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MDGF-1782: Economic Governance of Water and Sanitation

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.
Thu, 2007/06/21 - 6:22pm — yuri.leiva@undp.org
Fri, 2007/06/22 - 5:14pm
Wed, 2007/10/31 - 1:37pm
yuri.leiva@undp.org
English  (current), Spanish 

ID: MDGF-1782

Democratic Economic Governance
Round 1
(26/04/2007 - 31/12/2009)
Honduras
$9,329,032
36 Months
Economic Governance of Water and Sanitation

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
  • Rebeca ARIAS
  • rebeca.arias@undp.org
  • Yuri Leiva
  • yuri.leiva@undp.org
  • yuri leiva
  • UNDP - United Nations Development Programme
  • oficial de coordinacion
  • yuri.leiva@undp.org
  • renato chavarria
  • UNICEF - United Nations Children's Fund
  • oficial de agua y saneamiento
  • rchavarria@unicef.org
  • UNDP - United Nations Development Programme ($2,708,716)
  • UNICEF - United Nations Children's Fund ($1,499,070)
  • WHO - World Health Organization ($449,500)
  • FAO - Food and Agriculture Organization of the United Nations ($1,134,607)
  • UNIDO - United Nations Industrial Development Organization ($360,590)
  • ILO - International Labour Organization ($1,893,900)
  • ECLAC - Regional Commissions: Economic Commission for Latin America and the Caribbean ($1,282,649)
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B. Concept Note

The general objective of the programme is to consolidate the process of sector modernization in order to support the achievement of the MDGs and the targets of the Poverty Reduction Strategy (PRS), under the leadership of the Government with harmonized cooperation of the United Nations agencies. The programme will support the design, adaptation and implementation of sector policies with a focus on social inclusion, led by the national Government, and the strengthening of mechanisms for investing in infrastructure in smaller towns, and urban-marginal and rural areas. These interventions will have the support of the leading institutions in those sectors, in regions defined specifically as poverty-stricken, with participation from the citizens, taking advantage of current initiatives and successful schemes, with a view to creating synergies, mobilization of additional resources and the incorporation of new parties in developing the sector.

A clear dimension of poverty is the lack of a sanitation infrastructure. According to official figures (2000), the total water supply coverage of Honduras was 80% (90% in urban areas, 70% in rural areas), and 68% in sanitation (88% urban, 50% rural). The lack of infrastructure is accentuated by recurring natural disasters and the existence of a fairly new institutional framework in the sector, without adequate tools and with limited effectiveness. The country and sector need to organise and advance in meeting concrete targets in coverage, improvement of services, prioritising actions aimed at the poor. Recently the country has achieved some goals in the modernization of its institutions. In 2002, with the support of PAHO/WHO, a Sector Analysis was produced, which reports on the state of services. In 2003 a strategic plan to modernize water and sanitation (PEMAPS) was prepared, establishing a number of performance targets. A new Legal Framework for the Water and Sanitation Sector was passed at the end of 2003, and a few months later (2004) its regulations were approved. The National Council on Water and Sanitation (CONASA) was created and given the responsibility of sector planning; as well as the Regulatory Body for Water and Sanitation Services (ERSAPS). The function of Autonomous National Service for Water and Sewer Systems (SANAA) was redefined, from operator of the systems to provider of technical assistance to municipalities. The programme foresees intervention in 30 municipalities to be selected in consultation with governmental authorities, on the basis of indicators on poverty, mortality and infant mortality, local management capability and geographical zones prioritised by the government, promoting the creation of associations of municipalities. The direct beneficiaries of the programme will be poor and excluded communities, prioritizing smaller municipalities (specially its principal towns), marginalised neighbourhoods, rural water boards, and concentrated and dispersed rural areas. National institutions participating will also benefit, by receiving operational tools, trained and qualified staff and the support of international technical cooperation. The Honduran Government has given priority to water and sanitation as a way of tackling urban and rural poverty, and including this within the Poverty Reduction Strategy. This instrument prioritizes sanitation infrastructure. Recently the Government has begun formulating a Sector Policy, which will be debated and submitted for official approval by CONASA in the second semester of 2007. Government commitment has also been evident in the recent creation of the Water and Sanitation Sector Roundtable, a tri-partite roundtable formed by the Government, international cooperation and civil authorities, which, over the next three (3) years, must design and implement a Sector Wide Approach (SWAP). The United Nations agencies have made important contributions in this sector for the past 20 years. Important initiatives include the support for the provision of services in marginal areas of Tegucigalpa (UNICEF), support of the rules for Quality Improvement of Water and Effluents (PAHO/WHO), and Municipal Strengthening (UNDP). Undoubtedly, these schemes have been highly appreciated by national institutions, and therefore some of these initiatives will be replicated, scaled up and deepened in the present project. The UNDAF 2007-2011 for Honduras establishes as one of its outcomes, relevant for on the sector: By 2011 Hondurans will have advanced towards the achievement of their universal right to health, water and sanitation, to food, education, culture and protection from violence, abuse and exploitation. This outcome is in line with targets 10 and 11 of Objective 7 of the MDGs, as well as with the Targets of the PRS.

