate, 1 Cuban peso = 1 $US
On behalf of the
Signature
Date
Name/Title
Government of:
__________________
Cuba
___________
_____
__________________
__________________
MINVEC, Public Authority for Coordination of International
Cooperation and its Implementation
On behalf of:
UNDP (PPRR)
___________
_____
__________________
__________________
UNOPS
___________
_____
__________________
__________________
4
TABLE OF CONTENTS
I.
CONTEXT
5
A. Description of the Region and the Sub-sector
5
B. Host Country Strategy
9
C. Prior and on-going Assistance directed at the same Sub-Sector
9
D. Institutional Framework
11
II
PROJECT JUSTIFICATION
13
A. The problem to be addressed: The present situation
13
General
13
Cuba
13
B. Expected Project Benefits
16
C. Target beneficiaries
16
D. Project strategy and institutional arrangements
17
E. Reasons for UNDP Assistance
18
F. Special considerations
18
G. Counterpart support capacity
20
III
DEVELOPMENT OBJECTIVE
20
IV.
PROJECT COMPONENTS/ACTIVITIES AND EXPECTED OUTPUTS
21
Output 1:
Construction of a sewage treatment plant, including nutrient
removal and sludge utilisation
21
Output 2:
Demonstration project focusing on recycling of nutrient
and energy from wastewater
22
V.
INPUTS
23
A. Government Inputs
23
B. GEF Inputs
23
C. UNDP Inputs
23
VI.
RISKS
24
VII.
PRIOR OBLIGATIONS AND PREREQUISITES
25
VIII. INSTITUTIONAL FRAMEWORK, CO-ORDINATION AND ADMINISTRATION 25
IX.
PROJECT REVIEWS, REPORTING AND EVALUATION
29
X.
LEGAL CONTEXT
29
XI.
BUDGETS
30
A. GEF Budget
30
B. Government Counterpart Contribution Budget
31
5
ANNEXES
33
ANNEX I
National Project Office (NPO) in Havana
ANNEX II
Terms of Reference
ANNEX III
Project Progress Plan
ANNEX IV
Cartagena Convention LBS Protocol
ANNEX V
Acronyms/Abbreviations
6
I. CONTEXT
A. Description of the Region and the sub-sector
Introduction
The Wider Caribbean Region (WCR) comprises the marine environment of the Gulf of Mexico, the
Caribbean Sea, and the 200 mile zone of the Atlantic Ocean adjacent to the countries in the region. The
Caribbean Sea, an arm of the Atlantic Ocean, is partially enclosed on the north and east by the Islands of
the West Indies, bounded to the south by South America and Panama and to the west by Central America.
The WCR has an area of about 1 942 500 km2.
The main oceanic current in the Caribbean Sea is an extension of the North Equatorial and South
Equatorial currents, which enters the Sea at the south-eastern extremity and flow in a generally north-
western direction. The currents originate mainly as a consequence of wind and tide action, but are also
affected by the topography of the sea bottom and the configuration of the coastline. The current velocity
is generally considerable and may contribute significantly to the dispersion of long-lived contaminants
generated in any site to the region, creating a potential transboundary pollution effect.
Economic activity in the WCR focuses on the expansion of tourism, agriculture and extractive industries
that are often directly or indirectly linked to coastal and marine resources. Population growth combined
with poorly managed economic development and industrialisation in the region have led to widespread
contamination of the coastal and international waters of the Wider Caribbean. Principal contaminants
impacting the region domestically and/or across national borders include untreated sewage, solid waste,
sediments, petroleum hydrocarbons, pesticides and agricultural run-off, primarily from land-based
sources.
An inventory of land-based point sources of pollution in the WCR, conducted in 1994, revealed that
domestic wastewater/sewage was the predominant source of pollution, followed by six industrial
categories: oil refineries, sugar refineries and distilleries, food processing, manufacture of beer and other
drinks, pulp and paper factories and chemical manufacturing. Although not a part of the 1994 study,
urban and agricultural non-point sources of pollution are also recognised as significant contributors to
pollution of the WCR.
Nutrient enrichment is of increasing concern in the WCR, as it causes eutrophication1, algal blooms,
oxygen depletion and changes in marine ecosystem biodiversity. In many of the bays connected to highly
populated centres, extremely low levels of oxygen are observed in the lower part of the water column,
where bottom sediments are often turned black. These hypoxic conditions kill and drive away fish and
benthic species. Like in other areas facing widespread eutrophication (Black Sea, Baltic Sea, Yellow Sea,
Gulf of Mexico, etc.), there is a longer-term risk that this phenomenon will extend beyond the natural
borders of the bays and into the Gulf of Mexico and the Caribbean Sea. Nutrient enrichment and
associated eutrophication over broad areas is so ubiquitous that it is now considered a global problem, and
nutrients are considered to be among the priority contaminants requiring attention in the GEF
International Waters Operational Programme 10 - Contaminants-Based.
1 A recent definition of eutrophication is that provided by Nixon (Ophelia 41:199-219, 1995): "An increase in the rate of supply
of organic matter to an ecosystem"; this is nearly always the result of excessive inputs of the nutrients nitrogen and phosphorus to
the aquatic environment. The nutrient enrichment most commonly results in the excessive stimulation of phytoplankton growth
but may also trigger the growth of larger plants (macrophytes) on the sea floor in shallow areas.
.
7
The Caribbean Action Plan emerged in 1981 as a result of many years of work by governmental and non-
governmental representatives of the Caribbean community. Assistance in the development of the plan
was provided by the United Nations Environment Programme (UNEP) and the Economic Commission for
Latin America and the Caribbean (ECLAC). The program objectives embraced by the Caribbean Action
Plan, which was adopted in 1981, include the following: assistance to all countries of the region,
recognising the special situation of the smaller islands; co-ordination of international assistance activities;
strengthening existing national and sub-regional institutions; and technical co-operation in the use of the
region's human, financial and natural resources.
In 1983 the Cartagena Convention (CAR) was adopted as the legal instrument for the implementation of
the Caribbean Action Plan. The Convention is a framework agreement setting out the political and legal
foundations for actions to be developed in the implementation of the Plan. These actions are directed by a
series of operational Protocols designed to address special issues and to initiate concrete actions. The
Convention Protocols include: the Oil Spills Protocol, concerning cooperation among countries in the
region in combating oil spills and the preparation and updating of contingency plans; the Specially
Protected Areas and Wildlife (SPAW) Protocol, an instrument for dealing with marine nature
conservancy measures to protect, preserve and manage sensitive areas and threatened or endangered
species of flora and fauna; and the Land-Based Sources of Marine Pollution (LBSMP) Protocol (Draft),
an instrument for dealing with environmental pollution reaching the marine environment from land-based
sources and activities, both point and non-point source. The governments of the nations and territories of
the WCR established the Caribbean Environment Programme (CEP) in support of the Convention and its
Protocols. A regional co-ordinating unit (UNEP-CAR/RCU) has been established in Kingston, Jamaica
and serves as a Secretariat for the CEP.
Most of the countries in the WCR have also adopted national legal instruments to control various aspects
of domestic and industrial wastewater disposal to coastal and marine waters. The degree to which these
legal instruments are applied in the practical management and control of environmental pollution varies
from country to country, but is generally rather weak. At the regional level, a new protocol to the
Cartagena Convention on land-based sources of marine pollution (LBS protocol) is developed, and was
adopted in 1999 (See Annex 2). The Contracting Parties to the Convention have taken advantage of the
various studies of contamination of the Wider Caribbean in developing this protocol, with an aim towards
regulating the sources most impacting the WCR. The LBS Protocol, through source-specific annexes, sets
regional effluent limits for selected point sources, based on appropriate control technologies. The LBS
Protocol will also obligate the signatories to develop national plans to implement best management
practices for non-point sources and to implement coastal zone management programs. Both Jamaica and
Cuba have signed the Cartagena Convention and have been active in the negotiations on the LBS
Protocol.
The geographical area selected for this project, Havana Bay in Cuba is heavily polluted with increasing
industrial and agricultural activities and an expected growth in population and tourism. Sewage and
nutrient enrichment have been identified as priority environmental concerns. In addition, other countries
in the Wider Caribbean Region face many of the same environmental problems, connected to discharges
of untreated or poorly treated sewage. Thus, some of the approaches to nutrient removal to be tested in
this project will be replicable among other sites in the Wider Caribbean Region.
Background Havana Bay, Cuba
Havana Bay is the most important port in Cuba. It is surrounded by urban and industrial developments,
which have a major impact on the quality of water reaching the bay and distributed to the Wider
Caribbean Region. The average residence/turnover time of the water in the Bay is about 8 days.
8
Havana Bay receives suspended solids, hydrocarbons, heavy metals and other micro-pollutants from
agriculture, industry and port activities. High concentrations of hydrocarbons and heavy metals have been
observed in the sediments, and degradation of the ecosystem is increasing, both within Havana Bay and
the adjacent Wider Caribbean area.
The existing wastewater collection system in Havana was designed for approximately 600 000
inhabitants. This system was constructed without any treatment of the wastewater. Today the main
collector system is overloaded and many sewers discharge to local rivers flowing through the city. The
tributary area of Havana Bay, including the rivers Luyano and Martin Perez, thus receives polluted water
from large residential areas and also some industrial areas. The pilot phase project determined that the
main sources of pollution to Havana Bay are: 1) the Luyano River (organic material, nutrients, sewage,
solid waste), 2) the gas plant and the oil refinery, 3) the Regla and Hacendados fish factories, and 4) the
fishing port.
The project also determined that Havana Bay receives about 48 000 m3 of wastewater per day, carrying
around 4 800 kg nitrogen and 1 200 kg phosphorous, resulting in elevated concentrations of nutrients.
Studies show that the waters of Havana Bay are strongly affected by the dumping of sewage, with
concomitant risks to human health. Increased nutrient concentrations have promoted eutrophication and
bacterial growth, and degradation of sea-grass and coral reef ecosystems.
The Government of Cuba has taken some mitigating actions to rehabilitate Havana Bay, but the special
economic situation in Cuba has reduced the possibilities for intervention. Cuba has several ongoing
development programs for alternative, environmentally sound technologies related to wastewater
treatment (WWT). Demonstrations of more sustainable and cost-effective technologies, which are
expected to be applicable to other countries in the region, are urgently needed. The economic situation in
Cuba also accentuates the need for potential domestic production of fertilisers and energy recovered from
alternative WWT approaches.
Cuba has signed several international agreements that have established an interrelationship between the
national legislative framework and international regulations. In spite of this, an analysis of the
institutional and legal framework conducted in the pilot phase project found that: 1) Current laws and
regulations are diffuse and to a certain degree outdated and not enforceable, 2) Port authority is lacking,
and 3) The integration between central and sectoral government institutions is insufficient.
A proposal for rules and regulations for the use and protection of Havana Bay has been elaborated. The
rules define the use of the bay in terms of port, industrial, cultural and tourist activities and the treatment
of waste. They include environmental monitoring, environmental education and public information plans
and the establishment of a monetary fund for the rehabilitation and a sustainable development of the bay.
Meanwhile, and taking into consideration the above-referred deficiencies, the Cuban Government created
on 29 July 1998 a Governmental Working Group for the sanitation, conservation and development of
Havana Bay. The group is chaired by the Ministry of Transportation while the Government of the City of
Havana and the Ministry of Science, Technology and Environment will operate as vice-chairs. On an
interim basis, this group will assume the functions of a port authority until the new rules and regulations
are approved.
Background Summary
Table 1 summarizes the pollution problems, the environmental impacts and obstacles to solve these
problems for the Wider Caribbean Region and for Havana Bay. The table shows that the bay/country
faces mostly problems connected to discharges of sewage, nutrients and micro-pollutants, and that some
of these discharges may also pose a risk for environmental degradation of the Wider Caribbean Region.
9
Table 1
Environmental impacts and obstacles
Pollution
Sources
Environmental
Obstacles/
Comments
Problem
Impacts
Barriers
Wider Caribbean
Nutrients
Untreated
Risk for:
Lack of financial
Cartagena Convention
sewage
Algae blooming
resources
focuses on the
Agriculture
Eutrophication
Weak institutional environmental problems in
run-off
Oxygen depletion
and legislative
the Wider Caribbean
Industry
Reduced biodiversity frameworks
Reduced
reproduction of
species
Micro-
Industrial and
Bio-accumulation
Lack of
Several international
pollutants
oil activities
Contamination in
enforcement of
conventions and agreements
(heavy metals, Hazardous
food chain
existing
focus on pollution of the
persistent
waste
Reduced biodiversity regulations
marine environment
organic
Use of agro-
Lack of incentives (MARPOL, Oil Pollution
pollutants,
chemicals
to reduce
Preparedness, etc.)
incl.
Ship traffic
emissions of
Pesticides, oil
persistent toxic
and
substances
hydrocarbons)
Lack of
alternative, more
benign chemicals
and industrial
processes
Havana Bay, Cuba
Nutrients
Sewage
Increased algae and
Lack of financial
Cuba has signed several
Agriculture
bacterial growth
resources
international conventions
Degradation of sea-
Outdated,
and agreements (MARPOL,
grass and coral reef
dispersed and
Cartagena Convention)
ecosystem
non-enforceable
Eutrophication
legislation
Oxygen depletion
Lack of port
Reduced biodiversity authority
Suspended
Rivers
Sedimentation
Insufficient
solids
Land use in
Reduced biodiversity integration of
watersheds
sectoral and
Micro-
Industrial and
Bio-accumulation
central
pollutants
oil activities
Contamination in
institutions
(heavy metals, Hazardous
food chain
persistent
waste
Reduced bio-
organic
Ship traffic
diversity
pollutants,
incl.
Pesticides, oil
and
hydrocarbons)
Solid waste
Port activities
Littering
Industry
Water pollution
Households
Threats to selected
organisms
10
B. Host Country Strategy
The government of Cuba has demonstrated its commitment to protecting the natural environment,
including coastal and marine ecosystems, by enacting policies, strategies, and programmes to mitigate the
negative impacts of pollution. The government of Cuba has established a national environmental strategy,
and the current project fits within the strategy's components. There is, however, a lacuna in management
in that these initiatives have hitherto focused on addressing domestic impacts, rather than those occurring
outside of national jurisdictiona l limits in international waters. Recognizing the negative externalities
imposed by the release of certain `global' or transboundary contaminants, and the value to the region of
demonstrating national approaches to the mitigation of these contaminants, the countries are now seeking
to introduce abatement programmes for transboundary pollutants, specifically the nutrients nitrogen and
phosphorus. The country places a high priority on implementation of the Caribbean Action Plan, and, as a
sign of commitment to regional action, has ratified the Cartagena Convention. The Convention provides a
legal framework for the implementation of the Caribbean Action Plan.
