Pilot Project to improve district water and sanitation management and sustainability - PROPILAS Experiences with strategic planning for rural drinking water and sanitation in district municipalities 35672 Pilot Project to improve district water and sanitation management and sustainability - PROPILAS Experiences with strategic planning for rural drinking water and sanitation in district municipalities February 2006 This is a publication that documents PROPILAS II, a Pilot Project to improve district water and sanitation management and sustainability, implemented by CARE We wish to thank the following institutions, without whose help this work would not have been possible: SDC: Swiss Agency for Development and Cooperation Beatrice Meyer, Resident Director Cesarina Quintana, National Officer Av. Salaverry 3242, San Isidro-Lima 27, Peru Phone: (511) 2645001 AGUASAN ­ SDC Johan Gely, Sectoral Advisor Av. Paseo de la República 3361, Piso 3, San Isidro, Lima 27, Perú Phone: 51 (1) 422 60 80 Fax: 51 (1) 441 56 20 Email: aguasan@tsi.com.pe CARE-PERU Marco Campos, Advisor on Rural Water and Sanitation PROPILAS Technical Team: Francisco Soto (Head of Project), Percy Suárez, Consuelo Álvarez, Zoila Cárdenas, Walter Cabrera, Juan Salazar, Roy León and Raúl Guerrero (Consultant) Av. Santa Cruz 659, Jesús Maria, Lima 11, Peru Phone: (511) 4317430 4334721 Email: fsoto@care.org.pe Regional Water and Sanitation Program ­ Latin America and the Caribbean Francois Brikke, Regional Director Iris Marmanillo, Coordinator for Peru Rafael Vera, Coordinator for Central America Oscar Castillo, Community and Institutional Development Specialist Beatriz Schippner, Regional Communications Specialist Luciana Mendoza, Communications Assistant Katri Kontio, Junior Professional Officer, Communications World Bank Office, Lima Av. Alvarez Calderón 185, piso 7, San Isidro, Lima 27, Peru Phone: (511) 6150685. Fax 6150689 Email: wspandean@worldbank.org http://www.wsp.org Photographs: PROPILAS and Martín Zevallos Design and layout: Ana María Origone Printed in Peru by LEDEL S.A.C. Contents 1. Background...................................................................................................................................7 2. Strategic planning for water and sanitation at the district level........................................................9 2.1 Preparatory stage..............................................................................................................10 (a) Designing the methodology.........................................................................................10 (b) Motivating municipal authorities; induction ..................................................................10 (c) District water and sanitation diagnoses........................................................................10 (d) Identifying and inviting stakeholders ............................................................................11 2.2 Design stage - Preparing strategic plans for water and sanitation ......................................11 (a) Presentation and analysis of district water and sanitation diagnoses............................11 (b) Definition of key issues in water and sanitation management.......................................13 (c) Local institutional framework for water and sanitation services.....................................14 (d) SWOT analysis of the municipalities' ability to provide services....................................15 (e) Strategic goals for water and sanitation.......................................................................16 (f) The Vision Statement ...................................................................................................17 (g) Preparation of the Annual Operating Plan....................................................................17 (h) Preparation of the Water and Sanitation Investment Plan.............................................17 (i) Consolidation of the strategic planning document for water and sanitation ...................19 2.3 Creating support committees for local municipal management ..........................................19 3. Conclusions.................................................................................................................................21 3.1 Results..............................................................................................................................21 3.2 Lessons learned................................................................................................................21 Annex..............................................................................................................................................22 3 4 In 2002, Peru embarked on a process of decentralization and regionalization, which, if it was to be successful, was going to need the support and collaboration of all the public and private institutions, and international cooperation agencies. One of the greatest challenges has been to provide mechanisms, strategies and technical assistance to improve management capacities at the local level. This document describes the experience of the PROPILAS Project in the building of capacities in districts to optimize the management and sustainability of the rural water and sanitation services. The project was carried out in six district municipalities in the department of Cajamarca: San Juan and Llacanora (province of Cajamarca); Miguel Iglesias and Utco (province of Celendín); and Lajas and Tacabamba (province of Chota). The project helped these municipalities to draw up development and investment plans for supplying water and sanitation services to rural communities; or to improve their existing plans. 