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MDGF-1913: Governance in the water and sanitation sector in Ecuador within the framework of the Millennium Development Goals [rd 2]

PLEASE NOTE THIS CONCEPT NOTE IS THE ORIGINAL SUBMISSION TO THE FUND. IN MANY CASES INDICATIVE BUDGET AMOUNTS APPROVED BY THE STEERING COMMITTEE ARE CONSIDERABLY LOWER THAN THAT REQUESTED AND INDICATED HERE-IN. FINAL BUDGET AMOUNTS WILL ONLY BE AVAILABLE AFTER APPROVAL OF THE FINALIZED DETAILED JOINT PROGRAMME DOCUMENT.
Tue, 2008/01/29 - 6:27pm — paulina.witt@un...
Thu, 2008/01/31 - 1:00pm
Thu, 2008/02/07 - 5:12pm
paulina.witt@undp.org
English  (current), Spanish 

ID: MDGF-1913

Democratic Economic Governance
Round 2
(10/12/2007 - 31/12/2009)
Ecuador
$7,309,262
36 Months
Governance in the water and sanitation sector in Ecuador within the framework of the Millennium Development Goals [rd 2]

Attached Documents:

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A. Applicant Information

Latin America and the Caribbean
  • Lower Middle Income Country
  • Medium HDI, according to UNDP's 2006 Human Development Report
  • Jose Manuel Hermida
  • jose.manuel.hermida@undp.org
  • Fernando Pachano
  • fernando.pachano@undp.org
  • Claudio Providas
  • UNDP - United Nations Development Programme
  • Representante Residente Adjunto
  • claudio.providas@undp.org
  • Veronica Quintero
  • UNDP - United Nations Development Programme
  • Gerente de Reducción de la Pobreza e Inequidades
  • veronica.quintero@undp.org
  • UNDP - United Nations Development Programme ($3,606,422)
  • UNIFEM - United Nations Development Fund for Women ($0)
  • UN-Habitat - United Nations Human Settlements Programme ($3,355,090)
  • WHO - World Health Organization ($149,800)
  • ILO - International Labour Organization ($133,750)
  • UNV - United Nations Volunteers ($64,200)
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B. Concept Note

The programme will contribute to developing democratic governance in W&S services with a perspective on integrated management of water resources, social, territorial and gender equity, and support to the overall government-driven reform process within the framework of the National Development Plan. Expected results include: increased access to safe water and sanitation for the poorest populations of 4 provinces; contributing to the achievement of target 10 of MDG 7 and having an impact on MDGs 1, 2, 3, 4, 5, 6 and 8; the implementation of a new regulatory and institutional framework for the W&S sector; the design and implementation of consensual public policies for effective services management; improving the technical, administrative and financial capacities of service providers in the areas of intervention; and the empowerment of women, social organisations and communities that participate in the sustainable and transparent management of the sector.