In addition, Cuba has played an active role in the development of the Protocol to the Cartagena
Convention on Land-based Sources of Marine Pollution. The majority of the pollutants impacting
Havana Bay are from land-based sources. With incremental assistance from the GEF, the project country
will design and operate a sewage treatment plant in accordance with the Global Programme of Action for
Land-based Activities and any regional standards adopted by the Contracting Parties resulting from
adoption of the LBS Protocol to the Cartagena Convention.
C. Prior and on-going Assistance directed at the same Sub-Sector
The Pilot Phase GEF Project
The GEF Pilot Phase (PRIF) project (RLA/93/G41,1995-1998), "Planning and Management of Heavily
Contaminated Bays and Coastal Areas in the Wider Caribbean", included Colombia (Cartagena Bay),
Costa Rica (Puerto Limon), Cuba (Havana Bay) and Jamaica (Kingston Harbour) as participating
countries.
The project had three main objectives:
1. Develop Integrated Investment Action Plans for the rehabilitation and management of the bays
and surrounding coastal areas.
2. Formulate Institutional Strengthening Proposals to improve the operational capacities of those
institutions responsible for bay management.
3. Identify Sources of financing for the implementation of proposed remedial action plans.
The project was the largest pre-investment grant financed by the Global Environment Facility (GEF)
under its concluded pilot phase program. The GEF project was originally initiated by the UNEP
CAR/RCU office in Kingston. The project was implemented by the United Nations Development
Program (UNDP) and executed by the United Nations Office for Project Services (UNOPS) from
November 1995 to May 1998.
The project achieved the following results:
1. The present environmental conditions of the bays and coastal zones were characterized including
the impact on their biodiversity and their regenerative capacity.
11
2. Inventories of point and non-point sources of pollution were brought up to date including sewage,
agricultural discharges, industrial and solid waste.
3. Proposals to restructure the institutions responsible for bay management and to improve the
legislative framework guiding economic activity to sustain remedial actions were prepared.
4. An integrated investment action plan for the rehabilitation of the bays and coastal areas was
formulated, to be imple mented over the next 5, 10 and 15 years.
5. An integrated inter-institutional management plan aimed at increasing the coordination,
managerial, planning and enforcement capacities of the institutions responsible for bay and
coastal zone management was developed.
6. A capacity building program to further develop the technical and scientific capacities of the
research institutions involved in environmental studies of bays and coastal areas was developed.
7. Regional and national workshops were carried out to promote exchange of information,
institutional cooperation and replicate project-related experiences in the Caribbean.
8. The countries' environmental institutions were equipped and strengthened. Scientific equipment,
modern office and communication systems and vehicles were provided.
The activities presented in this proposal are based on the information and results from the GEF Pre-
investment Facility (PRIF) project.
Cuba
Several projects related to the management of coastal areas, environmental protection of the oceanic
waters and the preservation of marine ecosystems have also been conducted or are going on. The most
important projects connected to Havana Bay are:
· Research and Control of Marine Pollution in the Bay of Havana, characterising the environmental
situation of Havana Bay and adjacent coastal areas. It provided the basis for the preparation of an
action plan for environmental management and facilitated the foundation of the Centre of Engineering
and Environmental Management of Bays and Coastal Areas of Cuba (CIMAB) (UNDP, UNEP,
UNESCO).
· Evaluation of existing facilities for ship waste in the main ports. (Initiative for controlling ship
wastes) (GEF-IMO, in progress).
· Preservation of the archipelago Sabana- Camagüey, (UNDP- GEF, in progress). The objective is to
preserve bio-diversity and habitats of migratory species, in an area of intense tourist development.
12
D. Institutional Framework
The main national environmental legislations relevant for the rehabilitation of Havana Bay are:
· Law of the Environment (81), approved by the National Assembly on and effective from July 11 of
1997
· Acts on the obligation to prepare Environmental Impact Studies previous to the approval of any
investment
· Regulations for the use of sewer system, March 1997.
· Provincial Assembly Agreement on the Havana Bay Action Plan
· Bill on Maritime Port Authority (Marine).
· Bill 211-97 of the Ministry of Transportation on Management and Disposal of the waste generated by
the ships (1997).
Cuba has signed/ratified the following international conventions:
· International Convention on the Prevention of Pollution from Ships (MARPOL)
· Convention for the Protection and Development of the Marine Environment of the Wider Caribbean
(Cartagena Convention)
· Agreement on the Biological Diversity, ratified by Cuba in March 1994.
Cuba is playing an important role in preparing the discussion of the Protocol on the Control of the Land
Based Sources of Pollution, connected to the Cartagena Convention.
The National Assembly is the supreme representative organ in Cuba. The highest governmental
authorities are given to The Council of State and the Council of Ministers.
Each of the ministries is responsible for incorporation of environmental aspects and policies within their
jurisdiction and for requiring environmental impact studies for new investments, to be presented to the
Ministry of Science, Technology and Environment (CITMA).
The Ministry of Science, Technology and Environment (CITMA) has the authority to implement the
environmental policies, and is also responsible for the conservation of natural resources. The
Environment Agency manages environmental matters through the Center for Environmental Management
and Inspection (CGIA), and a Centre of Environmental Information, Management and Education
(CIGEA). CIGEA is in charge of stating environmental management policies. There are also local
delegations of CITMA at the provincial level.
CITMA is also in charge of several Research Centres of national importance, such as:
· The Institute of Oceanology
· The Institute of Meteorology
· The Institute of Tropical Geography
The Ministry of Transportation has the responsibility for protecting the environment of the coasts and
ports and to eliminate/reduce pollution caused by ships. The Directorate of Marine Security and
Inspection (DSIM) of the Ministry of Transportation, and their District Offices, as well as a national
company for port sanitation are also working with these issues.
13
The Governmental Working Group for the Sanitation, Conservation and Development of Havana Bay
(GTE-Havana Bay) was created to improve the environment conditions in this ecosystem of Havana City.
In addition, the following institutions are relevant for the administration of the coastal environment:
· The Ministry of Public Health and the Provincial and Municipal Health Units, Hygiene and
Epidemiology Departments (waste to sewer systems and controlling vectors)
· The Ministry of Tourism (hotels in beaches and marines)
· The Ministry of Agriculture (chemicals and wastes)
· The Ministry of Fishing (industrial wastes and aqua-culture)
· The Ministry responsible for the Sugar Industry (chemical and sugar mills wastes)
· The Ministry responsible for the Heavy Industry (impact of refineries of petroleum, electric
generating plants, nickel industries)
· The Civil Defense National Staff, organised under the Ministry of the Armed Forces, (disaster
prevention and contingencies)
· National Institute of Hydraulic Resources (water resource)
· Physical Planning Institute
· Instituto Superior Politecnico Jose Antonio Echevarria/Centro de Investigaciones Hidraulicas
· Instituto de Investigaciones Porcinas
Other institutions that act in marine sciences and in scientific and technical services, related to coastal
management, are:
· The Centre of Marine Research of the Havana University
· The Fishing Research Centre of the Ministry of Fisheries
· The Centre of Engineering and Environmental Management of Bays and Coastal Areas (CIMAB)
(Ministry Transportation)
· Geocuba, the Governmental entity for geodesic services cartography and marine studies, (Ministry of
the Armed Forces)
· The National Oceanographic Committee, co-ordinator of actions of common interest
The Provincial Assemblies of the Popular Power are, through their Council of Administration, the local
governmental authority in each one of the 14 provinces. The councils are in charge of health, education,
environment protection, labour policy, community services, passenger transport, tax collection and land
use.
The Council of Administration delegates tasks to relevant provincial directorate or to ad-hoc commissions
of the Provincial Assembly, for example the Environment Commissions.
Many functions are managed at municipality level. The Popular Councils operate at neighbourhood level.
In addition, there are some Non-Governmental Organisations, such as Association Pro-Naturaleza and
Group for the Integral Development of the Capital (in the City of Havana)
14
II
PROJECT JUSTIFICATION
A. The problem to be addressed: The present situation
General
The project falls under GEF Operational Program #10 International Waters Contaminant-Based, whose
objectives include "....demonstrate strategies for addressing land-based activities that degrade marine
waters...". In OP10, "GEF plays a catalytic role in demonstrating ways to overcome barriers to the
adoption of best practices limiting contamination of International Waters". The main expected outputs
from the five-year project are
· Demonstrations of substantial reductions of nutrient inputs to the bay, through the application of more
sustainable technologies. The technologies proposed perform in line with the effluent limitations for
municipal wastewater described in the draft LBS protocol to the Cartagena Convention (see annex 3).
· Development and strengthening of national environmental institutions responsible for management of
the respective bays.
· Regional activities (implemented by UNEP through CAR/RCU) aiming at disseminating best
practices and lessons learned from the project and related activities in the region.
The project will be consistent with and supportive of national action programs and investments aimed at
reducing contamination of the bays. It is designed to provide incremental financing to facilitate efforts to
achieve global environmental benefits through the reduction of transboundary pollution (nutrients) into
the WCR. The project will support national investments, institutional arrangements, and capacity building
programs supportive of global environmental protection.
The initial GEF/UNDP support to this project will contribute to the reduction of financial risks and to
overcoming economic transaction barriers.
The project will help build awareness, necessary skills, and capabilities among the different stakeholders,
in order to assure the sustainable use of the bays and coastal areas as multiple use zones. The institutional
framework will be strengthened by involving the different stakeholders in constructive discussions and
through establishment of appropriate incentive structures.
Cuba
The mean flow received by Havana Bay is estimated to be 330 000 m3/day, mainly from the main storm-
water drainage and the rivers and streams. About 48000 m3 of this is reckoned to be wastewater, carrying
around 4800 kg nitrogen (N) and 1200 kg phosphorous (P), or the equivalent of 290 000 - 350 000 pe.
More than half of these wastewater and nutrient discharges originates from the Luyano River Basin.
The sewage from Havana City is discharged untreated into the bay and the rivers. Thus, elevated
concentrations of ammonium-nitrogen, 1 mg/l and even higher, have been measured in the bay. The
concentrations of phosphorous are also relative high, 0.02 - 0,08 mg/l, and the bay is classified as an
eutrophic system, based on Chlorophyll concentration. In addition, the mean value of fecal coliforms is
higher than the permissible concentrations listed in the Cuban norms for secondary contact.
15
At the same time, the water in the bay is contaminated by hydrocarbons. The values of total hydrocarbons
found in the superficial waters of the bay fluctuate between 1.27 and 0.35 mg/l. The values found in the
silts are in a range 865- 1240 µg/g of dry material.
High concentrations of copper, lead and zinc in higher concentrations in the silts are found in the
Ensenada de Atarés (inside the bay), due to the contributions of urban-industrial residuals that are
discharged through the city drainage. The content of nickel in the silts is high in the Ensenada de
Marimelena, due to discharges from the thermoelectric industry and the petroleum refinery. The
concentrations of heavy metals in the silts could cause biologically adverse effects.
Every day about 8 000 m3 of polluted water arrives to the open sea, transporting pathogens, nutrients,
organic matter, suspended solids, hydrocarbons, heavy metals and other micro-pollutants. Thus, the mean
value of total hydrocarbons found in superficial waters (0.45 mg/l) as well as the content in the silts (936
µg/g dry material) at the marine coast (Creek of San Lazaro), indicate pollution by water from Havana
Bay.
Present actions
Although mitigating actions have achieved some effects, such as reducing spills from the petroleum
refinery and other industries and managing and controlling solid and liquids wastes from ships, the
degradation of the ecosystem grows. Thus, the actions carried out by the GOC have not been effective
enough. These actions are also limited by the lack of funding for the necessary investments. Cuba is not a
member of the International Monetary Fund and has very limited access to external sources of financing.
16
Table 3 summarizes the actions that have been carried out and the planned actions in order to improve the
environmental conditions of Havana Bay.
Table 3 Actions to rehabilitate Havana Bay
Actions
Actual
Estimated
Status
cost,
1000 USD
Construction of fixed barriers for spills at the oil refinery
Operating
1 000
Conversion of the gas plant in order to use natural gas (Clean Done
750
Technology)
Deactivation of old alcohol distillery
Done
500
Deactivation of alcohol production line in existing distillery
Done
80
Rehabilitation of petroleum spills control at oil refinery
In process
35
Treatment plant in the Quibu River Basin
Done
2 000
Treatment plant in the Almendares River Basin
Done
2 500
Rio Almendares Basin pollution management proje ct
Ongoing
200
Waste treatment system in Hemingway Marina project
Ongoing
150
Rehabilitation proposal and design of the submarine outfall in Done
-
Playa del Chivo
Environmental management design of solid waste and oil spill in Done
-
Playas del Este
Construction of incinerator for ship waste
Done
500
Equipment of the Port Cleaning Unit
Done
1 500
Construction of solid waste trap
Done
20
Wastewater treatment design project for the basins of and Martin Done
-
Pérez River and the Tadeo Stream
Design project of solid waste management of the Havana Bay Done
-
Basin
Design of a comprehensive system for solid and liquid ships Done
-
wastes management
Preliminary project for dredging of contaminated soils
Done
Dredging cost
is estimated to
15 mill. USD
In addition, the Government has established a plan for the sanitation of Havana Bay and the basins of the
tributary rivers, especially the basin of the Luyanó River, the main source of organic and industrial wastes
to the bay. This plan comprises the establishment of four wastewater treatment plants to treat all the
collected municipal wastewater within the actual area. Thus, the direct discharge existing today will be
disconnected. The plan is based on data on amount of wastewater and pollution load from the present
population and from existing industries in the actual zones.
The plans may be implemented in phases, making it possible to do the investments stepwise. As soon as
the collector systems Sur 2 and Sur 4 can be disconnected, the water quality in the bay will improve.
Based on an evaluation of the local conditions and the available resources, the GEF financing will be
most effective if the project is limited to wastewater treatment in zone IV.