5 6 1. Background The Pilot Project to Improve District Water and Sanitation participatory budget, and proposing investment projects as well Management and Sustainability - PROPILAS seeks to validate as projects for local public services. new aid models for providing sustainable water and sanitation services in rural communities. The results, experiences, and The regulations of the Framework Law on Participatory lessons learned are shared with the country's water authority so Budgets define the Coordinated Development Plan as the that they may be included in the national policies and the project instrument that is to govern local or regional development, may be replicated on a large scale. PROPILAS is being executed and the participatory budget process. This plan therefore by CARE PERU in the department of Cajamarca; it is financed contains the community's decisions regarding its development by the Swiss Agency for Development and Cooperation (SDC), vision and strategic goals, in keeping with sectoral and and has the technical assistance of the Water and Sanitation national plans. Program. In the early stages, starting in May 2002, the project's emphasis was on providing advice and technical assistance Although the legal framework stipulates that local participatory to local governments to help them assume the greater planning processes be conducted, in practice there are several responsibilities they will be called on to discharge as part factors that are slowing down progress in the promotion of of the country's fiscal and political decentralization process local development. The process becomes even more complex already under way. in some regions, such as Cajamarca, where mining has a direct impact on local development. Not only does it produce In July 2002, the Decentralization Bill was approved by Congress an environmental impact, but it also has an impact on local and became law. This law regulates the forming of the regions financial resources, since mining royalties will be made available and municipalities, defines the competences of the three levels to certain district and provincial municipalities. This increased of government, and determines the assets and resources of the revenue creates, in turn, an immediate need for the building regional and local governments. of capacities to ensure a well-planned and strategic use of these funds. In May 2003, the new Organic Law of Municipalities (Law 27972) was passed. This law maintains the two existing It is in this context that the PROPILAS project is being levels of local government in Peru: provincial municipality carried out, mainly to build the district municipalities' capacity and district municipality. To promote citizen participation in for directing the water and sanitation services in their rural public administration at the local level, the law provides for the communities. The Project seeks to help the local governments creation of a Local Coordination Council (CCL)1 at the district themselves to improve the quality of life in their areas by and provincial level, which has the tasks of building consensus ensuring the sustainability of the W&S services based on and coordinating for the Municipal Development Plan and medium-term planning. 1 Composed of the mayor, aldermen, and representatives of civil society: community-based organizations, peasant communities and native com- munities, associations, producers' organizations, business associations, neighborhood groups, etc., up to a proportion of 40% of the total number of members of the CCL. 7 8 2. Strategic planning for water and sanitation at the district level Typically, municipal activities in the small rural districts of the governments, it was decided to give support in designing the Andean highlands suffer from a poor institutionalization of the municipalities' strategic plans for water and sanitation. The processes, standards, and procedures designed to obtain Project's task was to train the six district municipalities in the greater efficiency and transparency in the management of use of planning and management tools. This process tookplace local development. in three phases: a) Preparatory stage; b) Design stage; and c) Stage of institutional arrangements. The traditional approach to municipal work continues to be employed: activities are undertaken to meet short-term goals, with a series of small public works projects, but there is no THE STRATEGIC PLANNING PROCESS integrating approach. The new legal frameworks that regulate FOR WATER AND SANITATION (W&S) citizen planning and participation seek to facilitate compliance with these goals; however, laws by themselves cannot change traditional procedures and habits. This is why it was necessary to promote a culture of participatory planning with a long-term horizon, and to stimulate the processes that would define a shared vision for the future and produce the commitment of the different stakeholders in local development to make joint decisions and coordinate their efforts. Some experience had already been gained in work of this type in Cajamarca2 and other regions of Peru. PROPILAS therefore continued in this direction with its proposal of technical assistance for six district municipalities to help them draw up strategic plans for water and sanitation: San Juan and Llacanora (province of Cajamarca); Miguel Iglesias and Utco (province of Celendín); and Lajas and Tacabamba (province of Chota). PROPILAS, as a pilot project, seeks to design and validate sustainable modes of intervention in basic rural water and sanitation. Accordingly, in coordination with the local 2 For example, CARE's experience in its Project for Strengthening Local Management (FOGEL); also the community development experience of the Primary Health Care Project (APRISABAC) from 1995-2000; and the local development plans drawn up by the Coordination Committees for the Fight against Poverty. 