The National Development Plan 2007-2010 has identified the sustainability of the W&S sector as a key factor in fighting the poverty that affects 40% of the country’s population, and achieving the MDGs. Shortages and irregularities in these services have negative impacts on health, nutrition, the quality of life of women and children and individuals’ ability to benefit from economic opportunities. Investment in the country’s W&S sector by programmes such as PRAGUAS (World Bank) and PRASCI (IDB), has failed to make significant progress in terms of the services’ coverage and quality. Evaluations of these programmes indicate that the sector faces obstacles that are not only financial, but also technical, institutional and political in nature. In addition, projects are not tailored to suit the geographical and cultural characteristics of the areas of intervention. In this context, the Government has prioritised regulatory and institutional reform in the sector which includes the body responsible for the sector (MIDUVI [Ministry for Urban Development and Housing]) and other related institutions. According to the 2007 Report on the MDGs only 48% of the country has access to piped water. In the provinces of Bolívar, Los Ríos, Manabí and Esmeraldas, a maximum of 25% of households have access to the service. In addition, 60% of the water supplied is not fit for drinking and supply is intermittent in 55% of systems. 74% of the public sewage network is in precarious conditions. Of Ecuador’s 22 provinces, only Pichincha has 80% coverage, whereas the others all have less than 50%. The most severe case is the province of Los Ríos, where coverage is 13%. With regard to the treatment of wastewater, 92% is discharged, completely untreated, into natural watercourses. Policies, strategies and programmes in the sector, led by MIDUVI, are characterised by inefficiency, lack of coordination, a lack of an adequate regulatory and institutional framework, the limited technical and management capacities of service providers, a lack of space for community participation, a lack of information and transparency in decision-making and resource-allocation processes and an unstable political environment, among other obstacles. Obsolete regulations have led to overlapping responsibilities for local and national governments. Local councils and communities are responsible for operating and maintaining the services, but they lack technical, administrative and financial capacities and central government support. In addition, there is no integrated information system to monitor policy decisions and investment priorities for the most disadvantaged sectors. Furthermore, social organisations have limited participation and have not developed mechanisms to influence policy or demand public accountability to ensure efficient, transparent and equitable management in the sector. To sum up, the sector requires significant reform before it can contribute to reducing poverty. The programme will contribute to government efforts to overcome the problems mentioned. To this end it will support SENPLADES [The National Secretariat for Development and Planning] to develop a participative process to build democratic governance in the W&S sector. In addition, in accordance with the priorities established in the National Development Plan, the programme will help to increase access to W&S by investing in the poorest small towns and rural communities in the provinces of Bolívar, Los Ríos, Manabí and Esmeraldas, which are characterised by their diverse population, including indigenous, Montuvio [coastal mestizo] and Afro-Ecuadorian communities. Investment decisions will be taken in concert with social organisations and local councils, and will contribute to the regulatory and institutional reform process undertaken by the Government and led by SENPLADES. The intervention will also contribute to ensuring that the programmes PRAGUAS and PRASCI being implemented, and the new investments envisaged in the sector through the BEDE [Banco del Estado, State Bank], achieve the desired objectives.

The programme is framed within the National Development Plan 2007-2010, the Government-driven reform process led by SENPLADES and the MDGs adopted by the State of Ecuador. The overall outcome of the programme will contribute to democratic governance in Ecuador’s water and sanitation sector in line with the ongoing configuration and implementation of an integrated water resource system. In this context, four outcomes will be achieved: one will be national in scope and three will focus on the local level through interventions that will provide feedback to the national reform process in the sector. The anticipated outcomes and outputs will be measured and subject to systematic and participative monitoring. The first outcome will contribute to the creation of a new regulatory and institutional framework that is the result of agreement between the public, social and community sectors and is based on social, territorial and gender equity and environmental sustainability. It will support the participative formulation of a public policies agenda and the implementation of financial strategies to ensure the services’ sustainability by increasing the institutional capacities of the bodies responsible for their implementation. In addition, an integrated national W&S services information and monitoring system will be developed; a key tool for effective public management of the formulation, execution and monitoring of policies and programmes. Moreover, this instrument will be useful to promoting transparency and public accountability of services. The second outcome is the technical, economic, social and environmental sustainability of a group of service providers operating in the four provinces selected by the programme. To reduce losses in the operation and maintenance of W&S systems, the technical, administrative and financial capacities of management bodies will be strengthened. A system of fair tariffs will also be implemented, to ensure the services’ sustainability. At the same time, the participation of local populations in decision-making and managing and monitoring the quality of services will be promoted. Partnerships between service providers will be encouraged, with the aim of sharing experiences, tools and management models, and establishing agreements to protect water sources and implement economy-of-scale strategies, among other initiatives. The third outcome will be the empowering of social organisations linked to the W&S sector, particularly women’s organisations, to enable them to participate in national and local-level decision-making, as well as to participate systematically in public accountability processes for W&S service provision. To this end, community observatories will be promoted and/or bolstered and given the technical support and information required to develop their capacities to influence the sector. The fourth outcome will be to improve sanitation services for the inhabitants of small towns and rural communities in the provinces of Bolívar, Manabí, Los Ríos and Esmeraldas. For this purpose, investments will be made in sanitation infrastructure that will increase or improve access, provision and quality of water and sanitation services in the provinces in question. Decisions on investment priorities and destinations will be taken in conjunction with social organisations and water boards, based on an inventory and information that takes particular account of the needs of women and the poorest sectors of society. Sanitation solutions will be geographically and culturally appropriate. In addition, innovative mechanisms will be promoted to finance the protection of water sources, e.g. the payment of an environmental services tax by users. This mechanism has been implemented in several towns across the country with positive results.

