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MDGF-1832: Democratic economic governance in the Water and Sanitation sector in the RAAN and RAAS

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.
Fri, 2007/06/22 - 8:09pm — kasper.andersen...
Fri, 2007/06/22 - 10:41pm
Wed, 2007/10/31 - 1:38pm
kasper.andersen@undp.org
English  (current), Spanish 

ID: MDGF-1832

Democratic Economic Governance
Round 1
(26/04/2007 - 31/12/2009)
Nicaragua
$9,575,644
36 Months
Democratic economic governance in the Water and Sanitation sector in the RAAN and RAAS

Attached Documents:

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A. Applicant Information

Latin America and the Caribbean
  • Low Income Country
  • Medium HDI, according to UNDP's 2006 Human Development Report
  • Alfredo Missair
  • alfredo.missair@undp.org
  • Rita Delia Casco
  • ritadelia.casco@undp.org
  • Michele Messina
  • UNICEF - United Nations Children's Fund
  • Oficial de Agua y Saneamiento
  • mmessina@unicef.org
  • Kasper Andersen
  • UNDP - United Nations Development Programme
  • Asistente Especial del Coordinador Residente
  • kasper.andersen@undp.org
  • UNDP - United Nations Development Programme ($4,890,970)
  • UNICEF - United Nations Children's Fund ($1,717,350)
  • UNODC - United Nations Office on Drugs and Crime ($160,500)
  • WHO - World Health Organization ($542,811)
  • UNESCO - United Nations Educational and Scientific Organization ($436,025)
  • ILO - International Labour Organization ($877,828)
  • UNCDF - United Nations Capital Development Fund ($693,360)
  • UNV - United Nations Volunteers ($256,800)
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B. Concept Note

Less than 20% of people living in the Northern and Southern Autonomous Administrative Regions (RAAN and RAAS), home to many indigenous communities, have access to drinking water and adequate sanitation. The objective of the Programme is to strengthen democratic economic governance in the water and sanitation sector in the RAAN and RAAS through increased participation and coordination between social and institutional actors, strengthening of institutional frameworks and investment in infrastructure, thus increasing sustainable access to water and sanitation for poor population groups, particularly indigenous and Afro-descendant communities. The Programme aims to: (i) empower communities; (ii) reduce capacity gaps and support local management; (iii) improve quality of and access to services; (iv) support institutional, legal and regulatory revision processes. The Programme will work at the community, municipal (eight priority municipalities and three urban areas), regional and national level.