9 2.1 Preparatory Stage (c) District water and sanitation diagnoses In the absence of systematized or up-to-date information on At the beginning of the process, before drawing up the plan, the the situation of the water and sanitation services in the district Project carried out intensive induction and motivation work in municipalities, the Project made diagnoses of the water and the district municipalities with key authorities (mayor, aldermen, sanitation situation to be used as baseline data when drawing and officials). Certain basic inputs were required for drawing up up the plans3. the plan, so at this stage the following information was gathered: methodology proposal, district water and sanitation diagnoses, In the rural communities of the district (hamlets) the following and lists of identified stakeholders who would be invited to tools were applied: participate in each locality. a) Survey on the condition of drinking water infrastructure b) Family survey (a) Designing the methodology c) Survey on management of the services d) Survey of hamlets that do not have a drinking water Methodology guidelines were prepared for the process of system (optional). drawing up the strategic plan for water and sanitation. It was agreed with each of the district municipalities that they would In the urban areas (district capitals), the following were applied: lead the process based on a participatory and multi-sectoral a) Survey on the status of environmental sanitation planning approach. PROPILAS, for its part, presented the b) Survey of local institutions. sequence of steps to be taken to analyze the local population's The information obtained from the surveys was fed into the needs and demands in relation to water and sanitation, as well as data base. Software was designed ­ the "Sectoral Information current institutional and organizational capacities; and the modus System" or "SIS" ­ to process the data and prepare frequency operandi whereby the local stakeholders would put forward their distribution tables for all the survey variables. The SIS was also proposals for solutions. Three workshops were held to explain used to produce reports on the following aspects: the proposed methodology for completing the planning and the · State of conservation and working order of the water system institutional arrangements for follow-up and monitoring infrastructure. of the execution of the plan. · Management of the water and sanitation services. · Operation and maintenance of the W&S services. (b) Motivating municipal authorities; induction · Family behavior patterns (habits of hygiene). One basic condition for the success of the participatory planning · Level of sustainability4 of water systems currently existing process is that the municipal authorities, in particular the in the localities. mayors, clearly express their support of the strategic planning process for water and sanitation, and that they facilitate the preparation and implementation of the strategic plan. Work 3 PROPILAS hired the local consultancy services of the NGO Centro de meetings were therefore held with the municipal authorities, to Investigación, Documentación, Educación, Asesoría y Servicios ­ IDEAS, [Center for Research, Documentation, Education, Consultancy, and analyze and discuss the following points: i) Analysis of problems Services ­ IDEAS] to obtain the field information. in the district's water and sanitation services; ii) Identification of 4 Based on the theoretical framework of the "Study of the sustainability of 104 rural water systems" conducted by the Water and Sanitation Program stakeholders with some involvement in local water and sanitation in 1999, in which sustainability is linked with three variables: (1) The state issues, who would be invited to participate; iii) Timeframe and of the system (quantity, quality, coverage, continuity, and condition of the infrastructure); (2) Management (community and leadership); and commitments for carrying out the planning process. 3) Operation and maintenance. 10 (d) Identifying and inviting stakeholders The six municipalities issued invitations to the institutions and organizations in their respective localities to ensure their participation in the process. Most of the mayors delegated this task to their aldermen in charge of the municipal social service commissions. The institutions called on to participate were: · Health Sector ­ representatives of the local health facilities. · Education Sector ­ representatives of schools in the district capital and the communities. · Governors, Lieutenant Governors, district municipal agents, and the magistrate. · Community-based organizations, such as the local water boards (full name: Water and Sanitation Services Management Boards; acronym in Spanish: JASS), development committees, "Comités de Vaso de Leche"5, peasant patrols, and others. 