The objectives and strategies in this proposal have been drawn up in consultation with authorities from the following bodies: SENPLADES, MIDUVI, BEDE, AME [Association of Ecuadorian Municipalities] and CONCOPE [Consortium of Provincial Councils of Ecuador]. International cooperation has been provided by: AECI [The Spanish International Cooperation Agency], SNV, UN-HABITAT, UNDP, ILO, UNIFEM, WHO and UNV. The programme will be based on the principles of social, territorial and gender equity and sustainable development and will contribute to the democratic governance of the W&S sector. Given the country’s political atmosphere, which is favourable to reform, it is anticipated that the changes, both regulatory and related to the sector’s institutional structure, will be institutionalized. At a national level, the programme will support SENPLADES in developing technical/political capacities to lead the sector’s regulatory and institutional reform. As part of this process, spaces will be created for dialogue, consultation and consensus building with links to social organisations and water and sanitation boards at national and local government levels. Forums and workshops for debate and the establishment of agreements will also be set up. Anticipated activities include: technical support for case studies to contribute to knowledge generation and the development of tools to support the formulation and implementation of a new regulatory framework; the crafting of a new institutional structure; the formulation of a public policies agenda in concert with social organisations; a system to monitor tariffs, and an integrated information system that will articulate and streamline the information available at national and local levels. All these elements are essential for democratic governance. At a local level the programme will promote agreements and the implementation of technical, administrative and financial tools to drive the sustainable management of services in the provinces of Bolívar, Los Ríos, Manabí and Esmeraldas. These experiences will lead to the discussion and crafting of reform policies and strategies for the W&S sector. They will also contribute to developing service providers’ capacity to formulate proposals and attract BEDE-administered resources that are earmarked for W&S infrastructure projects boosted by local governments. The areas of intervention were selected by taking into consideration gaps in access to water and sanitation services and because they are mainly home to indigenous (Bolívar), mestizo (Los Ríos), Montuvio (Manabí) and Afro-Ecuadorian (Esmeraldas) populations. Bolívar Province is in the Andes; Los Ríos is in the InterAndean corridor, while Manabí and Esmeraldas are on the Pacific coast. These areas present distinctive geographical and cultural characteristics, which will enable the creation of models that can be replicated in areas with similar features in other regions in the country. The strategy for achieving sustainable management of services includes establishing a provincial coordination space and mapping the current situation with regard to W&S services. These will be key tools in facilitating concerted decision-making at the local level and in setting out priorities related with institutional building, training, technical assistance and investments. At the same time, these will also enable the identification of opportunities to promote the services’ technical, economic and environmental sustainability through mechanisms such as technical assistance agreements, mobilising the resources of the BEDE and intermunicipal agreements to implement new initiatives to protect water sources, among others. The programme will also support actions aimed at building strategic alliances in the territory to optimise resources and establish sustainable and participative solutions. In addition, the programme will establish an agreement with the Resource Centre for the Sustainability of W&S Services, a body set up by the water company ETAPA and the University of Cuenca in Azuay Province, which has successful and sustainable management experience in W&S services. The Centre will be responsible for providing technical assistance, consultancy and training to relevant bodies and organisations, in accordance with the established priorities. It will also be responsible for disseminating information and reproducing management experiences and models in association with academic institutions and similar new programmes driven by international cooperation. At the same time, it will promote local exchanges of experiences and analyse lessons learned. Finally, it will carry out case and/or specialised studies to provide specific and concrete solutions to deal with concrete realities in the intervention zones. At national and local levels (in the provinces of Bolívar, Los Ríos, Manabí and Esmeraldas) the programme will promote community participation, particularly of women, in decision-making and citizens’ management and monitoring of W&S services. To this end, after analysing and learning from existing experiences, processes will be launched to generate mechanisms to influence and monitor public policies and A&S services. This implies promoting or strengthening community, women’s, user and consumer organisations, providing technical support and raising awareness about citizens’ rights and responsibilities. It will also involve training in the use of tools to monitor W&S services. In addition, the programme will promote strategies to ensure water quality as well as good practices in hygiene and sanitation. Finally, the programme will contribute to improving access to water and sanitation services for the inhabitants of prioritised small towns and rural communities in the intervention zones. Appropriate and sustainable technologies will be used to provide services to dispersed rural communities that are usually excluded from accessing public services because of the inherent geographical complexities. Practical solutions will be implemented to repair and ensure the functioning of existing W&S systems. Each province will have a technical team for this purpose, which will carry out technical feasibility studies, promote the organisation of local communities and settlements to mobilise counterpart resources, and support the sanitation infrastructure work prioritised through participative processes. The process will provide technical assistance, training and support to water boards or bodies that administer the newly-built or repaired systems to ensure their effective long-term functioning, operation and maintenance. Service-providers and municipalities will also be given technical support in formulating and negotiating W&S projects to obtain financing from the BEDE. Throughout the programme cycle, entities’ capacities will be developed by strengthening the positive experiences of local and national agents. These experiences will be captured in case studies and will be used as tools to systematise processes and replicate models. The Resource Centre and the AME will serve as channels for the dissemination of knowledge and management tools. The empowering of social organisations and their participation in decision-making and monitoring with regard to W&S services will contribute to transparency and democratic governance. Partnerships will also be established to share information, exchange lessons learned, mobilise resources, enhance economies of scale, monitor policies and sign off on investments with municipalities, the BEDE and the international cooperation involved in the W&S sector.