Nicaragua covers 139,000 square kilometres and has 5,483,447 inhabitants. 8.2% of the population is indigenous and is concentrated in the Autonomous Regions which lie on the Caribbean coast (RAAN and RAAS). Together, these are home to 626,848 people of multiethnic and pluricultural origins. The RAAN and RAAS cover 43.42% of the country and house 11.43% of the national population. 45.8% of the national population lives in poverty (2.3 million people), although the highest rates of extreme poverty are found on the Atlantic coast, a consequence of historical exclusion by the central authorities. Access to drinking water and basic sanitation is below 20% in rural areas with indigenous communities. The right of access to drinking water is recognized as a human right in the General Law on National Waters, passed by the National Assembly (parliament) in May of this year. The decentralization of responsibilities of the State and autonomous region is on-going and aims to provide better basic services and ensure the participation of the poorest and most deprived communities in decision-making processes. The decentralization process, which began in 1987, aims to achieve greater effectiveness and efficiency in public administration and to recognize the right of the people to organize themselves. It establishes the transference of functions, resources and authority to regional and municipal governments as a way of bringing decision-making closer to citizens, thus promoting greater participation and joint responsibility. However, implementation is still in the beginning stages, Local capabilities are lacking, the legal framework holds many ambiguities, duplications and jurisdictional conflicts between the three levels of government, and central public administration still retains a high level of power in operational decision-making. Official data for Nicaragua in 2006 showed a large difference between access to water and sanitation in urban areas, where coverage for drinking water and sanitation is at 95.1% and 95% respectively, and rural areas, where coverage is at 48.5% and 75.8%, particularly when compared to the Atlantic autonomous regions (18.3% and 20.1%). The most up-to-date numbers, from the recently published 2005 Census, indicate higher coverage of drinking water and sanitation (85.6% and 84.9% nationally) and continue to highlight large disparities with the RAAN and RAAS (59.25% and 63.95%). It should be noted that the census coverage data is not considered reliable, as it includes unsafe or poor quality water sources and sanitation facilities which are not in use. Governance in the Water and Sanitation sector in the RAAN and RAAS has been selected because it coincides with the priorities of the new national government. It is highly important to the lives and development of the people in the Atlantic regions, and it is an area in which the participating UN agencies have vast experience. Furthermore, it is an indispensable input in synergizing government programme activities such as the Zero Hunger Programme, which is designed to reduce food insecurity, generate sustainable basic services and boost employment through micro and small enterprise, and in enabling investment from other donors, an area which has been stifled by the lack of local capabilities in managing and implementing projects. The proposal contributes to the priorities of the new national government for the period 2007 – 2011, regarding increasing national coverage of drinking water and sanitation and eliminating the exclusion which exists in the Atlantic regions, through public policies which recognize and respect human rights in the region. These priorities have been established in the United Nations Development Assistance Framework (UNDAF), in the areas relating to 1. Democratic Governance and the Rule of Law in the Exercising of Human Rights and Citizenship-Building; 2. Reduction of multiple inequalities, poverty, hunger and malnutrition in order to achieve sustainable human development – MDG 1; and 4. Protection of the Environment and Risk Management for sustainable human development – MDG 7. This initiative is compatible with and complements both programmatically and territorially, the Programmes presented in the other UNDP-Spain MDG Achievement Fund Thematic Windows, and has been developed in consultation with the national government.