2.2 Design Stage ­ preparing strategic plans for water and sanitation The strategic plans were drawn up using participatory methods with the input of the invited stakeholders in two planning workshops. Each workshop involved two days of work6. Members of the PROPILAS team acted as facilitators of the workshops. (a) Presentation and analysis of district water and sanitation diagnoses The first step in the participatory planning process was to present participants might become familiar with the present situation and discuss the baseline information to help the participants in each locality. The results were structured in four areas: i) identify and analyze the problems to be addressed by the plan. Condition of existing infrastructure; ii) Management of W&S With this criterion, the PROPILAS team presented the results services; iii) Operation and maintenance of the systems; and, of the district water and sanitation diagnoses, so that the iv) Family behavior patterns with regard to habits of hygiene. The results of the water and sanitation diagnoses of the six districts covered by the Project, with an estimated population 5 This Peruvian program, called the Vaso de Leche [Glass of Milk], provides milk and milk substitutes to low income families. of 16,600 families in 160 localities, were analyzed with the 6 The workshops were attended by an average of 50 participants. participation of the local stakeholders. Table 1 summarizes Organization costs and logistics were co-financed by the PROPILAS project and the district municipalities. the results for some of the variables. 11 Table 1: Summary of district diagnoses prior to project intervention Districts Miguel Utco San Juan Llacanora Lajas Tacabamba Indicators Iglesias Nº of communities / localities 20 8 23 13 33 63 Nº of families 1286 411 1252 2067 4509 7099 Coverage of drinking water system 41% 57% 68% 60% 48% 49% Sustainability of systems built in the 1990s - Sustainable - 1 - - - - - In process of deterioration 17 4 30 24 38 61 - In process of severe deterioration - - 19 1 8 2 - Collapsed - - 1 - - - Total systems per district 17 5 50 25 46 63 Operation and maintenance of services - Nº of systems that have an Operation and Maintenance Plan 8 2 6 20 12 28 - Nº of systems that chlorinate the water 9 4 37 16 2 8 Habits of hygiene % of the population who use latrines 66% 57% 71% 77% 75% 68% % of the population practicing open-air defecation 34% - 29% 23% 25% 28% % of the population who use toilets - - - - - 4% % of families who wash their 25% 19% 9% 83% 28% 16% hands on the three occasions7 % of families who drink tap water 41% 81% 88% 94% 62% 44% % of families who drink boiled water 21% 19% 9% 5% 34% 40% % of families who drink water from springs or wells 38% - 3% 1% 4% 16% Prevalence of ADD8 in under-five-year-olds 21% 10% 19% 14% 22% 26% Source: District water and sanitation diagnoses ­ PROPILAS 2004 7 Three occasions refers to handwashing before and after every meal and after visiting the toilet. 8 Acute diarrheal diseases 12 Once the results of the district water and sanitation diagnoses · The municipalities had little management capacity for had been presented, the participants at the planning workshops obtaining funds additional to those transferred to them analyzed the water and sanitation services in their respective from the central government for the provision of water and communities, and established cause-effect relationships for sanitation services. the main problems detected. · There was poor community participation in the management of water and sanitation services. One of the district mayors was surprised at the results. He had · The local water boards were poorly organized to deal with the been convinced that the water service coverage in his district administration, operation and maintenance of the services. was very good; according to the information he had at hand, more than 80% of his district had drinking water systems · Not enough families were practicing habits of hygiene. installed. This was true. However, it was also true, from the · Weak follow-up on water boards by the municipalities. results of the diagnosis, that only 41% of the families in the · Weak role of the health sector in surveillance of water quality. district had access to a safe water source. The timely discovery of this information led this mayor to change his mind about the (b) Definition of key issues in water and sanitation priority of a rural water and sanitation program in his area. management Based on their analysis of the results of the district diagnoses, The analysis of the issue showed that the following problems and the cause-effect relationships, the workshop participants were common to all six districts: identified four key issues that synthesize the problems in the · Rural municipalities had insufficient funds for supplying water districts. The graph on the following page gives a summary of and sanitation services. the planning workshop. 13 KEY ISSUES LINES OF ACTION Increase water and sanitation coverage Infrastructure · Build new Drinking Water Systems (DWS). · Rehabilitate deteriorated DWS. · Organize water boards. Administration, Operation, and Maintenance (AOM) · Conduct training programs for water boards in AOM. · Perform follow-up on water boards. · Reduce the prevalence of ADD in under-5-year-olds. Health and Hygiene · Give health-and-hygiene education to families so that Education they will adopt healthy behavior patterns. · Promote community planning and participation. Strengthening of Municipal · Execute water and sanitation projects. and Community Management · Implement organization to ensure the sustainability of the water and sanitation services. (c) Local institutional framework for water · Build the capacities of the water boards by having the boards and sanitation services legally constituted and implementing a training program in administration, operation, and maintenance (AOM). The participants analyzed the roles played by the different local stakeholders9, in order to identify responsibilities in the provision · Set up mechanisms for the monitoring and follow-up of the of W&S services. This analysis was linked with