17
B. Expected Project Benefits
The present project has been conceived in order to upgrade:
· the water quality of the coastal and oceanic waters, receiving pollution from urban and industrial
areas in Havana city
· the estuarine coastal ecosystem in Havana Bay, receiving pollution from the industries, fluvial
streams, storm-water drainage and sewer system
· the inter-institutional co-ordination and management capacity of the involved organisations
In the project techniques to treat the municipal wastewater and to protect the water resources will be
introduced, as well as the production of bio-gas and fertilisers and/or soil conditioners. Improvements in
the collection, treatment and disposal of the municipal wastewater from an important area of the city will
contribute to solve a part of the threats to the environment of the Caribbean Sea. They will also reduce the
risks for the health problems, connected to the highly polluted water in Havana Bay.
The expected benefits from the project are as follows:
· Improved water quality of the Havana Bay by reducing the inputs of suspended solids, organic matter
and pathogens, and about half of the estimated nutrient (nitrogen and phosphorus) load to the Bay.
· Reduced inputs of nutrients and other transboundary pollutants (heavy metals and persistent organic
pollutants) to the Caribbean Sea.
· Improved sanitary conditions for the inhabitants in the catchment area of the Luyanó river
· Bio-gas production from waste resources (sludge and black-water), reducing the consumption of fossil
fuel and the emission of greenhouse gases and other long range air pollutants.
· Production of organic fertiliser for agricultural purposes from treated sludge and black-water. This will
increase the recycling of nutrients and decrease Cuba's dependency on import of mineral fertiliser.
· Improvement of institutional weaknesses
· An incentive framework
· Improved competence in wastewater treatment in Cuba and in the region, as a result of the
investigations and design/construction connected to the project, and also from the necessary training.
This will be a benefit to future projects of similar character in other parts of Havana and Cuba.
· Demonstration of «zero emission housing unit», recycling nutrients, applicable to urban and rural
areas. The technology may be introduced to countries with similar climatic conditions, and the
possibilities for export of ecologically adapted prefabricated houses, based on "zero emission"
technology, to these countries will increase.
C. Target beneficiaries
The beneficiaries of the project will include:
· Ecosystems in international waters and in Havana Bay, receiving less inputs of nutrients
18
· Inhabitants (around 70,000) in the Rio Luyanó catchment, as the sanitary conditions improve and areas
close to the river will be attractive for recreational purposes
· People of Havana, as Havana Bay will be less polluted
· Tourists because the harbour area, urban rivers and riverbanks will be more attractive
· Cuban farmers, as the quantity and availability of organic fertiliser will increase
· Cuban universities and research institutions, who will use the different wastewater treatment facilities
including the bio-gas production units for research, studies and training
The project will not only solve imminent problems. It will also promote the possibilities for development
of new knowledge and interdisciplinary co-operation on subjects where basic knowledge already exists in
Cuba, but where only limited co-operation and interaction between the different research institutions and
professionals have taken place so far.
The local population will develop improved environmental awareness as new sewage systems replace the
small streams as dumping sites.
D. Project strategy and institutional arrangements
The project will result in a reduction of nutrients and pathogens to Havana Bay, coming from the tributary
rivers. These rivers transport today 70 % of the organic load to the marine waters. The effects will add to
the control measures taken on industrial sources and on solid waste, based on intensified control from the
Government of the City of Havana.
Project Concept and Strategy
The proposed project will address problems related to sanitary installations in the river basin in Havana,
and subsequently lead to a reduction of the contaminant input (including the nutrients nitrogen and
phosphorous) to local and international waters. The main strategy is to remove the pollutants from the
sewage and utilise the nutrients and energy in the wastewater in a cost-effective way.
The project will also reach for a highly effective treatment on black- and grey-water combined with the
production of bio-gas and fertiliser and present ways to reduce the volume of untreated black-water that
presently is discharged directly to the ocean through the submarine outlet of Playa del Chivo.
Site Selection.
The AOCH has selected the tributary river basins to the Bay as primary project location, particularly that
of the Luyanó River. Prior to this decision, local organisations, advisory groups and scientific institutions
have been widely consulted, as the degradation of these rivers highly influences the quality of life of a
population of 140 000 inhabitants in addition to the environmental effects in the Bay and coastal waters.
Project Replication Capacity
In Havana, like in almost all the coastal cities in the countries of the Caribbean, there are inadequate
collection systems of wastewater. Lack of treatment and disposal of wastewater from land-based sources
are the main causes of the contamination of the sea by nutrients, heavy metals and other micro-pollutants,
such as persistent organic pollutants (POPs), through direct discharges, surface runoff and groundwater
discharge. The effects of this contamination in the marine environment are more or less similar in all the
Caribbean countries, affecting not only the bio-diversity, but also the tourist industry.
19
This project will therefore have a demonstration effect for the whole region and will contribute to a
regional transfer/exchange of new scientific knowledge on the marine environment.
The Secretariat for the Cartagena Convention, CAR/RCU, will play an important co-ordinating role in
exchanging new knowledge through the UNEP-implemented component of the GEF project. Project
results, best practices and lessons learned will also be disseminated to the wider Caribbean and beyond
via UNDP-GEF Distance Learning project IW: LEARN.
E. Reasons for UNDP Assistance
The project falls under GEF Operational Program #10 International Waters Contaminant-Based. The
main expected outputs from the seven-year project are:
· Demonstrations of substantial reductions of nutrient inputs to the two bays, through the application of
more sustainable technologies. The technologies proposed perform in line with the effluent
limitations for municipal wastewater described in the draft LBS protocol to the Cartagena Convention
(see annex 3).
· Development and strengthening of national environmental institutions responsible for management of
the respective bays.
· Regional activities (UNEP component of GEF project) aiming at disseminating best practices and
lessons learned from the project and related activities in the region.
The project will be consistent with and supportive of national and regional action programs in the two
countries aimed at reducing contamination of the bays. It is designed to provide incremental financing to
facilitate the efforts of the two countries to achieve global environmental benefits through the reduction of
transboundary pollution (nutrients) into the WCR. The project will support national investments,
institutional arrangements, and capacity building programs supportive of global environmental protection.
The initial GEF support to this project will contribute to the reduction of financial risks and to
overcoming economic transaction barriers. The project will help build awareness, necessary skills, and
capabilities among the different stakeholders, in order to assure the sustainable use of the bays and coastal
areas as multiple use zones. The institutional framework will be strengthened by involving the different
stakeholders in constructive discussions and through establishment of appropriate incentive structures
F. Special considerations
Innovative Features
This project, being considered for GEF funding under Operational Program No. 10 in the International
Waters focal area, will make an important contribution towards reducing the environmental degradation
of the Caribbean. In addition the areas that surround the rivers that at present are heavily polluted from
open sewers will have the potential of being transformed into natural and ecological parks.
Demonstration Effects
Through the project new technology for biological treatment of municipal wastewater and sludge will be
tested. In a pilot project the technology of low water-consumption and "zero emission" housing units will
be demonstrated, and, through Caribbean-wide dissemination, the results may lead to a wider use of these
technologies both in Cuba and in other parts of the Caribbean area.
20
Sustainability
The proposed handling and disposal systems for wastewater need resources for their continued operation
and maintenance beyond the GEF grant period. Future service tariffs must consider the special conditions
of the Cuban economy.
It may be necessary to find ways of financing operation and maintenance costs not only in the present
Project actions, but also of other activities necessary for environmental conservation. The sustainability
of the Project could be based on the following considerations:
· The Project in Cuba contemplates the Replicability of their experiences in other areas of the country
and in the Greater Caribbean Region. It is not possible to measure the economic effects of these
experiences, but it is conceptually understandable to consider them as a component of economical
and ecological sustainability. It should be kept in mind that the Caribbean is considered an Special
Zone according to the MARPOL 73/ 78 Annex V (the declaration went into effect April 4 1993) and
that the seas in these areas are especially fragile. The main threat to the Caribbean islands and their
beaches is the land-based sources of pollution.
· A better quality of Havana Bay and adjacent coastal areas will permit an increment in the fishing
potential of the zone. Although not considered commercially it might become an economical
sustainability output
· Better recycling of limited resources. This is especially important for the nutrients phosphorous as
fertiliser, as the world, and particularly Cuba's, resources are limited
· The Havana Bay is located in the central zone of the capital close to Old Havana, the old main
commercial and business centre of the city which is now experiencing an increase in activities. The
revitalisation of the bay-side areas, including transforming the old port warehouses into business and
commercial centres, will serve to enhance revenue for the city generating financial resources capable
to support the financial sustainability of actions to maintain the environmental quality of the bay
· The increasing importance of Cuba and Havana as one of the main tourist destinations of the
Caribbean, makes it necessary to recover the environment in Havana Bay, as it is the site of the main
port of the country. The port authorities consider that the current environmental conditions conspire
against an increase in the tourist traffic. This traffic and the related services are a potential source of
revenue in exchangeable currency for the City, and therefore also a component of the Project
financial sustainability.
· There exists no appropriate environmental management of the urban and industrial wastewater
discharged to the Martin Perez Rivers and the Tadeo Stream, tributaries to the Bay. An environmental
recovery of these rivers will improve the quality of life in these areas. Is an output to social and
financial sustainability.
· The presence of pollutants in the waters are also vectors for transmissible illnesses. Because the
strength of the primary medical attention in Cuba, the effects are not significant, but without doubts
these risks represent extraordinary expenses in the attention to gastrointestinal diseases.
· The Project also promotes institutional sustainability, especially at provincial and municipal level,
by providing best practice know-how in wastewater management, and broad community participation
in the quality of life of their neighbourhoods.
Involvement of NGOs
The forms in which non-State sectors would act in support to certain aspects of the Havana Bays Project
are explained in the epigraph Community Participation of Section VIII.
In Cuba, the NGOs are related fundamentally with diverse sectors not directly linked to marine activities.
One of the aspects that are included in the Project implementation phase should be to find ways to more
fully involve these organisations.
21
G.
Counterpart Support Capacity
The Ministry of Science, Technology and Environment, through its Delegation for the City of Havana,
will be responsible for the implementation of the project in Cuba and will co-ordinate all the activities
with the Council Administration of the City of Havana and other involved institutions.
Earlier works carried out by the GOC with the support of UNDP, UNEP, GEF, and IMO on marine
pollution, their management, as well as the systematic scientific development policy, have created a solid
base of knowledge and personnel. This constitutes the main contribution that Cuba could give to the
Project.
The members of the Provincial Environment Commission, and the executives and technicians of the
Provincial Aqueduct and Sewage Office have been active in these earlier works. Also the Presidents and
members of the related Popular Councils and health personnel have participated, not forgetting local
groups of the Women Federation, the Youth, the Students, the Unions, involved in task-force activities at
District level.
III. DEVELOPMENT OBJECTIVE
The global environmental objective of the project is to demonstrate and promote regional replication of
innovative technical, management, legislative and educational approaches to reducing nutrient loads to
Havana Bay and to the Wider Caribbean Region.
The long-term objective of the project is to promote and facilitate environmentally sustainable
development and management of the two bays and to disseminate and replicate successful approaches to
the rehabilitation of these bays to other sites in the Wider Caribbean facing similar environmental
challenges.
The rehabilitation of the national and associated international waters will be based on mitigating measures
and institutional strengthening and co-operation in each of the selected areas. As stated in the
Introduction, the main environmental problems on a regional basis are connected to the discharges of
nutrients (nitrogen and phosphorus) and micro-pollutants (heavy metals and persistent organic pollutants,
including pesticides).
This GEF/UNDP project will complement planned and ongoing baseline activities in Havana aiming at
improving the quality of the respective aquatic (marine) systems, by introducing sustainable contaminant
reduction and reuse technologies, and enhancing water resource management capabilities, thus reducing
environmental threats to the bay and the Wider Caribbean. Based on the analyses carried out during the
pilot phase project, the country has prioritised similar activities connected to biological treatment of
sewage and nutrient removal.
22
IV.
PROJECT COMPONENTS/ACTIVITIES AND EXPECTED OUTPUTS
Output 1:
Construction of a sewage treatment plant, including nutrient removal and sludge
utilisation
A new sewage treatment plant will be constructed that will cover a population of about 70,000 in the
Luyano River area. The plant will include nutrient removal and will be designed for sludge utilisation
either to energy or as fertiliser. The GEF substitutional financing covers the difference in cost between a
basic primary/secondary treatment system and a more advanced, integrated system that includes tertiary
treatment (removal of the nutrients nitrogen and phosphorous)
Process description:
The proposed sewage treatment plant uses an activated sludge process, designed to remove suspended
solids, organic matter and nutrients. The plant will be based on the following design criteria:
Table 7. Design criteria for the treatment plant in Havana
Design parameter
Influent loading
Effluent quality
Average wastewater flow
1100 m³/hour
Maximum wastewater flow
2400 m³/hour
Organic matter (BOD5)
2880 kg/day
<20mg/l
Suspended solids (SS)
<30 mg/l
Total nitrogen (Tot-N)
528 kg/day
>70 % removal
Total phosphorous (Tot-P)
120 kg/day
>56 % removal
The proposed sewage treatment system includes the following elements:
-
Collection and transport system to convey wastewater to the treatment plant site
-
Headworks consisting of a bar screen, grit and grease removal, and if necessary, an influent pumping
station
-
Primary clarifier to remove suspended solids from the wastewater
-
Biological treatment unit consisting of alternating anaerobic/anoxic/aerobic zones for optimised
nutrient removal, equipped with biological selector zones
-
Secondary clarifiers for the separation of treated wastewater and sludge
-
Sludge return system to maintain a high suspended solids concentration in the biological process
-
Effluent polishing in vertical flow filters
-
Discharge piping
Activity 1.1: Nutrient removal
The two processes involved in nitrogen removal are called nitrification and de-nitrification. Nitrification
converts ammonia in the incoming wastewater to nitrate. This process requires oxygen. Denitrification
converts nitrate to nitrogen gas. This is a process that requires a relatively high organic loading and
anoxic conditions. The effluent of an activated sludge process has elevated concentrations of nitrate due
to the nitrification process in the aerated zone. By recycling a portion of this wastewater to the influent
end of the basin, the nitrates will be exposed to anaerobic conditions and a high organic loading.