The objective of the Programme is to increase democratic economic governance in the Water and Sanitation sector in order to improve quality of life for the poorest and most marginalized populations in RAAN and RAAS through access to these services, with particular emphasis on indigenous and Afro-descendant peoples. The Programme’s outcomes will be as follows: 1. Poorest sectors of the population (indigenous peoples, Afro-descendants, women) empowered and participating in decision-making processes and control of investment in the Water and Sanitation sector. 2. Regional, municipal and communal management of the water and sanitation sector made more efficient, equitative and culturally appropriate and benefiting the poorest and most disadvantaged groups. 3. Access to and quality of water and sanitation services improved. 4. More appropriate institutional, legal and regulatory framework, in the context of national policies on decentralization and regionalization, facilitate the right to efficient and equitative access to water and sanitation in RAAN and RAAS. The Programme will improve living standards in the Caribbean regions of Nicaragua (RAAN and RAAS), which have the lowest levels of human development in the country, consolidate the institutional framework on the provision of drinking water and sanitation, particularly in rural areas, and support the country in achieving the Millennium Development Goals (MDGs) within the internationally agreed timeframes. The Programme adopts a human rights-based approach, identifying inequalities and disparities between groups and working to reduce the capacity gaps and barriers which impede the exercising of rights. It aims to improve participation and coordination between institutional actors (governing bodies, regulatory bodies, regional and municipal authorities) and social actors (local and user-based organizations, indigenous peoples, Afro-descendants, women). The remit of Outcomes 1 and 2 aims to strengthen the population’s capacity to make demands, improve management through communities and relevant institutions, and achieve participatory planning at local level, with the involvement of communal, municipal and regional governments. These outcomes contribute to the strengthening of organizations, networks of indigenous and Afro-descendant organizations and other associations, to further access to information and to promoting interaction and dialogue between local institutions, community organizations and civil society in general. Finally, Outcomes 1 and 2 will promote initiatives relating to the creation of micro and small enterprises in order to establish and maintain water and sanitation services in local areas. Outcome 3 will be achieved with the implementation of a Regional “Seed” Fund which will invest in water and sanitation systems. It will be administrated by regional governments, with support from the United Nations in the following areas: (i) 50% earmarked for implementation in rural areas of the eight priority municipalities; 25% for locations in Bilwi, Bonanza and Bluefields and 25% for other municipalities proposed by regional and municipal authorities, with priority given to projects which boost results in other UNDP-Spain Fund Windows; (ii) in each activity, 80% will be earmarked for investment in physical infrastructure and 20% for complementary activities (studies, technical support, training, etc.). Funds may be used as matching resources to attract further financial support which regional and municipal governments may negotiate from national institutions such as the Social Emergency Investment Fund (FISE), and donors such as the World Bank (WB), the Inter-American Development Bank (IADB) and the Swiss Agency for Development and Cooperation (COSUDE). Outcome 4 will contribute to the adaptation of national regulatory frameworks in the context of the new Law on National Waters, the Law on Regional Autonomy and the Decentralization Policy, and to the revision and implementation of relevant policies and legislation, with the participation of the RAAN and RAAS authorities and indigenous organizations. By the end of the programme the following will have been achieved: a) increased capacities in the management and development of necessary infrastructure in the public and private sector and in communities, with a view to sustainable investment and the achievement of goals relating to the well-being and living conditions of the population; b) synergies and dialogue between suppliers and users at different levels, integrating the poorest communities and populations into strategic planning processes; c) experience in the administration of regional “seed” funds which support the resolution of problems relating to water and environmental sanitation and attract new resources; d) access to sufficient appropriate information which can be applied to the management of systems and resources and the modernization of management processes; e) increased coverage of sustainable water and sanitation environmental services; and f) changes in the knowledge, attitudes and practices of the population with regard to the use and management of water and sanitation and to decision-making and participation processes for economic and social sustainability.