the three key water boards by the district municipalities, to help ensure the stages in integrated water and sanitation projects: planning, sustainability of the services. execution, and post-execution10. · Within the district governing body, create an area to be in charge of providing support to the management of the water The analysis of stakeholders' responsibilities in facilitating and sanitation services. provision of these services revealed a constant institutional · Promote community participation in the execution of the weakness, as well as insufficient resources on the part of the infrastructure and in the training processes in water and municipal officers to assume their role. Once these problems sanitation projects. had been discussed in each of the municipalities, certain lines of action were established for building the capacities of the · The district municipality, health sector, and education sector stakeholders: should work together to train the local families and school population in matters relating to water and sanitation. · Build the capacities of the district municipalities to enable · Promote the forming of water board associations and create them to identify mechanisms that will help improve fund opportunities for coordination and inter-institutional work management and the provision of services. among the different stakeholders. The work of developing the capacities of the stakeholders was 9 The local stakeholders are: district municipality; personnel from the MOH health facility; school teachers; water boards (JASS); community-based complemented with support in designing specific local policies organizations (peasant patrols, glass of milk committees, irrigation commit- or regulations; for example, municipal ordinances designed to tees, etc.); and development NGOs, among others. 10See Annex 1, Stakeholder role matrix for water and sanitation. improve the provision of the services in the district. 14 (d) SWOT analysis of the municipalities' ability to provide services One of the project goals was to develop the capacities of The response of the municipal authorities was mixed. the district municipalities so that they would be better able to The district municipalities of Miguel Iglesias, San Juan, support an effective and efficient management of their district Llacanora, and Utco were the most enthusiastic; the others, water and sanitation services. An in-depth analysis was therefore though less willing, persevered in the analysis process. The made using the SWOT method (strengths, weaknesses, following table summarizes the SWOT analysis. opportunities, threats). INTERNAL FRONT EXTERNAL FRONT STRENGTHS THREATS · Municipalities have technical areas. · Proximity of elections triggers political clientelism. · They are able to call on community based · Possibility that budget transfers may be cut. organizations to coordinate projects. · The trend in international cooperation is to cut aid funds to · Greater availability of funds (transfers from Ministry of Peru to send them to needier countries. Finance: FONCOMUN and mining royalties) means a · Climate change and natural phenomena could affect better chance to invest in water and sanitation. the W&S systems. · There is political willingness to coordinate and · Some communities' W&S services are deteriorating because cooperate on the subject of investment in water of weak management and lack of training. and sanitation. WEAKNESSES OPPORTUNITIES · Little capacity for planning and executing · Transfer of social programs. integrated water and sanitation projects. · Strategic alliances between municipalities and external · Insufficient follow-up or advice is given by the cooperation sources. municipalities to the local water boards. · Interest in investing in the water and sanitation sector · Weak practice in the implementation of and financial support from certain institutions for this purpose. participatory budgets. · Implementation of PRONASAR. · Lack of policies and regulatory and management · Demand on the part of the communities to participate in the tools for water and sanitation. execution of water and sanitation projects. · Turnover of personnel affects the accumulation and · Availability of sectoral information on water and sanitation. consolidation of knowledge and experience in the water and sanitation sector. 15 In each district a two-day workshop was conducted to prepare the Strategic Plan. The participants work was threefold: drafting the objectives and strategic goals for water and sanitation; composing the statement of their district's vision for the sector; and drawing up the Annual Operating Plan (AOP). At this stage, an outline was made of the institutional arrangements and commitments of the parties with a view to executing the plan. (e) Strategic goals for water and sanitation At each district planning workshop, strategic goals were set in order first to visualize ­ and subsequently to measure ­ the changes that the Strategic Plan for Water and Sanitation aimed to achieve in the long and middle term. The AOP was also agreed on. The following chart gives an overview of the planning workshops in the districts: OVERALL OBJECTIVES AND STRATEGIC GOALS · X number of strengthened water boards participate actively in the 1) Strengthen the institutions and community-based sustainable management of the district water and sanitation services organizations (CBOs) by building their capacity to under the leadership of the District Municipality. ensure sustainable management of their water and · CBOs in the district carry out citizen surveillance of the execution sanitation services. of the Strategic Plan for Water and