Phosphorus removal is accomplished by first exposing the wastewater and return activated sludge to
anaerobic conditions. Micro-organisms exposed to alternating anaerobic and aerobic conditions increase
their uptake of phosphorus above normal levels. Following the anaerobic zone is an aerated zone where
the actual phosphorus uptake takes place. Sludge removed from this process will therefore have elevated
levels of phosphorus, and effluent from this process generally has P concentrations less than 1 mg/l.
23
To accomplish both nitrogen and phosphorous removal, these two schemes must be combined. This can
be accomplished by dividing the activated sludge process into three zones; first an anaerobic zone
followed by an anoxic zone where nitrate is present, and finally an aerobic zone. This system is expected
to remove approximately 60-70% of the nitrogen and phosphorous.
Activity 1.2: Sludge utilisation
The project proposal includes utilisation of the sludge produced in the wastewater treatment process,
either as a fertiliser or as energy from gas. There are three possible solutions for sludge treatment:
-
Dewatering, and mixing with yard waste/bark for compost production
-
Anaerobic digestion for methane gas production and energy utilisation
-
Dewatering, and anaerobic stabilisation.
The pre-design report will provide a final proposal for which alternative that will be implemented.
Figure 2. Diagram of the proposed sewage treatment plant in Havana
Sludge recycle
Influent screen
Grit removal
Primary clarifier
Anaerobic reactor
Influent
Anoxic reactor
Aerobic reactor
Secondary clarifier
Effluent
Return activated sludge
Waste activated sludge
Output 2:
Demonstration projects focusing on recycling of nutrients and energy from
wastewater.
To demonstrate sustainable technologies for decentralised wastewater treatment and disposal, two smaller
projects are included in the project proposal. These activities will be a part of ongoing research activities
at the University of Havana. The technologies to be demonstrated include use of low flush toilets to
reduce water consumption and wastewater production, black water collection and treatment, and small
scale constructed wetlands for wastewater treatment. For these demonstration projects training/
educational programs and monitoring programs will also be implemented.
Activity 2.1: Zero emission housing
Cuba is producing prefabricated apartment buildings for use in Cuba and for export (MATCO house).
These buildings can be fitted with low flush toilets and separate collection systems for black and grey
water. At approximately eight demonstration housing units, black water will be collected and transported
24
to a central treatment facility, while grey water will be treated locally and used for irrigation purposes.
About 90 percent of the nutrients are removed and recycled.
Activity 2.2: Sewage treatment in are as with low infrastructure and housing standards
In a small suburban area "El Moro" all sewage is currently drained to an open canal and ends up in the
Luyano River and subsequently in Havana Bay. To demonstrate alternatives for decentralised wastewater
treatment, a constructed wetlands system will be built. The system consists of a septic tank, a trickling
filter and open-surface constructed wetland and serves 50 households. The expected treatment efficiency
for nutrients in this system is approximately 60-80 percent.
VIII. INPUTS
A. Government Inputs
The inputs from the Government of Cuba to the project are mainly in the form of human resources,
existing premises and construction of new facilities. Total inputs from GOC and The Authorities of the
City of Havana total an equivalent of USD 15,999,000 (at 1$US = 1 Cuban peso) for a period of 5 years.
Detailed description of costs is given in Budget, Section XI.
The GOC shall make available the services of existing professional staff from related institutions at times
required for the successful implementation of the project.
An inter-institutional committee will facilitate participation of the wide variety of institutions involved in
the project. The committee will be required to designate issue-specific Task Forces to attend particular
needs.
The project funds will be used to warranty that the equipment required for the execution of the project,
including training, monitoring and surveying activities, will be purchased in due time. Funds will be
provided by the project to support capacity building activities such as subsistence costs for workshops,
training seminars and conferences. Funds will also be provided for preparation, acquisition and
dissemination of publications related to the environmental management of Havana Bay and its relations to
international waters. Funds will also be used to finance international and national consultants with
experience in relevant subject matters in order to support the local and national authorities in achieving
the envisaged goals of the project.
B. GEF Inputs
The GEF has allocated a total of US$ 4,458,598 for the implementation of this project (UNDP $4.038
million; UNEP $0.42 million). The indicative time frame for the project is five years, from approximately
January 2002 to January 2007.
C. UNDP Inputs
UNDP will serve as implementing agency for the wastewater (Cuba) treatment component of the GEF
project and will continue to backstop this project with its own staff members and financing, both from
headquarters and locally from the Country Office in Cuba. UNEP is the lead IA for the regional
25
dissemination component of the GEF project; the UNEP implementation plan is outlined in a separate
UNEP project document.
VI. RISKS
As far as possible the project activities will be designed to minimise potential risks. Possible sources of
risk to the success of the project include:
Reluctance of authorities to support the initiative
The GEF-financed project components are focused on addressing global environmental issues, in this case
control of a significant contaminant of both national and international waters, the nutrients nitrogen and
phosphorus. Successful implementation of the global elements, through effective demonstrations of
nutrient removal, will in turn strengthen the initiatives from local authorities to solve local pollution
problems. This connection between local and global benefits is expected to reduce the risk of reluctance
from authorities to support the proposed project components. Risks for reluctance of authorities to support
the initiative is considered to be low.
Conflicts among institutions/stakeholders
Cuba faces various national and local challenges related to institutional coordination and stakeholder
involvement in projects such as this one. However, it does not have any major political conflicts, and no
conflicts between local institutions have been identified which could impede progress of the project. The
project implementation is based on close coordination, based on existing national and local institution.
Each national agency responsible for project coordination will play a key role in the management of
possible conflicts among institutions/stakeholders throughout the whole project period. Risk for conflict
among institutions/stakeholders is therefore considered as low.
Overestimation of institutional capacities
Risk may arise in the event that the project proposals have overestimated the technical and administrative
capacities of the different agencies and institutions involved in the different project components.A need
for institutional strengthening in environmental management of the bay has been identified during the
pilot phase project. Limited amounts of institutional strengthening and training are therefore included to
reduce this risk. With this input, the risk for overestimation of institutional capacities is reduced from
medium to low.
Lack of technically qualified personnel
The available technical personnel in Havana are generally not familiar with the proposed technologies. It
is therefore assumed that international, technically qualified personnel may be engaged in the planning,
construction and start-up of the sewage treatment plant as required. The project involves extensive
training of local staff in operations and maintenance of the respective facilities to ensure sustainable plant
operation beyond the project period.
Lack of financial resources
The Cuban authorities have made a commitment to support the project with all available domestic
resources needed to implement the project. The inputs from the Government of Cuba to the project are
mainly in the form of human resources, existing premises, land for the proposed plant, and construction of
new facilities, all covered by local currency. In nearly all Cuban infrastructure projects such as this there
is a need for partial funding in hard currency. Domestic sources for needed equipment and materials are
scarce in Cuba, and often must be imported. The project proposes therefore to use a "low equipment/high
labour rate" approach, while still utilizing a commercial technology for sewage treatment plants with
26
nutrient removal. The pre-design report will identify in detail the available domestic resources and
imports required. Much of the GEF financial contribution will then be used to finance the necessary
imported materials. There is a risk that this GEF contribution will be insufficient. In that case additional
financial resources will need to be mobilized, leading to project delays. The Cuban authorities are
examining a number of approaches to sustainable O&M of the facility, including user fees, fertilizer sales,
and using the increasing tourist revenue anticipated from improved conditions in the Bay. Overall, this
risk is considered as a medium risk.
VII. PRIOR OBLIGATIONS AND PREREQUISITES
Prior Obligations
There are no prior obligations, except signing the project document, associated with the Project.
Prerequisites
The following is considered as prerequisite conditional at the signature of the project documents for
releasing funds:
· it is assumed that the commitments stated as baseline activities will be carried out as planned
The following are considered as prerequisites required at the outset of the Project in order to assure
smooth implementation but are not pre-conditions for signature of the project documents and release of
funds:
· to secure confirmation from the group acting as Steering Committee at National level as indicated in
the Project.
· the Cuban counterpart to designate key staff to work with the project and establish the Project Core
Team
· the Cuban counterpart to prepare specifications and possible sources
· the Cuban counterpart and UNOPS will discuss procurement and contracting arrangements for budget
items and activities in line with UNDP financial rule s and procedures.
VIII. INSTITUTIONAL FRAMEWORK, CO-ORDINATION AND ADMINISTRATION
The project will be internationally managed by UNOPS, which will take charge of all coordination and
administration arrangements, working directly with the UNDP country office in Cuba and with the
national project management office established for purposes of coordinating this project by the
Government of Cuba. It will also liaise with UNEP on the timing of the implementation of the
component that is to be implemented by UNEP.
Overall project organization is shown in Figure 3.
27
Figure 3:
Project Organisation
UNDP/GEF (HQ)
UNOPS
UNDP CUBA
GoCUB NATL. PROJECT
OFFICE (NPO)
UNEP
Cuba
Implementing Agencies and Arrangements
In Cuba the Ministry of Foreign Investment and Economic Cooperation is the central body of the
Government for the coordination of international cooperation and as such supervises the execution and
implementation of all projects in Cuba. The Ministry of Science, Technology and Environment, through
its Delegation for the City of Havana (DCITMA), will be responsible for the implementation of the
28
project in Cuba and will coordinate all the activities with the Council of Administration of the City of
Havana and other involved institutions, including the National Institute of Hydraulic Resources, the
Ministry of Transportation, and the Port Authority of Havana.
The National Project Office (NPO) will be located at the Delegation of CITMA (DCITMA), with a full-
time co-ordinator and secretarial and logistic support. NPO will be responsible for the general co-
ordination of the activities, including community participation, supervision of works, inter-institutional
arrangements and information about the outputs.
Additional benefits may be obtained later by expanding the period and the mandate of the NPO beyond
the proposed project period.
At national level, a Steering Committee, co-ordinated by CITMA, will be established to be responsible for
supervisory, co-ordination and review functions. Members of this committee should be the Government
of the City, the Ministry of Transportation, the Ministry of Foreign Investment and Co-operation, the
Ministry of Construction, The Ministry of Economy and Planning, the Ministry of Public Health, the
National Institute of Hydraulic Resources, the Institute of Physical Planning and the Technical Center for
Development of Construction Materials (MATCO), the Governmental Working Group for the Sanitation,
Conservation and Development of Havana Bay and other institutions involved in the project actions and
UNDP.
Community Participation
The integral management of a basin within a city needs to have an urban approach and to include e.g.
sanitary engineering. This means that community groups, neighborhood councils, NGOs, and professional
associations should participate in the management of the basin of the Luyanó River.
Consultations have been carried out with the involved instances, at national, provincial and local level, in
preparing the project in Cuba. Their ideas and recommendations have been incorporated in the proposal.
Also, NGOs, academic and scientific institutions and local resource persons have been consulted at all
levels. There is a consensus between all these institutions on the importance of the sanitation of the
Luyanó River and the other tributary rivers to the Havana Bay and on the environmental rehabilitation of
the coastal ecosystem.
The political system in the country leans on community participation, by means of the Popular Councils
These Councils are elected in each district, thus representing the point of view of the community
represented by municipal and provincial government. They will constitute a point of support in order to
organise local efforts in environmental protection and will get technical assistance from the sanitary
authorities at zone level (i.e. polyclinics in the district and the family doctors at block level).
Popular organisations like the Comités de Defensa de la Revolución (CDR) (in each block), the workers
unions, youth, students and women organisations, act in the municipalities and the districts. These
organisations have some responsibilities for health, collection of waste materials, support to the schools,
etc. and will therefore be important for the project.
In the case of the City of Havana, the Group for Integral Development of the Capital has had some
international support for their activities. Some of these activities have been related to Havana Bay and
sanitation rehabilitation of the coast. There might also be possible to identify other sources for financing
the environmental management of the ecosystem of Havana Bay.
29
Figure 4. Cuba Project Organisation
CITMA Delegationof the
City of Havana
(DCITMA)
National
Steering
Committee
(CND)
National
Project
Provincial
Office
Administrative
Popular Councils
Council (CAP)
and other NGOs
(NPO)
University
& Research
30
IX. PROJECT REVIEWS, REPORTING AND EVALUATION
Routine monitoring and evaluation of project activ ities are incorporated into the project design. In
addition to routine reporting, the project will undertake an independent mid-term and final review and
financial audit. The project will be subject to the standard annual UNDP tripartite review (TPR), Annual
Project Report (APR), as well as the annual Project Implementation Review monitoring and evaluation
exercise of the GEF (PIR). In line with GEF policies, each project site will also develop a suite of M&E
indicators based on the process, stress reduction and environmental status framework.
The Cuban Ministry of Science, Technology and Environment (National Project Office), the Cuban
Ministry of Foreign Investment and Co-operation of Cuba, UNEP and UNDP will conduct annual
tripartite reviews of the project. The project managers will prepare an Annual Project Report (APR) and
submit this to the two international agencies, UNDP and UNEP, as well as UNOPS, prior to each
tripartite review meeting. The report will summarize progress, results, system performance, local
participation, and expenditures vs. budget. Additional APR's may be requested during the project period,
if deemed necessary.
A project terminal report will be prepared for consideration at the terminal tripartite review meeting. It
will be prepared in draft at least four months prior to the final tripartite review to allow review and
technical clearance by the Steering Committee, and will be shared with UNOPS and UNDP/GEF for
comment/review at least one month in advance of final TPR. In the final year of the project a full scale
evaluation of the two project sites will be undertaken to provide detailed practical recommendations on
application of the project results and lessons learned to the Wider Caribbean.
UNEP-CAR/RCU will arrange a terminal workshop on viable opportunities for nutrient removal and
sludge utilization, in co-ordination with the participating national agencies. The workshop will review
lessons learned in the project, and publish the results for distribution in the region.
X. LEGAL CONTEXT
This Project Document shall be the instrument referred to as such in Article 1 of the Standard Basic
Assistance Agreement, which has been signed between the Government of Cuba and the United Nations
Development Programme.
The following types of revisions may be made to this project document with the signature of the Principal
Project Resident Representative (PPRR) only, provided he or she is assured that the other signatories of
the project document have no objections to the proposed changes:
1. Revision in, or addition of, any of the annexes of the project document.
2. Revisions which do not involve significant changes in the immediate objectives, outputs or activities
of the project, but are caused by the rearrangement of the inputs already agreed to or by cost increases
due to inflation.
Mandatory annual revisions which rephrase the delivery of agreed project inputs or increased expert or
other costs due to inflation or take into account agency expenditure flexibility.