In order to monitor and evaluate the outcomes and results, two external evaluations will be carried out: the first, half way through the implementation period and the second at the end of the programme. Participatory evaluation methods will be used to gather the perceptions of national, local and community level stakeholders. The evaluation tools will include case studies, a baseline study of local realities, focus group surveys and interviews with authorities, women leaders, and user organisations, among others. Service user satisfaction surveys will also be carried out. Experiences will be documented through case studies, videos and periodic technical reports. Finally, participants in workshops, events and discussion forums will fill out evaluation questionnaires. The indicators used will be: (The following indicators assess the strengthening capacities objective and the expected, quantitative and qualitative, effects.) Outcome 1 Indicators: - New agreed regulatory framework implemented. - New institutional structure implemented in the sector. - Agreed policy agenda implemented. - Integrated W&S information system used to manage and monitor the sector. - Nº of human resources nationally trained in management tools in the sector. - Agreed tariff system, based on principles of social and territorial equity, implemented. Outcome 2 Indicators: - Nº W&S service providers that achieve an X% reduction in losses caused by the defective operation and maintenance of infrastructure. - Nº service providers that improve their technical capacity and implement planning, management and monitoring tools for the services. - Nº service providers that improve their tariff system. - Nº social organisations, W&S boards and user and women’s organisations that are satisfied with the changes implemented. - % increase in coverage and quality of W&S services following changes in intervention zones. Outcome 3 Indicators: - Nº social organisations and W&S boards placed on a firmer footing. - Nº women actively participating in social organisations, leading processes that influence policy and participating in public accountability activities. - Nº events aimed at exchanging experiences between social organisations. Outcome 4 Indicators: - X households in small towns of 4 provinces have access to W&S services. - X families with female head of household have access to services. - X households benefit from tariffs adjusted to their ability to pay. - X households from dispersed rural communities use appropriate technology to access W&S. - Nº small towns and communities with waste water treatment systems. - X water sources protected.