During the development of this proposal, the UN agencies involved met on various occasions and have incorporated into it suggestions and comments made by representatives of the Spanish Agency for International Cooperation (AECI), the Ministry of External Relations (MINREX), the Technical Secretariat of the Presidency (SETEC), the Development Council for the Atlantic Coast of Nicaragua (CDC), the Nicaraguan Association of Municipalities (AMUNIC) and the Social Emergency Investment Fund (FISE). The programme will run in rural areas of the eight Atlantic coast municipalities with the lowest rates of development and coverage of water and sanitation services and the highest levels of malnutrition and poverty: Rosita, Waspam, Prinzapolka and Bonanza (RAAN), with 112,070 inhabitants (75,531 in urban areas and 138,018 in rural areas), and La Cruz de Río Grande, El Tortuguero, Desembocadura del Río Grande and Laguna de Perlas (RAAS), with 60,778 inhabitants (9,942 in urban areas and 50,836 in rural areas). Specific activities will also be carried out in Bluefields, Bilwi and Bonanza to improve environmental sanitation conditions in favor of urban water servicices. The programme will contribute to improving the conditions of a total of 90,000 people, of whom 30,000 will be direct beneficiaries, and 60,000 indirect beneficiaries. The programme activities will be designed to coordinate efforts at the different political and administrative levels in the water and sanitation sector. The Programme will contribute to the establishment of fruitful relationships between municipal authorities and communal authorities and citizens. As a direct result of this relationship between actors within the same geographic area, the establishment of consortia will be promoted. These will be made up of municipal authorities, local organizations and civil associations, with the aim of optimizing activities and obtaining the best possible return on investments. In the same vein, the relationship between municipal, regional and national authorities will be fostered with the aim of harmonizing strategic planning and investment processes in each territory. The Nicaraguan Association of Municipalities (AMUNIC) and the Nicaraguan Institute for Municipal Development (INIFOM) will each have a role to play in achieving this aim. At national level the Programme will foster interinstitutional coordination between the governing bodies of the sector – the National Water and Sanitation Commission (CONAPAS), the regulatory body – the Institute of Water Supply and Sewerage Systems (INAA), and the operating bodies – the Nicaragua Water and Sewerage Company (ENACAL) and the Social Emergency Investment Fund (FISE). It will also promote relationships and synergies between these national bodies and the Autonomous Regional Governments, the Development Council for the Atlantic Coast, indigenous organizations and civil society in general. The programme will also implement two further actions alongside the coordination process between national, regional and municipal spheres, to increase the capabilities of local water and sanitation micro and small enterprises: (i) Strengthening of local capacities, especially local organizations and micro and small enterprises, taking into account specific experiences on the Atlantic coast and successful models for fighting hunger and poverty. Work will be undertaken in close collaboration with the National Technological Institute (INATEC), which has training centers in Bluefields (RAAS), Bilwi and Siuna (RAAN) and contributes to the certification of the local workforce, and with the Nicaraguan Institute for Small and Medium Enterprise (INPYME), which supports the development of enterprises run by women. Particular emphasis will be placed on strengthening Drinking Water and Sanitation Committees (CAPS) which will be responsible for the administration and maintenance of systems installed in rural areas, to ensure that they have available all the necessary technical and administrative tools for the social and economic sustainability of investments. (ii) Coordination with local organizations (NGOs, cooperatives, etc.) which already have a presence in both regions and which are willing to participate in this initiative. Support will be given to increase their implementation capabilities, with the endorsement of different levels of government. The resources of the Regional “Seed” Fund for investing in drinking water and sanitation systems will be administered under the guidelines of the Strategy for the Drinking Water and Sanitation Sector 2005- 2015 (ESAPS) and municipal and regional investment plans. Construction, maintenance and rational use of water, sanitation and hygiene systems will be coordinated by regional governments in close collaboration with state institutions such as INAA, ENACAL, FISE, INIFOM, the Ministry of Health (MINSA) and the Ministry of Environment and Natural Resources (MARENA). On the basis of the demands for and capacity gaps identified and the jurisdictions assigned by law, local activities will be coordinated in such a way that they have an impact at national and regional levels in issues relating to the adaptation of the Law on National Waters, conditions on the Caribbean coast, the participation of the two regions in harmonization and alignment processes and a sector-wide approach (SWAP) including civil society, the revision of the Strategy for the Drinking Water and Sanitation Sector (ESAPS) and support for the regionalization of government institutions, among other relevant issues. A cross-cutting approach will be taken to cultural relevance in order to design, implement and promote culturally-sensitive methodologies. This will be done in collaboration with universities in the Atlantic region, particularly Bluefields Indian and Caribbean University (BICU) and the University of the Autonomous Regions of the Caribbean Coast of Nicaragua (URACCAN). A cross-cutting gender focus will also be implemented in order to ensure the participation and empowerment of women in the different programme activities. The risks relating to the implementation of the programme are: (i) poor implementation capacities at regional level: during the first year, local capacities and methods for strengthening them will be assessed, so that in years 2 and 3 the majority of investments can be implemented; (ii) weak administrative capabilities in the Regional “Seed” Fund for water and sanitation: the United Nations reserves the right to administer the seed fund directly if inadequate management is detected; (iii) municipal elections in 2008 and regional elections in 2009, entailing the possible change of personnel in administrative positions at municipal and regional level: to reduce risks, candidates from all political parties will be involved in the proposal design process.