31
XII. GEF BUDGET
Total
Year 1 Year 2
Year 3
Year 4
Year 5
2002
2003
2004
2005
2006
CMBL
Description
10
PROJECT PERSONNEL
11
International Personnel
Evaluation Consultants
11-97
costs
20,000
10,000
10,000
16-02
UNDP Missions
3,000
1,500
1,500
19
Component total
23,000
11,500
11,500
20
CONTRACTS
21-01
Admin & Supervision
75,000 15,000
15,000
15,000
15,000 15,000
21-02
Detail Design
45,000 30,000
15,000
21-03
Construction
235,000
90,000
60,000
50,000 35,000
21-04
Plant Technology & Training 3,130,000 400,000 900,000 900,000 850,000 80,000
21-05
Demonstration units
50,000 10000
30,000
10,000
29
Component total
3,535,000 455,000 1,050,000 985,000 915,000 130,000
40
EQUIPMENT
45--01
Misc. Equipment
91,000 91,000
45-02
Publications
30,000 15,000
15,000
45.03
Communication
10,000
2,000
2,000
2,000
2,000
2,000
Operations + Maintenance
45.04
(Cuba)
111,001 16,944
32,079
30,024
27,579
4,375
49
Component total
242,001 124,944
49,079
32,024
29,579
6,375
50
MISCELLANEOUS
52-01
Reporting costs
9,544
1,500
2,000
2,000
2,000
2,044
53-01
Miscellaneous
1,500
300
300
300
300
300
59
Component total
11,044
1,800
2,300
2,300
2,300
2,344
90
TOTAL
3,811,045 581,744 1,101,379 1,030,824 946,879 150,219
AOS
UNOPS (6,15%)
227,553 34,735
65,762
61,549
56,537
8,969
99
CUBA - PROJECT TOTAL 4,038,598 616,479 1,167,141 1,092,373 1,003,416 159,188
XII.2 Government Counterpart Parallel Contribution Budget
CUBAN GOVERNMENT COUNTERPART CONTRIBUTION
BUDGET (In Cuban Pesos) (US$1=Peso 1 @ official exchange rate)
BL
DESCRIPTION
TOTAL
2002
2003
2004
2005
2006
10
PERSONAL
17
National Professionals
1701
Management Team
3 525 000
705 000
705 000
705 000
705 000
705 000
1799
Sub total
3 525 000
705 000
705 000
705 000
705 000
705 000
19
Component total
3 525 000
705 000
705 000
705 000
705 000
705 000
20
CONTRACTS
2102
Administration and
392 000
272 000
120 000
supervision
2103
Scientific information
25 000
15 000
10 000
2104
Construction
7 920 000
2 335 000
1 965 000
1 950 000
1 670 000
2105
Demonstration project
490 000
60 000
180 000
100 000
90 000
60 000
(zero-emission housing
units)
29
Component total
8 827 000
347000
2 645 000
2 045 000
2 040 000
1 730 000
30
TRAINING
32
Misc. Training activities
560 000
112 000
112 000
112 000
112 000
112 000
39
Component total
560 000
112 000
112 000
112 000
112 000
112 000
40
EQUIPMENT
4502
Technical equipment
2 915 000
329 000
862 000
862 000
812 000
50 000
4502
Non-technical
56 000
56 000
equipment
4502
Miscellaneous
7 000
7 000
4599
Sub total
2 978 000
392 000
862 000
862 000
812 000
50 000
49
Component total
2 978 000
392 000
862 000
862 000
812 000
50 000
33
50
MISCELLANEOUS
51
Communications
25 000
5 000
5 000
5 000 5 000
5 000
52
Reporting
30 000
6 000
6 000
6 000 6 000
6 000
54
Direct Costs
45 000
9 000
9 000
9 000 9 000
9 000
59
Component total
100 000
20 000
20 000
20 000 20 000
20 000
999
TOTAL
15 999 000
1 576 000
4 344 000
3 764 000 3 689 000
2 617 000
CONTRIBUTION
34
ANNEX I
ORGANIZATIONAL STRUCTURE OF THE PROJECT MANAGEMENT UNITS/NATIONAL
PROJECT OFFICES
Cuba National Project Office (NPO)
The Provincial Delegation of the Ministry for Science, Technology and Environment for the City of
Havana (DCITMA) will be the national counterpart organ for the implementation of the Cuba component.
It will oversee the National Project Office (NPO), with the support and under the supervision of the
National Steering Committee (CND).
The NPO will establish linkages with the Provincial Administrative Council (CAP), the Popular Councils
and NGOs, as well as with universities and the Research Centre of the City of Havana.
The Ministry of Science, Technology and Environment of Cuba will chair the National Steering
Committee. Said Committee, which will meet on a periodic basis (every three months) will consist of an
Executive Secretary (who will be the National Coordinator of the Project) and representatives of the
Central Government, the Ministry of Foreign Investment and Co-operation, the Min istry of
Transportation, the Ministry of Construction, the Ministry of Economy and Planning, the Provincial
Administrative Council, Provincial Directorate of Physical Planning, Provincial Directorate of Public
Health and the Governmental Working Group for the Sanitation, Conservation and Development of
Havana Bay, the UNDP and the executing entities: the Provincial Delegation of the National Institute of
Hydraulic Resources for the City of Havana (DINRH), the Technical Center for Development of
Construction Materials (MATCO). It will also include other institutions such as the Institute of Tropical
Geography, the High Polytechnical Institute "José Antonio Echevarría", the Center of Engineering and
Environmental Management of Bay and Coastal Areas, the National Center of Research Hydraulics and
Water Quality, Investments GAMMA and NGOs linked to the project.
The National Project Coordinator will also be the Head of the National Project Office and the Executive
Secretary of the National Steering Committee. His/her function will be to ensure and monitor the
implementation of project activities, technical and others, in the country. He/she will interact with the
UNDP, UNOPS and UNEP in aspects of concern to each of these agencies. The Cuban Minister for
Science, Technology and Environment has designated her Delegate in the Province of the City of Havana
as National Coordinator of the Project.
35
TERMS OF REFERENCE
NATIONAL PROJECT OFFICE (CUBA)
CUB/99/G31-Demonstration of Innovative Approaches to the Rehabilitation of
Heavily Contaminated Bays in the Wider Caribbean (Havana Bay)
The Delegate of the Ministry of Science, Technology and Environment (CITMA) in Havana Province, who is designated by the
Minister of CITMA, will act as general project coordinator for the National Project Office. This office will be the national
counterpart for the implementation of project activities and will be composed of a team of specialists who will contribute to the
management of the project. Furthermore, the National Project Office will interact with centers of higher education and research
centers of the City of Havana. It will also establish links with the Provincial Administration Council (CAP), the Popular
Councils and NGOs.
Structure of the National Project Office
· National Coordinator
1
· Chemical engineer
2
· Hydraulic engineer
1
· Architect
1
· Geography specialist
1
· Biochemistry specialist
1
· Technology specialist
2
· Project Management specialist
1
· Economist
1
· Expert in architecture and informatics
1
· Electrical engineer
1
· Information specialist
1
· Law specialist
1
TOTAL
15
During project execution this team of specialists will meet monthly to monitor the implementation of project
activities. Every three months, the NPO will hold working sessions with the National Steering Committee, which
will be created in accordance with the project document.
The salaries, per diems and other expenditures of this team will be covered by the Cuban counterpart contribution of
this project.
36
ANNEX II
TERMS OF REFERENCE (Indicative to be finalised by UNOPS)
SUBCONTRACT FOR ADMINISTRATION AND SUPERVISION
CUB/99/G31-Demonstration of Innovative Approaches to the Rehabilitation of
Heavily Contaminated Bays in the Wider Caribbean (Havana Bay)
Requirements:
A company with experience in advisory and consulting services in specialized scientific and technological areas, in
particular environmental sciences, environmental impact analyses, and in the operation of treatment plants for waste
water and integrated environmental solutions.
The company should preferably be Cuban or an international company located in the country.
Duration of assignment: 5 years
Tasks:
1. Supervise project execution through periodical reports
2. Participate in periodic progress evaluations with the Cuban counterpart
3. Supervise the construction and start-up of operation of the zero-emission housing demonstration units
4. Review the preparation and execution of contracts for the construction, installation and start-up of the
waste water treatment plant
5. Supervise the construction and start-up of the plant through site visits and liaison with the various parties
involved in the construction
6. Supervise the operation and maintenance of the treatment plant during the first six months after init ial start-
up
37
ANNEX III
PROJECT PROGRESS PLAN
Quarter/Year (1/2002-4/2006)
Output Output/Activity
1/02 2/02 302 402 1/03 2/03 3/03 4/03 1/04 2/04 3/04 4/04 1/05 2/05 3/05 4/05 1/06 2/06 3/06 4/06
No.
1
Wastewater
treatment in Havana
Project mobilisation
1.1
Treatment plant,
including nutrient
Pre-design report
Detail design/tender
documents
Tendering/contracting
Construction and
commissioning
Operation and
maintenance
1.2
Sludge treatment
Pre-design
Detail design/tender
documents
Tendering/contracting
Construction and
commissioning
Operation and
maintenance
2
Demonstration
projects for recycling
2.1
Zero emission
housing unit
Planning/detail
design/contracting
2.2
Construction of
sewage treatment
38
ANNEX IV
CARTAGENA CONVENTION LBS Protocol
Domestic Wastewater
A. Definitions
For the purposes of this Annex:
1.
"Domestic wastewater" means all discharges from households, commercial facilities,
hotels, septage and any other entity whose discharge includes the following:
(a)
Toilet flushing (black water);
(b)
Discharges from showers, wash basins, kitchens and laundries (grey water); or
(c)
Discharges from small industries, provided their composition and quantity are
compatible with treatment in a domestic wastewater system.
Small quantities of industrial waste or processed wastewater may also be found in
domestic wastewater. (See Part D - Industrial Pretreatment.)
2.
"Class I waters" means waters in the Convention area that, due to inherent or unique
environmental characteristics or fragile biological or ecological characteristics or human
use, are particularly sensitive to the impacts of domestic wastewater. Class I waters
include, but are not limited to:
(a)
waters containing coral reefs, seagrass beds, or mangroves;
(b)
critical breeding, nursery or forage areas for aquatic and terrestrial life;
(c)
areas that provide habitat for species protected under the Protocol Concerning
Specially Protected Areas and Wildlife to the Convention (the SPAW Protocol);
(d)
protected areas listed in the SPAW Protocol; and
(e)
waters used for recreation.
3.
"Class II waters" means waters in the Convention area, other than Class I waters, that due
to oceanographic, hydrologic, climatic or other factors are less sensitive to the impacts of
domestic wastewater and where humans or living resources that are likely to be adversely
affected by the discharges are not exposed to such discharges.
4.
"Existing domestic wastewater systems" means, with respect to a particular Contracting
Party, publicly or privately owned domestic wastewater collection systems, or collection
and treatment systems, that were constructed prior to entry into force of this Annex for
such Contracting Party.
4.
"New domestic wastewater systems" means, with respect to a particular Contracting
Party, publicly or privately owned domestic wastewater collection systems, or collection
and treatment systems, that were constructed subsequent to entry into force of this Annex
39
for such Contracting Party, and includes existing domestic wastewater systems which
have been subject to substantial modifications after such entry into force.
5.
"Household systems" means on-site domestic wastewater disposal systems for homes and
small commercial businesses in areas of low population density, or where centralised
collection and treatment systems of domestic wastewater are not economically or
technologically feasible. Household systems include, but are not limited to, septic tanks
and drain fields or mounds, holding tanks, latrines and bio-digesting toilets.
7.
"Wastewater collection systems" means any collection or conveyance system designed to
collect or channel domestic wastewater from multiple sources.
B.
Discharge of Domestic Wastewater
1.
Each Contracting Party shall:
(a)
Consistent with the provisions of this Annex, provide for the regulation of
domestic wastewater discharging into, or adversely affecting, the Convention
area;
(b)
To the extent practicable, locate, design and construct domestic wastewater
treatment facilities and outfalls such that any adverse effects on, or discharges
into, Class I waters, are minimised;
(c)
Encourage and promote domestic wastewater reuse that minimises or eliminates
discharges into, or discharges that adversely affect, the Convention area;
(d)
Promote the use of cleaner technologies to reduce discharges to a minimum, or to
avoid adverse effects within the Convention area; and
(e)
Develop plans to implement the obligations in this Annex, including, where
appropriate, plans for obtaining financial assistance.
2.
Each Contracting Party shall be entitled to use whatever technology or approach that it
deems appropriate to meet the obligations specified in Part C of this Annex.
C.
Effluent Limitations
Each Contracting Party shall ensure that domestic wastewater that discharges into, or
adversely affects, the Convention area, is treated by a new or existing domestic wastewater system whose
effluent achieves the effluent limitations specified below in paragraphs 1, 2 and 3 of this Part, in
accordance with the following timetable:
Effective Date of
Obligation
Category
(in years after entry Effluent Sources
into force for the
Contracting Party)
1
0
All new domestic wastewater
systems
40
Effective Date of
Obligation
Category
(in years after entry Effluent Sources
into force for the
Contracting Party)
2
10
Existing domestic wastewater systems other than
community wastewater systems
3
10*
Communities with 10,000 - 50,000 inhabitants
4
15
Communities with more than 50,000 inhabitants
already possessing wastewater collection systems
5
20
Communities with more than 50,000 inhabitants not
possessing wastewater collection systems
6
20
All other communities except those relying
exclusively on household systems
Contracting Parties which decide to give higher priority to categories 4 and 5 may extend their
obligations pursuant to category 3 to twenty (20) years (time frame established in category 6).
1.
Discharges into Class II Waters
Each Contracting Party shall ensure that domestic wastewater that discharges into, or adversely
affects, Class II waters is treated by a new or existing domestic wastewater system whose effluent
achieves the following effluent limitations based on a monthly average:
C. Parameter
Effluent Limit
Total Suspended Solids
150 mg/l
Biochemical Oxygen Demand (BOD5)
150 mg/l
pH
5-10 pH units
Fats, Oil and Grease
50 mg/l
Floatables
not visible
Does not include algae from treatment ponds
2.