Sanitation. · X % of the district's population have permanent access to drinking 2) Increase the coverage and quality of the district water and sanitation services of good quality by the fifth year water and sanitation services. of execution of the sector's Strategic Plan. 3) Build the capacities and skills of the users to enable · X % of water boards in the district satisfactorily perform the administration, them to participate in the administration, operation, operation, and maintenance of the water and sanitation systems by the and maintenance of the services (AOM). end of the fifth year of implementation of the Strategic Plan. · X % of families have adopted healthy habits of hygiene by the fifth 4) Promote healthy behavior patterns and good year of execution of the Strategic Plan. habits of hygiene in the population by means · Y % of the district's schools have included the subject of water and of educational processes. sanitation in their school curriculum. 16 (f) The Vision Statement (g) Preparation of the Annual Operating Plan The vision to be proposed had to describe the target situation, The Annual Operating Plan (AOP) for Water and Sanitation is that is, the situation the district was aiming to reach in the long one of the management tools for providing local government term by executing the strategies identified and defined in the services. The AOP includes the activities, goals, and those Plan. In drafting their Vision Statement, the participants faced responsible, i.e. the factors crucial to maintaining steady the challenge of projecting themselves from the recognition of progress towards meeting the strategic goals. To prepare their present strengths and weaknesses towards a desirable the AOP, participants worked with a matrix into which they and possible future situation. To give an example, the workshop incorporated the projects, actions, and activities set for each held to prepare the Strategic Plan for Water and Sanitation in strategic goal. the district of Utco came up with the following vision: (h) Preparation of the Water and Sanitation Investment Plan VISION of the District of Utco In drafting the proposal for their Investment Plan for 2006-2010, In 2009, the district of Utco will have institutions and the municipalities, with the help of PROPILAS, worked from the organizations that have been strengthened and which following inputs: participate in the sustainable management of the water and sanitation services; its population will have · District water and sanitation diagnoses (population, become environmentally aware; this will be reflected coverage, sustainability level). in a better quality of life in both rural and urban areas. · Projects and goals included in the plans. · Average per capita costs of the PROPILAS project for the rehabilitation of deteriorated systems and/or construction of new systems. It was also necessary to make some assumptions about the behavior of the municipal finances11 and the political willingness of the district authorities to increase the average level of their investment in water and sanitation and thus comply with the Millennium Development Goals over the next ten years; that is to say, reduce by 50% the current water and sanitation deficit in the six districts. The results of the investment projection are shown in Table 2. 11Municipal funds largely depend on transfers from the central government, which are mainly from the Municipal Compensation Fund and mining royalties. 17 Table 2 : Water and Sanitation Investment Plan (2006-2010) 1 2 3 4 5 6 7 8 9 District Total Amount allocated Total Present Coverage goal Total investment required for municipal to investments by population coverage of 2010 (reduce construction of new drinking budget 2005 district municipalities water service coverage water systems (DWS) in Nuevos deficit by 25%) Soles Population Total S/. S/. % Nº % % Nº % S/. San Juan 3,618,342 3,245,144 89.7 6,886 68 76.0 551 8.0 327,815 Llacanora 4,219,523 3,642,852 86.3 11,369 60 70.0 1,137 10.0 676,541 Miguel 1,798,805 942,409 52.4 7,073 41 55.8 1,043 14.8 620,822 Iglesias Utco 484,978 333,140 68.7 2,591 57 67.8 279 10.8 165,748 Tacabamba 3,747,836 2,581,330 68.9 38,924 49 61.8 4,963 12.8 2,953,244 Lajas 3,268,634 2,325,450 71.1 24,800 48 61.0 3,224 13.0 1,918,522 Per capita cost of new DWS: US $183.10 (*) ­ exchange rate 3.25 595.08 Nuevos Soles Per capita cost of rehabilitation: US $70.03 ­ exchange rate 3.25 227.60 Nuevos soles Notes (Numbers refer to column headings): 13: Total budget required by the district municipalities to improve 2: It is assumed that municipal revenues for 2005 will remain constant the coverage and sustainability of services (new DWS and throughout the coming five years (or will eventually increase). rehabilitation work). Source of municipal budget data for 2005: www.cnd.gob.pe 14: Amounts that the municipalities would allocate to water and sanitation 3: Amount allocated by municipalities for investments in the financial year projects (commitment: allocate no less than 10% of their investments 2005; the difference is used to cover current expenditure and others. to this item). Source of municipal budget data for 2005: www.cnd.gob.pe 15: Incorporating the demand approach and the policy of co-financing the 4: Total population in each district, according to the district water and investment; the beneficiary population contributes at least 20% of the sanitation diagnoses - PROPILAS 2004. total investment in water and sanitation. 