The objectives and strategies set out in this proposal will be implemented by the following UN Agencies: UN-HABITAT, UNDP, ILO, WHO and the UNV Programme, pursuant to their mandates. UNIFEM will provide technical assistance to integrate a gender perspective in the programme. Resources invested by UN Agencies in areas related to the project’s activities during the last two years: UNDP: 9,700,000 (on transparency, institutional reform, information systems) UN-HABITAT: 3,840,000 (on investments aimed at supporting decentralisation processes and strengthening local governments) ILO: 2,000,000 (on general interventions) WHO: 300,000 (on water and sanitation) UNIFEM: 1,999,000 (on general interventions) UNV Programme: 1,250,000 (on general interventions) Main local and international partners: The National Secretariat for Planning and Development (SENPLADES) will lead the formulation of proposals for regulatory and institutional reform in the sector, as well as the participative process to craft the public policies agenda. It will also be responsible for coordinating the programme’s strategies and activities, together with the following institutions: 1. The Association of Ecuadorian Municipalities (AME): Distribution of W&S services’ management tools and models. 2. The National Association of Municipal Drinking Water Suppliers (ANEMAPA): Provision of information and management models and tools. Participant in sectoral reform consultation processes. 3. The National Council of Women (CONAMU): Promotes the mainstreaming of the gender focus into public policies. 4. Water and Sanitation Boards: Participate in the W&S sector reform process and help bolster services management. 5. National Council of Ecuadorian Parish Boards (CONAJUPARE): Contributor to the entire programme cycle. 6. National Water Resources Forum: Contributes to the W&S sector reform process. 7. The Ministry for Urban Development and Housing (MIDUVI): Provides information and supports regulatory and institutional reform, and the process of harmonising the skills of the different levels of government. 8. National Institute of Statistics and Census (INEC): Administers the harmonisation and standardisation process for the sector’s integrated information system. 9. The Banco del Estado (BEDE): Supports coverage-widening processes by channelling funding to government bodies in the sector. Also supports the integrated information system through the SISPG [Sectoral Georeferenced Planning Information System]. 10. Municipalities: Local counterparts for the programme’s implementation in the 4 selected provinces. 11. ETAPA Resource Centres, Cuenca University: Provide technical assistance to service providers, systemise processes and coordinate the distribution and replication of experiences and models with academic institutions and the Association of Ecuadorian Municipalities. 12. National and local social organisations: Participate in empowerment processes, influence the creation of regulatory and institutional frameworks and exercise public monitoring activities. 13. SNV: Technical and strategic assistance for the programme’s implementation. 14. Universities: Contribute to the programme’s entire cycle, draw up case studies, support processes on the ground. Functions of UN Agencies: The programme will be implemented in accordance with National Government priorities, the objectives of the Master Plan of the Spanish International Cooperation Agency in Ecuador and the mandates of the UN agencies, which will use their knowledge and experience to support the achievement of the programme’s objectives. The programme will be supported by a country Steering Committee (SC) consisting of the National Secretariat for Planning and Development representing the National Government, the Resident Coordinator of the UN system and the Spanish International Cooperation Agency, representing the Government of Spain. The SC is a strategic management body that will have the task of setting out policies and guidelines for activities, providing political support, approving work plans and revising and approving progress reports presented by the programme’s Coordination Unit. The committee will meet at least twice a year, will take decisions in a consensual manner and will review the progress achieved by the programme. Management will be the responsibility of a Coordination Unit consisting of three people at the central level and a technical team distributed in each of the four provinces in which the programme will be implemented. The capacities and responsibilities of the UN Agencies participating in the programme’s execution are set out in the Annex. DECLARED CAPACITIES OF THE UNITED NATIONS ORGANISATIONS PARTICIPATING IN THE JOINT PROGRAMME The United Nations agencies supporting the Governance in the Water and Sanitation Sector in Ecuador within the framework of the MDGs programme are committed to working together and using their specialist knowledge and experience to contribute to the programme in order to achieve the intended results. The programme will be implemented in accordance with Government priorities, the objectives of the Master Plan of the Spanish International Cooperation Agency in Ecuador and the mandates of the UN agencies. It should be mentioned that the programme’s strategies are mutually