Discharges into Class I Waters
Each Contracting Party shall ensure that domestic wastewater that discharges into, or adversely
affects, Class I waters is treated by a new or existing domestic wastewater system whose effluent
achieves the following effluent limitations based on a monthly average:
D. Parameter
Effluent Limit
Total Suspended Solids
30 mg/l
Biochemical Oxygen Demand (BOD5)
30 mg/l
pH
5-10 pH units
Fats, Oil and Grease
15 mg/l
Faecal Coliform
Faecal Coliform: 200 mpn/100 ml; or
(Parties may meet effluent limitations either for a. E. coli: 126 organisms/100ml;
41
faecal coliform or for E. coli (freshwater) and b. enterococci: 35
enterococci (saline water).)
organisms/100 ml
Floatables
not visible
Does not include algae from treatment ponds
3.
All Discharges
(a)
Each Contracting Party shall take into account the impact that total nitrogen and
phosphorus and their compounds may have on the degradation of the Convention
area and, to the extent practicable, take appropriate measures to control or reduce
the amount of total nitrogen and phosphorus that is discharged into, or may
adversely affect, the Convention area.
(b)
Each Party shall ensure that residual chlorine from domestic wastewater
treatment systems is not discharged in concentrations or amounts that would be
toxic to marine organisms that reside in or migrate to the Convention area.
D.
Industrial Pretreatment
Each Contracting Party shall endeavour, in keeping with its economic capabilities, to develop and
implement industrial pretreatment programmes to ensure that industrial discharges into new and existing
domestic wastewater treatment systems:
(a)
do not interfere with, damage or otherwise prevent domestic wastewater collection and
treatment systems from meeting the effluent limitations specified in this Annex;
(b)
do not endanger operations of, or populations in proximity to, collection and treatment
systems through exposure to toxic and hazardous substances;
(c)
do not contaminate sludges or other reusable products from wastewater treatment; and
(d)
do not contain toxic pollutants in amounts toxic to human health and/or aquatic life.
Each Contracting Party shall endeavour to ensure that industrial pretreatment programmes
include spill containment and contingency plans.
Each Contracting Party, within the scope of its capabilities, shall promote appropriate industrial
wastewater management, such as the use of recirculation and closed loop systems, to eliminate or
minimise wastewater discharges to domestic wastewater systems.
42
E.
Household Systems
Each Contracting Party shall strive to, as expeditiously, economically and technologically
feasible, in areas without sewage collection, ensure that household systems are constructed, operated and
maintained to avoid contamination of surface or ground waters that are likely to adversely affect the
Convention area.
For those household systems requiring septage pump out, each Contracting Party shall strive to
ensure that the septage is treated through a domestic wastewater system or appropriate land application.
F.
Management, Operations and Maintenance
Each Contracting Party shall ensure that new and existing domestic wastewater systems are
properly managed and that system managers develop and implement training programmes for wastewater
collection and treatment system operators. Managers and operators shall have access to operators'
manuals and technical support necessary for proper system operation.
Each Contracting Party shall provide for an evaluation of domestic wastewater systems by
competent national authorities to assess complia nce with national regulations.
II.
G.
Extension Period
1.
Any Contracting Party may, at least two years before the effective date of an obligation in
categories 2, 3, 4 or 5 of the timetable in Part C above, submit to the Organisation a
declaration that, with respect to such category, it is unable to achieve the effluent
limitations set forth in paragraphs 1 and 2 of Part C above in accordance with that
timetable, provided that such Contracting Party:
(a)
has developed action plans pursuant to Part B, paragraph 1(e);
(b)
has achieved the effluent limitations for a subset of the discharges associated
with those categories, or a reduction of at least 5 percent of total loading of
pollutants associated with those categories; and
(c)
has taken actions to achieve those effluent limitations, but has been unable to
achieve those limitations due to a lack of financial or other capacity.
2.
With respect to a Contracting Party that has submitted a declaration pursuant to
paragraph 1 above, the effective date of an obligation in the timetable in Part C for
categories 2, 3, 4 or 5 of that timetable shall be extended for a period of five years. The
five-year period shall be extended for a maximum of one additional five-year period if
the Contracting Party submits a new decla ration prior to the expiration of the first period,
and if it continues to meet the requirements set out in paragraph 1 above.
3.
The Contracting Parties recognise that the complete fulfillment of the obligations
contained in this Annex will require the availability and accessibility of financial
resources.
43
ANNEX V
ACRONYMS/ABBREVIATIONS
APR
Annual Project/Programme Review
BOD
Biochemical oxygen demand
CBO
Community based organisation
COD
Chemical oxygen demand
ECD
Environmental Control Division
GEF
Global Environment Facility
MGD
Million gallons per day
NGO
Non-government organisation
O&M
Operation and maintenance
PHA
Public Health Act
POP
Persistent Organic Pollutant
PS
Pump station
PSO
Private sector organisations
Ton
Metric ton, 2205 lbs.
Tot-N
Total nitrogen
Tot-P
Total phosphorous
TPR
Tri-Partite Review
TSS
Total suspended solids
UNDP
United Nations Development Program
WWTP
Wastewater treatment plant
44
UNITED NATIONS ENVIRONMENT PROGRAMME
SECTION 1 - PROJECT IDENTIFICATION
1.1 Title of Sub-Programme:
Caribbean Environment Programme
Assessment and Management of Environmental Pollution
1.2 Title of Project:
Demonstrations of Innovative Approaches to the Rehabilitation
of Heavily Contaminated Bays in the Wider Caribbean Region
1.3 Project Number:
GF/6030-xx
1.4 Geographical Scope:
Wider Caribbean Region Jamaica and Cuba
1.5 Implementation:
UNEP-CAR/RCU
1.6 Duration of the Project:
5 Years
Commencing:
January 2002
Completion:
January 2007
1.7 Cost of Project:
US$ 420,000
______________________________________________________________________________
US$
%
______________________________________________________________________________
Cost to the GEF Trust Fund:
420,000
100
____________________________________________________________________________
Total Cost of the Project
420,000
100
____________________________________________________________________________
1.8 Project Summary
The United Nations Development Programme (UNDP) concluded a GEF Pre-investment Facility
(PRIF) project working in Havana Bay, Cuba; Cartagena Bay, Colombia; Puerto Limón, Costa Rica
and Kingston Harbour, Jamaica, entitled, "Planning and Management of Heavily Contaminated Bays
and Coastal Areas in the Wider Caribbean."
One of the priority issues in the region identified in the pilot phase project and other studies is the
problem of eutrophication resulting from excess inputs of nutrients to the coastal zone and adjacent
international waters. Principal sources of nutrient contamination in the four pilot sites include poorly or
untreated sewage, agriculture and industrial activities. As a follow-up to the PRIF a GEF Project Brief
was developed and the present project was approved by the GEF.
1
The GEF project will leverage national co-financing to help two of the countries to overcome a number
of key barriers to the adoption of best practices that limit the contamination of their national and
adjacent international waters. The project will implement demonstrations/pilot projects to test
innovative technical, management, legislative and educational approaches for reducing the input of
priority international waters contaminants (nitrogen and phosphorus) to Havana Bay, Kingston Harbour
and the adjacent Wider Caribbean Region (WCR). It will further strengthen and/or help create new
institutions responsible for the rehabilitation and sustainable management of the two bays. Training and
information exchange will be the regional benefits for the project.
The project supports the mandate of the Convention for the Protection and Development of the Marine
Environment of the Wider Caribbean Region (Cartagena Convention) and in particular the Protocol to
the Convention Concerning Pollution from Land-Based Sources and Activities (LBS Protocol), and
specifically Annex III to the LBS Protocol on Domestic Wastewater. The Caribbean Regional Co-
ordinating Unit of UNEP (UNEP-CAR/RCU) is the Secretariat for the Cartagena Convention and its
Protocols.
The overall GEF Project contains national and regional components. The Project will be implemented
at the national level by UNDP and UNEP will execute the regional component. Under this GEF
Project, UNDP will facilitate and co-ordinate the demonstrations/pilot projects noted above. This
project document, however, describes the activities to be implemented as the regional component and
executed by UNEP-CAR/RCU.
As the agency designated in the GEF Project as the regional implementing agency, UNEP-CAR/RCU
will be responsible for regional co-ordination, including sharing and dissemination of project activities
and nutrient pollution control strategies between the two project countries as well as for the Wider
Caribbean. Activities will include print and on-line information dissemination, regional workshops and
study tours, in order to promote and exchange best practices and lessons learned to other countries in
the Wider Caribbean Region facing similar problems with excess nutrients, eutrophication and sludge
utilisation.
Signature:
For the Environment Fund of UNEP
__________________________________
E.F. Ortega
Chief
Budget and Funds Management Services, UNON
Date:
___________________________
2
2.0 BACKGROUND
2.1. The Wider Caribbean Region (WCR) comprises the marine environment of the Gulf of Mexico,
the Caribbean Sea, and the 200 mile zone of the Atlantic Ocean adjacent to the countries in the region.
The Wider Caribbean Sea, is a semi-enclosed sea on the east by the Islands of the West Indies,
bounded to the south by South America, to the west by Central America and Mexico and to the north
by the USA.
2.2. Economic activity in the WCR focuses on the expansion of tourism, agriculture and extractive
industries that are often directly or indirectly linked to coastal and marine resources. Population growth
combined with poorly managed economic development and industrialisation in the region have led to
widespread contamination of the coastal and international waters of the Wider Caribbean. Principal
contaminants impacting the region domestically and/or across national borders include untreated
sewage, solid waste, sediments, petroleum hydrocarbons, pesticides and agricultural run-off, primarily
from land-based sources. The oceanic currents of the WCR may contribute to the dispersion of long-
lived contaminants generated in any site to the region, creating a potential transboundary pollution effect.
2.3. An inventory of land-based point sources of pollution in the WCR, conducted in 1994, revealed
that domestic wastewater/sewage was the predominant source of pollution, followed by six industrial
categories: oil refineries, sugar refineries and distilleries, food processing, manufacture of beer and other
drinks, pulp and paper factories and chemical manufacturing. Although not a part of the 1994 study,
urban and agricultural non-point sources of pollution are also recognised as significant contributors to
pollution of the WCR.
2.4. Nutrient enrichment is of increasing concern in the WCR, as it causes eutrophication, algal
blooms, oxygen depletion and changes in marine ecosystem biodiversity. In many bays connected to
highly populated centres, extremely low levels of oxygen are observed in the lower part of the water
column, where bottom sediments are often turned black. These hypoxic conditions kill and drive away
fish and benthic species. Like in other areas facing widespread eutrophication (Black Sea, Baltic Sea,
Yellow Sea, Gulf of Mexico, etc.), there is a longer-term risk that this phenomenon will extend beyond
the natural borders of the bays and into the Gulf of Mexico and the Caribbean Sea. Nutrient enrichment
and associated eutrophication over broad areas is so ubiquitous that it is now considered a global
problem.
2.5. In 1983, the Convention for the Protection and Development of the Marine Environment of the
Wider Caribbean Region (Cartagena Convention) was adopted as the legal instrument for the
implementation of the Caribbean Action Plan. The Convention is a framework agreement setting out the
political and legal foundations for actions to be developed in the implementation of the Plan. These
actions are directed by a series of operational Protocols designed to address special issues and to
initiate concrete actions. In 1999, the Contracting Parties adopted the Protocol to the Cartagena
Convention Concerning Pollution from Land-based Sources and Activities (LBS Protocol). Annex III
to the LBS Protocol contains specific provisions for the protection of the marine environment from
domestic wastewater (see Annex I to this project document). Though the LBS Protocol has not yet
3
entered into force, both Jamaica and Cuba are Contracting Parties to the Cartagena Convention and
were active in the negotiations on the LBS Protocol.
2.6. This project document will describe the objectives and activities of the regional (UNEP-
CAR/RCU) component of the project and its linkages to the national (UNDP) components.
3.0 SUMMARY PROJECT OBJECTIVES AND DESCRIPTION
3.1. The overall objective of the GEF project is to demonstrate and promote regional replication of
innovative technical, management, legislative and educational approaches to reducing nutrient loads to
Havana Bay and Kingston Harbour and to the Wider Caribbean Region.
3.2. The long-term objective of the project is to promote and facilitate environmentally sustainable
development and management of the two bays and to disseminate and replicate successful approaches
to the rehabilitation of these bays to other sites in the Wider Caribbean facing similar environmental
challenges.
3.3. The UNDP Project component will provide incremental benefit (nutrient removal pilot projects),
at the national level, through the construction of sewage treatment facilities that will partially service the
cities of Havana and Kingston with discharges to their respective bays. Through the provision of labour,
technologies and equipment, UNDP will assist in the construction of the nutrient removal facilities
consistent with the goals and objectives of the LBS Protocol and its Annex III.
3.4. UNEP-CAR/RCU will co-ordinate the regional component of the project. The regional
component will provide training, information and technology transfer, and information management and
dissemination with the objective to increase knowledge and skills of WCR officials and technicians in the
area of wastewater management. Regional information exchange will also increase the replicability of
the project in other countries of the WCR.
3.5. Collectively, the two components (national and regional) will help build awareness, necessary
skills, and capabilities among the different stakeholders, in order to assure the sustainable use of the
bays and coastal areas as multiple use zones. The institutional framework will be strengthened by
involving the different stakeholders in constructive discussions and through establishment of appropriate
incentive structures.
4
4.0 DESCRIPTION OF PROPOSED ACTIVITIES
This UNEP project includes four activities described below.
4.1 Activity 1: Study Tours: Sewage Treatment Technologies Design, Construction, and
Operations and Maintenance.
UNEP-CAR/RCU will organise study tours for personnel from the two main target countries -- Jamaica
and Cuba. Study tours will involve travel to visit, review and gain instruction in the application and
operation of innovative and appropriate treatment facilities. Facilities and technologies to be reviewed
include both those within the Caribbean, as well as other countries, that can demonstrate systems in the
areas of nutrient removal and sludge utilisation relevant and appropriate to the Wider Caribbean Region.
In addition, participants in the study tours will take advantage of more formal classroom activities that
are found to be appropriate to the objectives of the project.
Funding for the study tours will be provided for no more than three persons from each country, though
opportunities will be sought to provide for greater participation at the countries' expense. Participants in
the study tours will be encouraged to provide subsequent training to others in their countries to take
advantage of the study tours as a "train the trainers" approach.
4.2 Activity 2: Workshop on Nutrient Removal Technologies
UNEP-CAR/RCU will conduct a regional training workshop (5 days) on nutrient removal technologies
appropriate in the Wider Caribbean Region. Presentations will focus on large community systems, but
also provide for discussion and presentation on medium and small communities. The workshop will
review available options for nutrient removal relevant to the technological, climatic, economic,
institutional, and social/cultural conditions of the Wider Caribbean.