5: Present coverage of water in each district according to district water 16: Only the municipalities of San Juan and Llacanora can afford to cover and sanitation diagnoses - PROPILAS 2004. the requirements of the investment plan (with the contribution of the 6: Coverage goal by 2010: reduce by 25% the present coverage deficit, municipalities and the community). The other four districts will have to by constructing new DWS in communities without coverage, and obtain additional funds from other sources; they will also have to raise rehabilitating the DWS in those places where the system is in serious their investments in water and sanitation above the 10% committed, danger of collapsing. since this percentage is insufficient in view of the size of the investment 7-9: Population, and total investment required for the construction of needed if the goals are to be reached by 2010. new DWS. Estimate based on district water and sanitation diagnoses - PROPILAS 2004, and per capita costs of the systems constructed by PROPILAS II. (*) The per capita cost includes the following components: infrastructure; 10-12: Population, and total investment required for the rehabilitation/ training in administration, operation, and maintenance; and health and expansion of DWS. Based on district water and sanitation diagnoses hygiene education. The amount is higher than in the PROPILAS I project - PROPILAS 2004, it is estimated that this rehabilitation work will be indis- (US$130.84 for new systems), because the communities that do not yet pensable in the course of the next five years to ensure that the population have W&S services are more distant and have a more widely-dispersed who currently have access to the service will not lose it. Per capita costs population, thus necessitating a higher budget. The per capita cost does are those of the systems rehabilitated by PROPILAS II. not include the project's operating costs. 18 10 11 12 13 14 15 16 Total investment required for the rehabilitation Total budget Municipal Co-financing: Deficit or Superavit of DWS which could collapse in the next five to improve the commitment to community for water and years, leaving the population without service coverage and invest in water and contribution, sanitation investment (Sustainability) sustainability sanitation no less 20 % of investment plan 2006-2010 services than 10% of the in water and Need for leverage 2006-2010 investment budget sanitation (new and over approx. 5 years Population Total rehabilitated) Nº % S/. S/. S/. S/. S/. 2,822 7.3 642,280 970,095 1,622,572 194,019 846,496 5,005 44.0 1,139,125 1,815,666 1,821,426 363,133 368,893 2,629 37.2 598,354 1,219,176 471,205 243,835 -504,136 583 22.5 132,689 298,437 166,570 59,687 -72,180 18,150 46.6 4,130,895 7,084,139 1,290,665 1,416,828 -4,376,646 11,869 47.9 2,701,355 4,619,877 1,162,725 923,975 -2,533,176 (i) Consolidation of the strategic planning district's management of the provision of water and sanitation document for water and sanitation services. These committees will play an important role in the Once the strategic planning workshops had been completed follow-up, monitoring, and assessment of the plan. in each of the districts, PROPILAS helped to consolidate all the products of the work sessions in a final document entitled: The creation of the committees expresses willingness to work "Strategic Plan for District Water and Sanitation." together on the part of the diverse public and private institutions and organizations involved in the district water and sanitation 2.3. Creating support committees for sector. Official approval of these strategic plans by the municipal local municipal management councils requires a municipal resolution to be issued which, at the time of writing this report, is in process. The official At the next stage, the results of the strategic planning and approval of the sectoral plan in the council session will give the operating plan contained in the final document were presented. necessary back-up for its implementation, and will be a sign The implementation strategies were analyzed again, and of the municipalities' commitment to exercising leadership in decisions were adopted to define the inter-institutional support the provision of water and sanitation services in their districts, framework. It was decided to create committees to support the especially in the rural communities. 19 20 3. Conclusions The experience and results of the strategic planning for water the plans are in process and awaiting formal approval by the and sanitation have made it apparent that with minimal technical municipal council. assistance, local governments are able to coordinate and build consensus with local stakeholders and establish commitments to c) The strategic planning process created a scenario of ensure the access of rural communities to sustainable services. participation, consensus-building and coordination among the different local actors, reinforcing the citizen participation In this reference, proposals should be designed for building approach, and identifying the mechanisms that will lead the capacities of local district governments. This capacity- to an effective management of water and sanitation building can be offered in the context of the consolidation of the by the district municipalities. decentralization policy now under way in the country. A weak local government is hardly the best representative of the State d) Committees to support district water and sanitation to fight poverty and meet the Millennium Development Goals. management have been formed in six municipalities; these Rather, institutional soundness and properly qualified personnel committees will play an important role in the monitoring and are a good indicator of the State's strength and its ability to assessment of the execution of the plan. discharge its role as regulator and promoter. 