The programme will promote the reform of the sector, while trying to include the poor and prioritize smaller towns, marginal areas and overlooked rural areas, led by the Government, with coordinated action from the UN agencies, and other multilateral and bilateral agencies, to attain greater effectiveness and impact. Three results are set: 1. Sector policies with a focus on social inclusion designed, adapted and implemented, led by the national Government, within the current process of a definition of a sector policy framework. These policies must be inclusive and prioritise poor communities. Measurable results: a. Marginal areas, suburban areas and rural areas are explicitly incorporated in water and sanitation sector policies. b. Municipalities capacities for planning of settlements, including their sanitation infrastructure, strengthened. c. Participatory municipal assessments and plans of Water and Sanitation as tools for planning investment and obtaining resources in the local environment. d. Capability of local businesses to provide services through local small and micro enterprises, via the creation of local markets in a framework of competition and widening of choice. e. Strengthening of local capabilities for controlling and monitoring the quality of water for human consumption. f. Plans for reducing vulnerability and responding to emergencies for management of water and sanitation systems. g. Regulatory body has developed and applies regulatory instruments for water and sanitation services with a focus on inclusion. Includes the number of municipalities that regulate and supervise services effectively. h. Strategic framework for the promotion of the acceptable use of water and protection / control of source contamination. i. Documentation and dissemination of results and experiences. Includes the number of experiences shared and circulated through the Water and Sanitation Network of Honduras. 2. Establishing support mechanisms for urban investments (in small towns, poor developing neighbourhoods, and poor urban marginal zones), under local organised action. Measurable results: a. Experience of Water and Sanitation in the Marginal Regions in Tegucigalpa consolidated and applied in other towns. Includes number of communities and population that benefit. b. Portfolio of urban / rural projects formulated. Includes the number of projects formulated and the population that benefit, to be financed in partnership with other aid agencies. c. Investment funds to support urban / rural interventions. Includes the establishment of seed capital to finance infrastructure in partnership with other co-operators. d. Strengthened capabilities for social mobilization and hygiene education within target groups and the general population. Includes number of communities assisted and population that benefit. e. Support of municipalities’ access to and management of financial resources and mechanisms for providing services. Includes the number of municipalities with capability to raise funds to meet the needs of this sector. f. Rules on management of vulnerability and risk incorporated in the local regulations on construction and improvement of water and sanitation infrastructure. g. Rules and arrangements for pay and compensation for environmental services provided by populations in regeneration zones. Include the number of protected watersheds and local economic frameworks that encourage and recognise the value of this resource. 3. Establishment of investment support mechanisms in rural parts of the country. a. Sustainability and hygiene education strategy in dispersed and poverty stricken rural communities. Includes the preservation of successful existing extension programmes and the number of rural communities supported. b. Application of guidance and rules to attend to vulnerability and alleviation of effects of natural disasters on sanitation infrastructure. Includes the number of action plans formulated and number of improved water systems. c. Action plans for protection and sustainable and productive use of micro watersheds through a process of empowering local parties. Includes the number of sources protected with the help of the communities.