Expert sanitary engineers and technicians with practical experience in technologies for developing
countries will provide instruction and presentation. A workshop type format will allow for practical
application of knowledge and skills learned.
Travel costs associated with the training will be provided to one official from each country. Others will
be allowed to attend at their own expense.
The workshop will be provided with simultaneous interpretation into the working languages of the
Caribbean Environment Programme. Workshop proceedings/compendium will be provided in English,
Spanish and French.
5
4.3 Activity 3: Workshop on Sludge Utilisation
UNEP-CAR/RCU will conduct a regional training workshop (5 days) on sludge utilisation technologies
appropriate in the Wider Caribbean Region. Presentations will focus on large community systems, but
also provide for discussion and presentation on medium and small communities. The workshop will
review available options for sludge utilisation relevant to the technological, climatic, economic,
institutional, and social/cultural conditions of the Wider Caribbean.
Expert sanitary engineers and technicians with practical experience in technologies for developing
countries will provide instruction and presentation. A workshop type format will allow for practical
application of knowledge and skills learned.
Travel costs associated with the training will be provided to one official from each country. Others will
be allowed to attend at their own expense.
The workshop will be provided with simultaneous interpretation into the working languages of the
Caribbean Environment Programme. Workshop proceedings/compendium will be provided in English,
Spanish and French.
4.4 Activity 4: Terminal Workshop -- Sewage Treatment Technologies for the WCR: Nutrient
Removal and Sludge Utilisation
Following the completion of the Havana and Kingston projects (see UNDP Project Document), a
regional workshop will be convened by UNEP-CAR/RCU in co-ordination with the two participating
national agencies to review lessons learned from the nutrient removal and sludge utilisation technologies
employed at the two sites. Presentation support will be provided as necessary to officials from Cuba
and Jamaica. This three-day workshop will have regional implications for technology transfer for future
similar construction activities in the region.
Travel costs associated with the training will be provided to one official from each country. Others will
be allowed to attend at their own expense.
The workshop will be provided with simultaneous interpretation into the working languages of the
Caribbean Environment Programme. Workshop proceedings will be provided in English, Spanish and
French.
5.0 EXPECTED RESULTS AND OUTPUTS
5.1 Although this project (UNEP component) is designed to provide regional benefit for this GEF
project, in fact there will be both regional and national benefits. At the regional level, the UNEP
project should provide sanitary engineers and environmental officials of the WCR with an increased
6
knowledge of domestic wastewater treatment technologies that are available and appropriate to the
WCR. These technologies will focus on innovative, low-cost and low technology systems for nutrient
removal and sewage sludge utilisation. The outputs of the regional training components will include 40-
50 country representatives with training in sewage treatment technologies.
5.2 National level results and outputs will focus on the study tours for the officials, technicians from
Cuba and Jamaica. These study tours will result in 2-3 officials from each of the two target countries
with extensive "hands-on" type training and knowledge in the design, construction, and operations and
maintenance of various sewage treatment systems with an emphasis on nutrient reduction and sludge
utilisation.
5.3 The Terminal Workshop will allow the two target countries to showcase their systems and allow for
discussion on strengths and weaknesses of the types of systems chosen for their respective bays.
Regional participants will gain additional knowledge of appropriate systems for their own countries.
5.4 Specific outputs to include workshop proceedings/compendium from the three workshops as well
as training officials for all the countries of the WCR.
6.0 TIMETABLE AND BUDGET
6.1 The project, to coincide with the UNDP project, will be implemented over a five-year period in
accordance with the timetable found in Table 1.
Table 1 -- UNEP Project Activities
Activity
Output/Activities
2002
2003
2004
2005
2006
1
Study Tours
2
Regional Workshop Nutrient
Removal Technologies
3
Regional Workshop
Sludge Utilisation Technologies
4
Terminal Workshop
7
6.2 Table 2 shows the framework budget. A detailed budget is found in Annex II.
Table 2. Framework Budget
Activity
GEF Financing
1. Study Tours
US$ 80,000
2. Regional Workshop Nutrient Removal
US$ 120,000
Technologies
3. Regional Workshop
US$ 120,000
Sludge Utilisation Technologies
4. Terminal Workshop
US$ 100,000
TOTAL
US$ 420,000
6.3 Cash Advance Requirements: UNEP-CAR/RCU will account for expenditures through its imprest
account. Therefore, cash advances are not applicable.
7.0
INSTITUTIONAL FRAMEWORK AND EVALUATION
7.1 Regional co-ordination and knowledge sharing (Activities 1-4 described in section 4.0, above) will
be implemented by UNEP-CAR/RCU. (NB: The UN Office of Project Services (UNOPS) will serve
as Executing Agency for the UNDP component of the GEF project.)
7.2 For Activity 1 (Study Tours) the contact in Cuba will be the Ministry of Science, Technology and
Environment, through its Delegation for the City of Havana. In Jamaica, the National Environmental
Protection Authority (formerly Natural Resources Conservation Authority) will be the contact agency.
7.3 An overall GEF project Steering Committee consisting of representatives from UNDP, UNEP and
each of the two lead national agencies will be responsible for providing overall strategic and policy
guidance to the project and monitoring project progress vs. a work plan. The Steering Committee will
meet annually.
7.4 All correspondence regarding substantive matters will be addressed to:
Nelson Andrade Colmenares
Co-ordinator
Attn. Mr. Tim Kasten
UNEP-CAR/RCU
14-20 Port Royal Street
Kingston, Jamaica
Phone: (876) 922-9267
8
Fax: (876) 922-9292
tjk.uneprcuja@cwjamaica.com
With a copy to:
Mr. Ahmed Djoghlaf
Executive Co-ordinator
UNEP/GEF Co-ordinating Office
UNEP, Box 30552,
Nairobi, Kenya
7.5 Correspondence regarding financial and budgetary matters will be addressed to:
Mr. E. Ortega
Chief, Fund Programme Management Branch
UNEP, Box 30552
Nairobi, Kenya
Fax: 2542-227057
With a copy to:
Mr. Ahmed Djoghlaf
Executive Co-ordinator
UNEP/GEF Co-ordinating Office
UNEP, Box 30552,
Nairobi, Kenya
and
Nelson Andrade Colmenares
Co-ordinator
Attn. Mr. Tim Kasten
UNEP-CAR/RCU
14-20 Port Royal Street
Kingston, Jamaica
Phone: (876) 922-9267
Fax: (876) 922-9292
tjk.uneprcuja@cwjamaica.com
7.6 Evaluation: The CAR/RCU Co-ordinator will maintain systematic overview of the implementation
of the project by regular quarterly and half-yearly reports. A terminal report and an internal desk
evaluation of the project will be carried out by the CAR/RCU Co-ordinator at the end of the project.
9
8.0 MONITORING AND REPORTING
8.1 Quarterly Report to the UNEP-GEF Co-ordination Unit
Beginning three months from the signature of this project document, and every three months thereafter,
the CAR/RCU Co-ordinator will submit to the UNEP-GEF Co-ordination Office, using the format
given in Annex III, quarterly reports on the progress in project execution.
8.2 Half-yearly Progress Reports
Within 30 days of the end of the reporting period the CAR/RCU Co-ordinator will submit to the Chief,
Budget and Funds Management Service, half-yearly Progress reports as at 30 June and 31 December
using the format given in Annex IV.
8.3 Final Report
Within 60 days of completion of the project, the CAR/RCU Co-ordinator will submit a terminal report
to the Chief, Budget and Funds Management Service, using the format given in Annex V.
8.4 Substantive reports
10 Copies of the final substantive and technical reports produced in accordance with the schedule of
work will be submitted to the UNEP/GEF Co-ordination Office.
8.5 Financial Reports
N/A
8.6 Terms and Conditions
8.6.1
Non-Expendable Equipment:
N/A
8.6.2
Responsibility for Cost Overruns
UNEP-CAR/RCU Co-ordinator is authorized to enter into commitments or to incur expenditures up to
a maximum of 20 per cent over and above the annual amount foreseen in the project budget under any
sub-budget line, provided the total cost of the UNEP annual contribution to the project is not exceeded.
This may be done without prior authorization, but once the need for these additional funds becomes
10
apparent, CAR/RCU Co-ordinator shall inform, within thirty days, the Chief, Budget and Funds
Management Service, about shifts made, and these have to be reflected in a revision to the project
document no later than three months after the shifts have been made.
11
Annexes
Annex I:
LBS Protocol, Annex III
Annex II: Detailed Budget
Annex III: Format of Quarterly Reports to UNEP/GEF
12
Annex I
LBS Protocol -- ANNEX III
Domestic Wastewater
A. Definitions
For the purposes of this Annex:
1.
"Domestic wastewater" means all discharges from households, commercial
facilities, hotels, septage and any other entity whose discharge includes the
following:
(a)
Toilet flushing (black water);
(b)
Discharges from showers, wash basins, kitchens and laundries (grey
water); or
(c)
Discharges from small industries, provided their composition and quantity
are compatible with treatment in a domestic wastewater system.
Small quantities of industrial waste or processed wastewater may also be found
in domestic wastewater. (See Part D - Industrial Pretreatment.)
2.
"Class I waters" means waters in the Convention area that, due to inherent or
unique environmental characteristics or fragile biological or ecological
characteristics or human use, are particularly sensitive to the impacts of
domestic wastewater. Class I waters include, but are not limited to:
(a)
waters containing coral reefs, seagrass beds, or mangroves;
(b)
critical breeding, nursery or forage areas for aquatic and terrestrial life;
(c)
areas that provide habitat for species protected under the Protocol Concerning Specially
Protected Areas and Wildlife to the Convention (the SPAW Protocol);
(d)
protected areas listed in the SPAW Protocol; and
(e)
waters used for recreation.
3.
"Class II waters" means waters in the Convention area, other than Class I
waters, that due to oceanographic, hydrologic, climatic or other factors are less
sensitive to the impacts of domestic wastewater and where humans or living
resources that are likely to be adversely affected by the discharges are not
exposed to such discharges.
4.
"Existing domestic wastewater systems" means, with respect to a particular
Contracting Party, publicly or privately owned domestic wastewater collection
13
systems, or collection and treatment systems, that were constructed prior to
entry into force of this Annex for such Contracting Party.
4.
"New domestic wastewater systems" means, with respect to a particular
Contracting Party, publicly or privately owned domestic wastewater collection
systems, or collection and treatment systems, that were constructed
subsequent to entry into force of this Annex for such Contracting Party, and
includes existing domestic wastewater systems which have been subject to
substantial modifications after such entry into force.
5.
"Household systems" means on-site domestic wastewater disposal systems for
homes and small commercial businesses in areas of low population density, or
where centralised collection and treatment systems of domestic wastewater are
not economically or technologically feasible. Household systems include, but are
not limited to, septic tanks and drain fields or mounds, holding tanks, latrines and
bio-digesting toilets.
7.
"Wastewater collection systems" means any collection or conveyance system
designed to collect or channel domestic wastewater from multiple sources.
B. Discharge of Domestic Wastewater
1.
Each Contracting Party shall:
(a)
Consistent with the provisions of this Annex, provide for the regulation of domestic
wastewater discharging into, or adversely affecting, the Convention area;
(b)
To the extent practicable, locate, design and construct domestic wastewater treatment
facilities and outfalls such that any adverse effects on, or discharges into, Class I
waters, are minimised;
(c)
Encourage and promote domestic wastewater reuse that minimises or eliminates
discharges into, or discharges that adversely affect, the Convention area;
(d)
Promote the use of cleaner technologies to reduce discharges to a minimum, or to
avoid adverse effects within the Convention area; and
(e)
Develop plans to implement the obligations in this Annex, including, where appropriate,
plans for obtaining financial assistance.
2.
Each Contracting Party shall be entitled to use whatever technology or approach
that it deems appropriate to meet the obligations specified in Part C of this
Annex.
14
C. Effluent Limitations
Each Contracting Party shall ensure that domestic wastewater that discharges
into, or adversely affects, the Convention area, is treated by a new or existing domestic
wastewater system whose effluent achieves the effluent limitations specified below in
paragraphs 1, 2 and 3 of this Part, in accordance with the following timetable:
Effective Date of
Obligation
Category
(in years after
entry into force for
the
Contracting Party) Effluent Sources
1
0
All new domestic wastewater
systems
2
10
Existing domestic wastewater systems other
than community wastewater systems
3
10*
Communities with 10,000 - 50,000 inhabitants
Communities with more than 50,000 inhabitants
4
15
already possessing wastewater collection
systems
5
20
Communities with more than 50,000 inhabitants
not possessing wastewater collection systems
6
20
All other communities except those relying
exclusively on household systems
Contracting Parties which decide to give higher priority to categories 4 and 5 may extend their
obligations pursuant to category 3 to twenty (20) years (time frame established in category 6).
15
1. Discharges into Class II Waters
Each Contracting Party shall ensure that domestic wastewater that discharges into, or
adversely affects, Class II waters is treated by a new or existing domestic wastewater
system whose effluent achieves the following effluent limitations based on a monthly
average:
Parameter
Effluent Limit
Total Suspended Solids
150 mg/l
Biochemical Oxygen Demand (BOD5)
150 mg/l
pH
5-10 pH units
Fats, Oil and Grease
50 mg/l
Floatables
not visible
Does not include algae from treatment ponds
2. Discharges into Class I Waters
Each Contracting Party shall ensure that domestic wastewater that discharges into, or
adversely affects, Class I waters is treated by a new or existing domestic wastewater
system whose effluent achieves the following effluent limitations based on a monthly
average:
Parameter
EFFLUENT LIMIT
Total Suspended Solids
30 mg/l
Biochemical Oxygen Demand (BOD5)
30 mg/l
pH
5-10 pH units
Fats, Oil and Grease
15 mg/l
Faecal Coliform
Faecal Coliform: 200 mpn/100 ml; or
(Parties may meet effluent limitations either
a. E. coli: 126 organisms/100ml;
for faecal coliform or for E. coli (freshwater)
b. enterococci: 35
and enterococci (saline water).)
organisms/100 ml
Floatables
not visible
Does not include algae from treatment ponds
16
3. All Discharges
(a)
Each Contracting Party shall take into account the impact that total nitrogen and
phosphorus and their compounds may have on the degradation of the Convention area
and, to the extent practicable, take appropriate measures to control or reduce the
amount of total nitrogen and phosphorus that is discharged into, or may adversely
affect, the Convention area.