3.2 Lessons learned Citizen participation in the process of drawing up the participatory budget at the district level should be strongly a) Sectoral strategic planning is enriched when a participatory encouraged, and the local sectoral strategic plans will serve approach is adopted, since the different points of view and as input for the budgeting process. The fact that the municipal interests coexisting in the district are included in the analysis governments have taken the decision to allocate funds to and discussion. This participatory planning process is a good their W&S Plans is a good indicator that they now realize how opportunity for consensus-building, creating alliances, and important it is to ensure the sustainability of the services in their taking on commitments to optimize the resources available in district in order to achieve MDGs for water and sanitation. order to meet water and sanitation goals. 3.1 Results b) The district water and sanitation diagnoses provide indispensable information at the starting point of the a) The representatives of public and private organizations strategic planning process. Making the results of these and of the district's civil society are familiar with, and are diagnoses available ensures that participants will have trained to replicate, a methodology for the development of participatory planning processes for water and sanitation; objective empirical evidence which helps not only to and the proposal may also be applied in other fields focus the discussion, but also to set priorities and reach of local public management. decisions using sound criteria. b) The district municipalities (six) now have strategic plans and c) A local information system is a useful tool for management annual operating plans to govern their investment in water of the provision of district water and sanitation services. and sanitation projects, product of the joint work of local The municipal authorities and the community may take part stakeholders. However, in three12 of these six municipalities in the on-going updating of sectoral information, providing that they identify or recognize a value and an immediate 12Municipalities of Miguel Iglesias, San Juan, and Llacanora. utility in this activity. 21 Annex 22 MATRIX OF STAKEHOLDERS AND ROLES IN THE DISTRICT PLANNING OF WATER AND SANITATION STAKEHOLDERS STAGES Municipality Community Ministry of Education Ministry of Health PLANNING 1. Diagnosis - Identifies the situation of - Provides the - Provides the information - Provides information the water and sanitation information requested requested by the on classification of services. by the municipality. municipality. health risks. 2. Planning - Coordinates with local, - Participates in local - Participates in local - Participates in local regional, and national consensus-building and consensus-building and consensus-building stakeholders. coordination events and coordination events. and coordination - Promotes community in participatory budgeting. - Includes in its school events. participation. - Identifies its water and curricula the subject of - Plans activities - Plans the investment in sanitation needs. good habits of hygiene. for water quality water and sanitation. - Becomes organized through surveillance and - Draws up technical the water boards. health promotion. dossiers. - Demands the service and - Promotes the forming manages resources. and training of local water boards and associations of water boards (JASS and AJASS). - Manages fund-raising. EXECUTION Execution of - Commissions/executes - Performs follow-up and - Teaches health and - Performs surveillance projects and supervises water verification of the execution. hygiene in schools. of habits of hygiene and sanitation programs. - Has organized participation in the population. - Promotes training of water in the execution of the - Builds the capacities boards. infrastructure and education of health promoters processes. and provides - Administrates, operates, feedback. and maintains the water and sanitation services through the local water board. Financing - Finances the execution - Organized participation of water and sanitation (contributes voluntary labor) projects. POST EXECUTION Follow-up - Updates information on - Performs surveillance of - Forms the school - Monitors the and monitoring the status of the water and water quality and of proper health team to set up a prevalence of ADD. sanitation services. use of water. surveillance system. - Performs surveillance - Performs surveillance of - Performs surveillance of habits of hygiene in management by the water of good habits of hygiene the population. boards. in local families. Technical - Trains the members - Participates in the training - Educates the school - Helps train the water assistance of water boards and process and technical population on the boards in AOM of the community families. assistance. adoption of good habits services. of hygiene. Management - Executes and promotes - Administrates, operates, - Promotes healthy - Performs surveillance of water and development plan and maintains the service. and hygienic behavior of water quality. sanitation of the water and - Pays its quotas punctually. patterns in schools services sanitation sector. - Coordinates with local stakeholders. 23 24 PROPILAS PUBLICATIONS September 2000 July 2002 August 2001 November 2002 May 2002 May 2004 Water and Sanitation Program Latin America and the Caribbean Word Bank Office, Lima Alvarez Calderón 185 San Isidro, Lima 27, Peru Phone: (511) 615-0685 Fax: (511) 615-0689 E-mail: wspandean@worldbank.org Web: http://www.wsp.org