The Programme indicators, by Outcome, are as follows: 1. The poorest population groups, indigenous peoples, ethnic communities and women in the RAAN and RAAS are empowered and demonstrate informed participation in decision-making and investment processes in the water and sanitation sector Indicator 1.1. In the eight municipalities, 80% of indigenous and Afro-descendant communities are organized into networks and have participated in the representative processes of identification of needs and the assignment of water and sanitation resources Indicator 1.2. In the eight municipalities, 80% of settlements include water, sanitation and hygiene issues in their communal plans Indicator 1.3. In the eight municipalities, community leaders have participated in the monitoring of municipal investment in water and sanitation - at least 40% of these will be women Indicator 1.4. An information and awareness-raising campaign on water, sanitation and hygiene, designed and carried out in eight municipalities and two regions over the course of three years, with participation from indigenous and non-indigenous community leaders Indicator 1.5. Eight municipalities have their own working Community Multimedia Center Monitoring of these indicators will be done at communal and municipal level through evaluation, opinion surveys and population perception as a means of verification. 2. Equitative, efficient and culturally-appropriate management of water and sanitation at regional, municipal and communal level benefits the poorest and most disadvantaged population groups Indicator 2.1. Citizen participation bodies at regional level and in the eight municipalities assess the water and sanitation sector, put forward suggestions and participate in improvement activities (with the participation of women) Indicator 2.2. Regional Development Plans (for the RAAN and RAAS) and Municipal Development Plans (in the eight municipalities) include a component on water, sanitation and hygiene, developed through participation (with the participation of women) and coordinated with each other Indicator 2.3. Two regional strategic plans on water and sanitation designed and agreed with civil society Indicator 2.4. In the eight priority municipalities, Municipal Investment Programmes include the water and sanitation sector Indicator 2.5. Municipal budgets finance projects and activities in water and sanitation for the most underprivileged population groups Indicator 2.6. At least 32 projects presented to the FISE by the eight municipalities over three years Indicator 2.7. 20 technicians from the eight municipalities and two regions trained in the management of the FISE Project Cycle Indicator 2.8. 40 technicians from the eight municipalities and two regions studying for a Diploma in water and sanitation at the Engineering University (UNI) Indicator 2.9. 20 micro and small enterprises and 4 NGOs accredited by the FISE and INATEC Indicator 2.10. 60 enterprising builders being paid to work on water and sanitation infrastructure Indicator 2.11. Regional Funds for Water and Sanitation up and running Indicator 2.12. Eight municipalities have a working Water and Sanitation Information System (SINAS) Indicator 2.13. 70% of Drinking Water and Sanitation Committees (CAPS) in the eight municipalities up and running, with at least 40% women, and implementing Community Action Plans Indicator 2.14 The two regions have a project cycle, processes and educational resources (included in a methodological compendium) and socially and culturally-appropriate construction technologies Indicator 2.15 A Water and Sanitation donor roundtable for the RAAN and RAAS provides coordination and alignment Monitoring of these indicators will be done at regional and municipal level. Verification methods will include municipal and regional bylaws, management reports from the Regional Funds and specific evaluations. 3. Access to and quality of water and sanitation services improved for the poorest and most disadvantaged population groups Indicator 3.1. 30,000 people in the eight municipalities have access to quality water and sanitation services Indicator 3.4. At least 60,000 people in Bilwi, Bonanza and Bluefields benefit indirectly from improvements in the management of solid waste Monitoring of these indicators will be done at communal and municipal level through two instruments: (i) SINAS reports; (ii) reports on surveys of service user satisfaction. 4. A more appropriate regulatory, legal and institutional framework, within the context of national policies on decentralization and regionalization, facilitates the right to efficient and equitative access to water and sanitation services in the RAAN and RAAS Indicator 4.1. Institutional roles in the water and sanitation sector at local, regional and national level analyzed and defined Indicator 4.2. Regional bodies formed and developing their jurisdiction within the framework of the new Law on National Waters Indicator 4.3. A national Sector-Wide Approach process receives annual feedback from Municipal and Regional Governments, indigenous and Afro-descendant populations and women’s organizations Monitoring of these indicators will be done at municipal, regional and national level through national and regional plans. Verification methods will be the revised documentation of the Sector Strategy of Water and Sanitation and minutes of meetings of the Water and Sanitation Sector Committee. Each of the agencies involved in the Programme has made methodological and financial resources available to establish baselines at municipal level and undertake monitoring processes, as well as evaluation processes for specific programme components, such as the results and effects of the socio-cultural adaptation of the project cycle and training and educational materials, and a final joint programme evaluation.