(b)
Each Party shall ensure that residual chlorine from domestic wastewater treatment
systems is not discharged in concentrations or amounts that would be toxic to marine
organisms that reside in or migrate to the Convention area.
D. Industrial Pretreatment
Each Contracting Party shall endeavour, in keeping with its economic capabilities, to
develop and implement industrial pretreatment programmes to ensure that industrial discharges
into new and existing domestic wastewater treatment systems:
(a)
do not interfere with, damage or otherwise prevent domestic wastewater
collection and treatment systems from meeting the effluent limitations specified
in this Annex;
(b)
do not endanger operations of, or populations in proximity to, collection and
treatment systems through exposure to toxic and hazardous substances;
(c)
do not contaminate sludges or other reusable products from wastewater
treatment; and
(d)
do not contain toxic pollutants in amounts toxic to human health and/or aquatic
life.
Each Contracting Party shall endeavour to ensure that industrial pretreatment
programmes include spill containment and contingency plans.
Each Contracting Party, within the scope of its capabilities, shall promote appropriate
industrial wastewater management, such as the use of recirculation and closed loop systems,
to eliminate or minimise wastewater discharges to domestic wastewater systems.
17
E. Household Systems
Each Contracting Party shall strive to, as expeditiously, economically and technologically
feasible, in areas without sewage collection, ensure that household systems are constructed,
operated and maintained to avoid contamination of surface or ground waters that are likely to
adversely affect the Convention area.
For those household systems requiring septage pump out, each Contracting Party shall
strive to ensure that the septage is treated through a domestic wastewater system or
appropriate land application.
F. Management, Operations and Maintenance
Each Contracting Party shall ensure that new and existing domestic wastewater systems
are properly managed and that system managers develop and implement training programmes
for wastewater collection and treatment system operators. Managers and operators shall have
access to operators' manuals and technical support necessary for proper system operation.
Each Contracting Party shall provide for an evaluation of domestic wastewater systems
by competent national authorities to assess compliance with national regulations.
G. Extension Period
1.
Any Contracting Party may, at least two years before the effective date of an
obligation in categories 2, 3, 4 or 5 of the timetable in Part C above, submit to
the Organisation a declaration that, with respect to such category, it is unable to
achieve the effluent limitations set forth in paragraphs 1 and 2 of Part C above in
accordance with that timetable, provided that such Contracting Party:
(a)
has developed action plans pursuant to Part B, paragraph 1(e);
(b)
has achieved the effluent limitations for a subset of the discharges
associated with those categories, or a reduction of at least 5 percent of
total loading of pollutants associated with those categories; and
(c)
has taken actions to achieve those effluent limitations, but has been
unable to achieve those limitations due to a lack of financial or other
capacity.
18
2.
With respect to a Contracting Party that has submitted a declaration pursuant to
paragraph 1 above, the effective date of an obligation in the timetable in Part C for
categories 2, 3, 4 or 5 of that timetable shall be extended for a period of five years.
The five-year period shall be extended for a maximum of one additional five-year
period if the Contracting Party submits a new declaration prior to the expiration of
the first period, and if it continues to meet the requirements set out in paragraph 1
above.
3.
The contracting parties recognise that the complete fulfilment of the obligations
contained in this annex will require the availability and accessibility of financial
resources.
In this context, the Spanish word "cumplimiento" that appears in the Spanish text shall have the meaning of
the English word "fulfilment" and not "compliance".
19
Annex II -- Detailed Budget
2002
2003
2004
2005
2006
Grand total
10 PROJECT PERSONNEL COMPONENT
1100 Project Personnel
1101 Programme Officer P/4
5,000
15,000
4,000
0
8,500
32,500
1199 Total
5,000
15,000
4,000
0
8,500
32,500
1300 Administrative Support
1301 Admin. Officer P/3
1,000
2,000
500
500
2,000
6,000
1302 Admin. Assistant G/5
0
2,000
1,500
0
1,500
5,000
1303 Secretary G/4
500
1,000
500
0
1,000
3,000
1399 Total
1,500
5,000
2,500
500
4,500
14,000
1600 Travel on Official Business
1601 Co-ordination Meetings
1,000
2,000
0
0
0
3,000
1602 Study Tours
10,000
0
0
0
10,000
1603 Workshop Co-ordination
0
4,000
0
0
2,500
6,500
1699 Total
1,000
16,000
0
0
2,500
19,500
1999 Component Total
7,500
36,000
6,500
500
15,500
66,000
20 SUB CONTRACT COMPONENT
2200 Sub-Contracts
1
2201 MOU with Co-ordinating Agency to Provide
Technical and Logistical Assistance for Study
Tours
5,000
10,000
0
0
0
15,000
2201 MOU with Co-ordinating Agency to Provide
Training in Nutrient Removal Technologies
0
15,000
0
0
0
15,000
2202 MOU with Co-ordinating Agency to Provide
Training in Sludge UtilisationTechnologies
0
15,000
0
0
0
15,000
2299 Total
5,000
40,000
0
0
0
45,000
2999 Component Total
5,000
40,000
0
0
0
45,000
30 TRAINING COMPONENT
3200 Group Training
3201 Study Tours
20,000
20,000
0
0
0
40,000
3202 Training Workshop -- Nutrient Removal
Technologies, 50 participants
0
80,000
0
0
0
80,000
3203 Training Workshop -- Sludge Utilisation
Technologies, 50 participants
0
80,000
0
0
0
80,000
3203 Terminal Workshop, 60 participants
0
0
0
0
75,000
75,000
3399 Total
20,000
180,000
0
0
75,000
275,000
3999 Component Total
20,000
180,000
0
0
75,000
275,000
50 MISCELLANEOUS COMPONENT
5200 Reporting Costs
5201 Translation and other support costs
1,500
5,500
7,500
0
7,500
22,000
2
5202 Printing and Publication
0
3,000
1,500
0
3,000
7,500
5299 Total
1,500
8,500
9,000
0
10,500
29,500
5300 Sundry
5301 Communications (phone, pouch, etc)
1,000
1,000
1,000
0
1,500
4,500
5399 Total
1,000
1,000
1,000
0
1,500
4,500
5999 Component Total
2,500
9,500
10,000
0
12,000
34,000
GRAND TOTAL
35,000
265,500
16,500
500
102,500
420,000
3
ANNEX - III FORMAT OF QUARTERLY REPORT TO UNEP/GEF
1.
IDENTIFIERS
Country:
Focal Area:
Project Title:
Requesting Agency:
PDF Block B Funding:
US $
Co-funding:
US $
Other Support:
UNEP (in kind)
US $
Regional Governments (in kind and cash) US $
2.
FINANCIAL STATUS
[Commitment and disbursement data as of the date of the report]
3.
IMPLEMENTATION OF PROGRESS
[Statement of progress of the project components in relation to agreements or plans.
Assessment of Overall status. Report on the reasons, in the event of delays, cost overrun or
positive deviations]
4.
ACHIEVEMENT OF PROJECT OBJECTIVES
[Assessment of likelihood that project objectives will be achieved]
5.
SPECIFIC ASSESSMENT OF FACTOR RELATING TO THE INTERNATIONAL
WATERS FOCAL AREA
[Status of the comprehensive Transboundary Diagnostic Analysis; and Strategic Action
Programme; progress in developing multi-country institutional arrangements]
1
2
ANNEX IV PROGRESS REPORT FORMAT
UNITED NATIONS ENVIRONMENT PROGRAMME
SIX MONTH PROGRESS REPORT
SECTION 1 - BACKGROUND INFORMATION
1.1 Project Title:
1.2 Project Number:
1.3 Responsible Office: (PAC/Unit/Branch)
1.4 Co-ordinating Agency or Supporting Organisation (if relevant):
1.5 Reporting Period: (the six months covered by this report) 1.6 Relevant UNEP
Programme of Work Component Number: (3 digits) ___________________________
SECTION 2 - PROJECT STATUS
2.1 Status of the Implementation of the Activities and Outputs Listed Under the
Workplan in the Project Document (check appropriate box)
Project activities and outputs listed in the Project workplan for the reporting period have
been materially completed and the responsible Office is satisfied that the project will be fully
completed on time (give reasons for minor variations as Section 3 below).
Project activities and outputs listed in the Project Workplan for the reporting period have
been altered (give reasons for alterations: lack of finance; project reformulated; project revisions;
other at Section 3 below).
Project activities and outputs listed in the Project Workplan for the reporting period have not
been fully completed and delays in project delivery are expected (give reasons for variations in
Section 3.1 and new completion date in Section 3.2 below).
Insufficient detail provided in the Project Workplan.
23
2.2 List Actual Activities/Outputs Achieved in the Reporting period:
(please tick appropriate box)
(a) MEETINGS (UNEP-convened meetings only)
Inter-governmental (IG) mtg
Expert Group Mtg.
Training Seminar/Workshop
Others
Title:__________________________________________________________________________
______________________________________________________________________________
____________________
Venue and
dates____________________________________________________________________
Convened by __________________________ Organized by ____________________________
Report issued as doc. No/Symbol_____________ Languages _____________ Dated
____________
For Training Seminar/Workshop, please indicate: No. of participants _____________ and
attach annex giving names and nationalities of participants.
(b) PRINTED MATERIALS
Report to IG Mtg.
Technical Publication
Technical Report
Others
Title:
______________________________________________________________________________
____
______________________________________________________________________________
_____
Author(s)/Editor(s)
______________________________________________________________________________
____
Publisher
______________________________________________________________________________
____
Symbol (UN/UNEP/ISBN/ISSN)
_______________________________________________________________________
Date of publication
______________________________________________________________________________
____
(When technical reports/publications have been distributed, attach distribution list)
24
(c)
TECHNICAL INFORMATION
PUBLIC INFORMATION
Description
______________________________________________________________________________
_____
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
____________________________________________________________
Dates
______________________________________________________________________________
_____
(d) TECHNICAL COOPERATION
Grants and Fellowships
Advisory Services
Staff Missions
Others (describe)
Purpose
______________________________________________________________________________
____
______________________________________________________________________________
____________________
Place and duration
______________________________________________________________________________
____
For Grants/Fellowships, please indicate:
Beneficiaries
Countries/Nationalities
Cost(in US$)
___________________
___________________
__________________
___________________
___________________
__________________
___________________
___________________
__________________
___________________
___________________
__________________
(e) SERVICES
Description
______________________________________________________________________________
_____
______________________________________________________________________________
_____
_______________________________________________________________________
Dates _____________________
(f) OTHER OUTPUTS
25
For example, Centre of excellence, Network, Environmental Academy, Convention, Protocol,
University chair, etc.
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
__
SECTION 3 - PROJECT DELIVERY
3.1 Summary of the Problems Encountered in Project Delivery (if any)
______________________________________________________________________________
_____
______________________________________________________________________________
_____
______________________________________________________________________________
_____
______________________________________________________________________________
____
______________________________________________________________________________
_____
3.2 Actions Taken or Required to Solve the Problems (identified in Section 3.1 above)
______________________________________________________________________________
_____
______________________________________________________________________________
_____
26
ANNEX V - FINAL REPORT FOR INTERNAL PROJECTS
1.
Project Title:
2.
Project Number: (include number of latest revision)
3.
UNEP Programme of Work Component Number: (3 digits)
Include a statement of how effective the project has been in attaining this component and its
contribution to overall Subprogramme implementation
4.
Performance Indicators:
UNEP Programme of Work: {State the relevant Performance Indicators (with the Quantity figure)
from the Programme of Work, and compare against actual results}
5.
Scope:
6.
Duration:
(a)
Initial {(as indicated in the original project document)
List day/month/year of start and end of project.
List project duration in terms of total months}.
(b)
Actual {(as indicated in the latest project revision)
List day/month/year of start and end of the project.
List project duration in terms of total months}.
(c) Reasons for the variance {When there is a difference between the initial and actual duration,
list the consecutive project revisions (number and date of approval), and summarize
justification for each revision}.
7.
Cost:
(a)
Initial {(as indicated in the project document)
List the total project cost (UNEP and "Others") and give breakdown by funding source. Give
actual figures and contribution in terms of percentages}.
(b)
Actual {(as indicated in the latest project revision)
List the total project cost (UNEP and "Others" and give breakdown by funding source. Give
actual figures and contribution in terms of percentages}.
(c)
Reasons for the variance {(When there is a difference between the initial and actual cost, list the
consecutive project revisions (number and date of approval) involved in amending the project
costs. List any other reasons for discrepancy}.
(d)
Relate expenditure to achievement of outputs (e.g. 100% expenditure and 82% output
completion).
8. Needs:
(a)
Identified needs (as indicated in the original project document).
(b)
Satisfied/realized needs (List needs fulfilled due to implementation of the project).
9. Results:
(a)
Expected Results (as indicated in the original project document).
(b)
Actual Results (indicate actual results achieved/attained from project implementation).
(c)
Reasons for the variance (state the reasons for the difference between expected and actual
results).
(d)
State corrective action(s) to be taken.
10. Outputs:
(a)
Expected Outputs (as indicated in the original project document).
(b)
Actual Outputs (List actual outputs resulting from project implementation emphasizing activities
undertaken.
(c)
Reasons for the variance (state reasons for the difference between expected and actual outputs).
(d)
State corrective action(s) to be taken.
11. What are the catalytic effects of the project on other agencies or governments?
(a)
intellectual:
(b)
financial:
27
12.
Describe the problems encountered during project implementation:
Problems:
Causes:
Consequences:
(a)
Substantial/Programmatic
(b) Institutional
(c) Financial
13.
Lessons learned from the achievement and/or weaknesses of the project:
14.
Recommendations:
Make recommendations to:
(a)
improve effect and impact of similar projects in the future;
(b)
indicate what further action might be needed to meet the project needs/results.
15.
Further follow-up action required:
(a) Action Required:
(b) Responsible unit(s):
(c) Schedule:
16.
Evaluated by:
Name and position of Evaluator:
_______________________________
Date:___________________________
17. Approved by:
Name of Programme Manager/Regional Director: Chief, Project Design and Evaluation Unit:
________________________________
__________________________________
Date:____________________________
Date:______________________________
28