Under the coordination of UNICEF and the UN Coordination Office, and in order to formulate the plan, a team will be put together, consisting of technical experts from the participating agencies, the government and Spanish Agency for International Co-operation AECI. This team will formulate a work plan to roll out the joint programme, which will include workshops and a process of consultation with protagonists on the local and governmental level, the definition of geographical areas to be dealt with, contracting of consultants for support in detailed planning, the drafting of the programme and a final workshop to check the validity of the proposals with protagonists from different levels and sectors. For the approval of the Concept Note an approval committee will be formed by AECI, the requests of the government involved, the Ministry for Technical Co-operation SETCO and the Resident Coordinator of the United Nations System. This committee will also be convened for an eventual approval of the Joint Programme Document. The main characteristics of the implementation of the Joint Programme, while identified as features of a successful implementation, are the following: 1. Development of the programme led by the main institutions responsible for developing this sector. The National Council on Water on Sanitation CONASA as well as the Regulatory Body ERSAPS will participate in the design and will be protagonists in the implementation of the programme. The participation of CONASA will also ensure that the methods created are official and therefore will be relevant in the medium and long term. 2. A clear and direct influence is sought in the interventions. As well as selecting geographically poor areas, each intervention should keep a general aim to construct and leave behind something concrete which benefits the municipality/community. 3. The community will be a key player in the implementation. Participatory focus groups, especially those that involve the population at all stages in the project-cycle, will be applied to all aspects of the project. 4. The programme will be constructed alongside existing initiatives and successful experiences. It is recognised that the country has other initiatives and projects related to this sector, and synergies will be sought with them. Also, there are innumerable successful schemes – many where the United Nations has been in participation – which must be remembered, replicated and taken to the overlooked communities. 5. The programme will provide new resources in the sector – generally it will cultivate a climate of trust between the international agencies cooperating to keep the focus of activities on the poor communities. Therefore clear targets will be fixed regarding the mobilization of cited resources. 6. Work relationships and synergies sought between the parties that are not currently active within the sector – a clear area of work is the promotion of business activity in the sector at a local level. 7. The strengthening of local capabilities is key – Work will be done to give direct support to local administrative structures, avoiding the creation of parallel capabilities. The programme will involve a diverse range of institutional and local parties, taking advantage of the skills and specialties of each, and attending their respective needs in different ways. The details of each party’s role will be defined during the detailed process of designing the programme. Parties with a particularly important role include: ▪ The National Council on Water and Sanitation (CONASA), the body generating sector policies. • The Ministry of Public Health. • The Autonomous National Water and Sewer Systems Service, SANAA. • The Regulatory Body for Water and Sewer System Services, ERSAPS. • The Ministry of Government and Justice, particularly the Technical Decentralisation Unit. • The Association of Honduran Municipalities, AMHON. • Selected municipalities in the country, Associations of Water Boards, Water Boards. • The Ministry for the Environment • The Forestries Administration of the State –Honduran Corporation for Forestry Development (AFE-COHDEFOR). • The Ministry for Natural Resources, SERNA • The Permanent Contingency Committee COPECO. • The Agriculture Ministry SAG The roles of these parties in the project will be described in more detail during the preparation phase. A Technical Inter-institutional Committee will coordinate the actions of the various institutions implementing the programme and the participating agencies of the United Nations System. The membership, functioning and meeting frequency of this committee will be defined during the project’s preparation phase.