The Programme is based on the experiences and comparative advantages of each agency in their field of expertise, and a pre-existing presence in the areas concerned. The activities to be carried out and the agency in charge of each one are outlined in the results matrix. Implementation will begin at regional level with work plans agreed with the main partners and between the participating agencies (regional governments and municipal and communal authorities). The agencies have extensive experience in collaborative programming in gender, emergency response, education, agriculture, water and sanitation and health, among others. They have been actively involved in the preparation of sector approaches in the areas of health, education and water and sanitation and resolutely support the coordination of external cooperation. Within the new UNDAF 2008 - 2012, joint programmes will be expanded. Nicaragua is one of the countries where coordination between UN agencies is most advanced in practice, and the Programme is based on this premise. Monitoring and evaluation of the Programme will be carried out through the Support Unit of the Resident Coordinator, where the Programme Coordinator will be based. The Programme will have a Steering Committee which will be responsible for overall decisions about the programme and, where necessary, for resolving any problems or conflicts between the participating institutions. The Committee will be made up of the heads of the participating agencies, the AECI representative in Nicaragua and the main national partners (SETEC, MINREX, and Atlantic Coast CDC). It will be presided over by the Resident Coordinator and will meet every six months. The Technical Committee will be in charge of the planning and coordination of activities, in accordance with the decisions taken by the Steering Committee. It will meet monthly and be made up of the technical personnel of each participating body (programme officials from the participating UN agencies may participate as appropriate). It will be headed by the Programme Coordinator. Each agency will assume responsibility for the activities identified in Sections III and IV, ensuring interagency coordination of activities as necessary. Aside from communication activities, the Programme includes additional funding to ensure that the population is adequately informed and that their views on the implementation of the Programme are taken into account in decision making, thus strengthening smooth communication between institutions and communities. Each agency will also take part in communicating information about MDGs. The agencies involved in the Joint Programme are already carrying out activities in the Atlantic coastal region in various fields: UNICEF has been working on strengthening institutions, municipalities and indigenous organizations in the RAAN and RAAS for three years, and has nearly 30 years’ experience in Nicaragua in providing water, sanitation and hygiene education systems in rural communities, as well as political incidence in the sector. It has also recently begun a coordination process of rural water and sanitation services in the RAAN. PAHO/WHO has provided technical assistance in the drinking water and sanitation sector, including water quality control and advocacy work on access to water, and has provided support in restoring water and sanitation systems after natural disasters. UNDP works in the RAAN and RAAS in governance, water and environmental sanitation, and renewable energy. The ILO has been working for more than 30 years to strengthening the capabilities of municipalities, communities and micro and small enterprises in providing infrastructure and public services, as well as creating capacities and institutional methodologies for replication, through its Employment Intensive Investment Programme. UNESCO, although a regional body, is working on systems to improve information technology in culturally-diverse areas. UNCDF provides resources for investment in building human and institutional capacities at local and national level to prepare and support Local Development and Investment in Micro Finance. UNODC supports governments in the region by supplying technical assistance and accompaniment in implementing public policies, strengthening structures and applying the law. UNV assigns volunteer professionals who contribute to local communities and authorities in humanitarian assistance and the promotion of human rights. VI. Budget The programme budget is presented by agency and type of expense. The total budget for the programme is US$ 9,575,644. From this amount, U$4,050,000 will be destined to direct investments in water and sanitation coverage, through the Regional Funds managed by the regional governments, in order to increase quality and coverage of these services, as a concrete contribution to the strengthening of economic governance in the Atlantic Coast. This approach is aligned with the national Government’s message regarding the need to respond to the specific demands of the population, especially the poorest and most excluded. The remaining amount will be destined to activities that strengthen the capacities of institutional and social actors participating in the proposal: UNICEF, PAHO, UNDP and UNCDF will make resources available for the mobilization of the population to events and trainings. The other agencies will coordinate trainings with the above-mentioned agencies to achieve a greater effectiveness of planned resources. It is worth mentioning that the constraints in terms of access to the regions, one of the most marginalized in terms of road infrastructure, dispersed human settlements in vast geographical areas, the high vulnerability to natural disasters and insufficient local capacities, significantly increase the cost of interventions in the RAAN and RAAS when compared to other regions in the country.
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C. MDG-Related Indicators

  • Goal 0: Millennium Declaration: an enabling environment (human rights, democracy and good governance)
  • Goal 1: Eradicate extreme poverty and hunger
  • Goal 4: Reduce child mortality
  • Goal 7: Ensure environmental sustainability
  • 13. Under-five mortality rate
  • 14. Infant mortality rate
  • 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
UNICEF - United Nations Children's Fund
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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.