reinforcing and will not be implemented separately as they are elements in an interconnected process. The anticipated outputs and outcomes complement each other in a general manner. In this context, UNDP and UN-HABITAT will be responsible for achieving the programme’s results and outputs with the cooperation and participation of the following UN Agencies in accordance with their experience: UNDP: Has supported structural reform processes in several countries. Develops management tools and promotes transparency and the empowerment of civil society. In addition, UNDP fosters sustainable development programmes and programmes that bolster local government management. In this programme, the organisation will support the development of strategies to improve regulatory frameworks and institutional capacities that aim to promote democratic governance in the sector. In this context, UNDP will support institutional reform and transparency in the management of the sector. Together with UN-HABITAT, UNDP will be responsible for executing component 4. UN-HABITAT: Has a specialist W&S Department that supports various governments in developing W&S services and generating local government capacities within a framework of decentralisation processes. The agency will use its experience to promote the tenability of service providers and strengthen government and community stakeholders for the construction of effective, fair and participative public policies. Together with UNDP, UN-HABITAT will also be responsible for executing component 4 and will cooperate in regulatory and institutional reform strategies. WHO/PAHO: Has developed methodologies and tools to improve the quality of water for human consumption, which are utilized in various countries in the region. The agency will support initiatives that aim to improve water quality in accordance with the priorities of the National Development Plan and the agreements the agency has established with the Ministry of Public Health. ILO: Promotes the empowerment and involvement of social organisations in managing basic infrastructure projects that generate employment through various methodologies and tools. The ILO will support social organisations’ training programmes, particularly for women. To this end it will share methodologies and tools developed by the Integral Rural Access Planning programme [PIAR in Spanish], which assists social organisations in accessing the management of basic infrastructure projects and in monitoring investment through participative processes. UNIFEM: As an agency that specialises in promoting gender equality and empowering women, UNIFEM will provide technical assistance to mainstream the gender perspective throughout the programme’s strategies and activities. UNV Programme: The Volunteer Programme is the United Nations System organisation that supports sustainable human development at a global level by promoting volunteerism and mobilising volunteers. UNV will contribute to the exchange of knowledge and experiences by providing technical assistance of UN volunteers to bolster the programme through expert missions that will support the implementation of information systems. Total budget: US$ 7,309,262 Amount solicited by each agency (in dollars): UNDP: 3,606,422 UNHABITAT: 3,355,090 ILO: 133,750 WHO: 149,800 UNV Programme: 64,200 Millennium Development Goals addressed in the Programme: Goal 1: Eradicate extreme poverty and hunger Goal 2: Achieve universal primary education Goal 3: Promote gender equality and empower women Goal 4: Reduce child mortality Goal 5: Improve maternal health Goal 6: Combat HIV/AIDS, malaria and other diseases Goal 7: Ensure environmental sustainability Goal 8: Develop a global partnership for development MDG indicators included in the Programme: Percentage of the population with sustainable access to piped water. Percentage of the population with adequate access to a system of elimination of excreta. Percentage of residual domestic industrial waters that are treated before being returned to bodies of water.

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C. MDG-Related Indicators

  • Goal 1: Eradicate extreme poverty and hunger
  • Goal 2: Achieve universal primary education
  • Goal 3: Promote gender equality and empower women
  • Goal 4: Reduce child mortality
  • Goal 5: Improve maternal health
  • Goal 6: Combat HIV/AIDS, malaria and other diseases
  • Goal 7: Ensure environmental sustainability
  • Goal 8: Develop a global partnership for development
  • 30. Proportion of population with sustainable access to an improved water source, urban and rural
  • 31. Proportion of population with access to improved sanitation, urban and rural
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D. Formulation Advance

Yes
$20,000
UNDP - United Nations Development Programme
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E. Resident Coordinator's Undertakings

  • The Concept Note has been reviewed by the national government and the UN Country Team.
  • If approved by the MDG-F Steering Committee, the UN Participating Organizations undertake to submit a draft Joint Programme Document within eight weeks of notification.
  • All UN Participating Organizations have or will sign the global Memorandum of Understanding with the Multi-Donor Trust Fund Office.