Each participating agency and its active associates will implement monitoring and evaluation of their respective activities, using coordinated methods which will be consolidated by the Management Support Unit. The relevant indicators are described as follows and will be checked and validated during the preparation phase of the project, in which each will be assigned quantitative aims: Outcome 1 Sector policies designed, adapted and implemented, led by the national government, and with a focus on social inclusion. Indicators - Declaration of tailored sector policies. - Municipalities capable of generating municipal plans. - Municipalities producing assessments and plans for water and sanitation. - Company groups capable of providing local services. - System of supervision and water quality control implemented at a local level. - Plans to reduce vulnerability designed and implemented. - Supervision and Local Control/local regulation units with a range of tools and applying best practice. - Adequate use strategy designed. Outcome 2. Investment support mechanisms established in small towns, poor developing neighbourhoods, and poor peripheral urban areas of the country, under joint local actions. Indicators - Methodology of adapted marginal areas in use in other towns. - Portfolio of projects formulated - Investment fund created. - Institutional practices of social mobilisation and hygiene education set up. - Municipalities ability to obtain and use additional financial resources strengthened. - Aspects of vulnerability and risk incorporated into local regulations. Outcome 3 Established investment support mechanisms in rural areas of the country. Indicators - Documentation of sustainability and hygiene education strategy reflected in local plans. - New infrastructure designs incorporate regulations on vulnerability and risk. - New action plans for protecting production sources.

Seven agencies from the United Nations system in Honduras will participate in the Joint Programme. UNDP will be the Joint Programme’s administrative agency, undertaking the Group’s Financial Management. This agency will compile financial reports produced by different agencies in a combined format. Once the Joint Programme has been approved an MOU will be signed between the administrative agency (UNDP) and the rest of the participating agencies, in which administrative agreements for implementation will be established. The coordination of efforts from the different UN agencies and parties and national institutions participating will be overseen jointly by a Steering Committee, formed at the highest level by representatives from the participating agencies, ministers from SETCO, Health, Government, SANAA, ERSAPS, AMHON, COPECO and AECI, and by a Technical Inter-institutional Committee made up of the most relevant persons from each body. Coordination of the programmes operation will be the responsibility of the Programme Management Support Unit (UAG), which will administratively rely upon UNDP and in operational terms will report to the Inter-institutional Technical Committee. Its function will be to monitor and ensure that the joint programme maintains its integrity and complementarity, support agencies in the implementation of activities and compile the technical reports prepared by the agencies. The definite composition of the UAG will be defined during the preparation phase. Its terms of reference will be agreed on the basis of its planned functions, which will include supporting agencies in the planning, monitoring and evaluation of their activities, ensuring coherence and standardization of focus and administrative practices, complementarity of activities, integrity of the programme components and the avoidance of duplication of efforts. The participating bodies will contribute to the implementation of the program with regards the following specific areas: ▪ The National Advisory on Water and Sanitation (CONASA), the body generating sector policies, in regard to sector-specific policies, the authorisation of organisations, methodologies and plans. • The ministry of public health, in regard to water quality and extension of local services (particularly the strengthening of the programme for technical experts in environmental health). • The Autonomous National Water and Sewer Systems Service, SANAA (Technical office of CONASA), concerning infrastructure planning and the provision of local technical assistance. • The Regulatory Body for Water and Sanitation Services, ERSAPS, in regards to technical, economic and social service regulations. • The Ministry of Government and Justice, particularly the Technical Decentralisation Unit, in regard to implementing decentralisation policies and local strengthening. • The Association of Honduran Municipalities, AMHON, assisting in working with smaller associations and local organisations. • Selected municipalities in the country, Water Board Associations and Water Boards – these are the main protagonists in the Programme, in which improving coverage and quality of the service is the main aim. • The Ministry for the Environment, with regards protection of sources and receiving bodies • The State Forestry Administration –Honduran Corporation for Forestry Development (AFE-COHDEFOR, with regards resource protection. • The Permanent Contingency Committee (COPECO) in regards to regulations regarding vulnerability and emergency planning. • The Agriculture Ministry (SAG).

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C. MDG-Related Indicators

  • Goal 7: Ensure environmental sustainability
  • 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.