JAPAN SOCIAL DEVELOPMENT FUND (JSDF) Grant Funding Proposal (FY12 – Round 34) A. BASIC DATA Beneficiary Country: Mozambique Grant Name: Maputo Peri-Urban Sanitation Grant Recipient: Water and Sanitation for the Urban Poor (WSUP) Name of Implementing Water and Sanitation for the Urban Poor (WSUP) Agency or Agencies with Joint Implementation: Implementing Agency NGO Type: Main Sector: WA Sanitation Main Theme: 71 Access to urban services and housing Recipient Grant Amount: US$ 1,775,950.00 Bank Incremental Costs Grant Amount: US$ 88,797.50 Total Grant Amount US$ 1,864,747.50 (Recipient and Bank Incremental Costs): B. PROJECT SUMMARY The Development Objective of the project is to improve the sanitation conditions and practices of about 140,000 people in 11 unplanned peri-urban neighborhoods of Maputo, and pilot and develop effective approaches for replication, by the end of the two year project, thus contributing to the wider goal of improved health, reduced poverty and progress towards the MDGs, particularly MDGs 7 and 4. Context: 62% of the population in urban areas of Mozambique (5.1 million people) currently lack access to even basic improved sanitation facilities, and, with about two thirds of Mozambique’s population growth between now and 2050 estimated to be in urban areas, access to improved sanitation facilities in such areas is set to continue to be a critical challenge. The lack of access to improved sanitation is acute in the informal settlements and peri-urban areas of Mozambique's capital, Maputo, resulting in frequent cholera outbreaks, widespread diarrheal disease and high child mortality. The issue of urban poverty is receiving increasing attention from Government, and the improvement of urban sanitation is an explicit goal in the country’s most recent poverty reduction strategy, as well as being the subject of a current inter-ministerial initiative. The Maputo Municipal Council (CMM) has also very recently included sanitation improvement, after many years of neglect, in an on-going program of decentralization to improve basic services in peri-urban areas. Main Project Activities are: (1) Construction of shared sanitation facilities and promotion of the construction or improvement of household sanitation facilities, raising coverage to 90%; (2) Supporting desludging service providers to provide hygienic, professional and commercially viable services, ensuring that new and existing pit latrines are emptied and fecal waste is disposed of safely; and (3) Community level sanitation and hygiene promotion and monitoring, which has been shown in a recent small-scale experiment in Maputo to be an effective means of mobilizing community members to change their behavior and sustain sanitation improvements, and will also exert pressure on the authorities to provide the necessary complementary inputs. GRANT SUPPLEMENTARY INFORMATION 1. PROJECT INFORMATION 1.1 Strategic Context Sanitation, water and public health sector context 62% of the population in urban areas of Mozambique (5.1 million people) currently lack access to even basic improved sanitation facilities, 1 and, with about two thirds of Mozambique’s population growth between now and 2050 estimated to be in urban areas, 2 access to improved sanitation facilities in such areas is set to continue to be a critical challenge. The lack of access to improved sanitation is acute in the informal settlements and peri-urban areas of Mozambique's capital, Maputo, resulting in frequent cholera outbreaks, widespread diarrheal disease and high child mortality. The issue of urban poverty is receiving increasing attention from Government, and the improvement of urban sanitation is an explicit goal in the country’s most recent poverty reduction strategy, 3 as well as being the subject of a current inter- ministerial initiative. The Maputo Municipal Council (CMM) has also very recently included sanitation improvement, after many years of neglect, in an on-going program of decentralization to improve basic services in peri-urban areas. Specific issues and barriers Although, for the first time in many years, the issue of urban sanitation is receiving at least some attention from the authorities, attempts to date to improve the situation have been frustrated by the need to involve and effectively coordinate many different institutions and actors, and the lack of proven approaches to tackling the problems on the ground. This is compounded by the national policy on water and sanitation, which assigns responsibility for urban sanitation to individual households, on the mistaken assumption that (self-built) latrines can resolve the problem. This fails to take into account, on the one hand, that owners of the numerous slum tenements have failed to take responsibility for constructing and managing acceptable sanitation facilities, and on the other, that hygienic latrine emptying services by vacuum tankers are inaccessible to most residents due to both price and technical constraints (limited road access). These issues are discussed in more detail below. 1. Lack of improved sanitation facilities A baseline study in the target areas revealed that there are at least 50 tenements housing more than 6 households each, using completely inadequate, unhygienic toilet and washing facilities, and several hundred housing less than 6 households, all of which have equally unhygienic toilet and washing facilities. There is also a lack of facilities sensitive to the specific needs of women, children and people with mobility impediments – as exemplified by the common lack of provisions for menstrual hygiene. Given the absence and impracticality of providing sewerage in the target areas, there is an urgent need for improved on-site sanitation facilities. 2. Pit emptying practicalities and affordability The baseline study revealed that there is an almost total lack of hygienic toilet desludging services in the target areas, where it is generally difficult for vacuum tankers to gain access. Vacuum tankers are in any case unaffordable to low income residents. The gap in provision is filled by individuals and very small-scale, informal service providers that are currently emptying pit latrines manually via unhygienic means, and failing to dispose of the waste safely. Moreover, these service providers are perceived to be doing undignified, demeaning work, and are marginalized socially, whilst at the same time being called upon to provide this essential service. As the price of these services is still relatively high for the low income residents of the target areas, pit latrines may be abandoned when full and left to overflow during rains. Meanwhile, space is usually not available for new latrines, and even some households who were previously served, 1 WHO and UNICEF JMP http://www.wssinfo.org/data-estimates/table/, accessed August 2011 2 Based on projections by the National Statistics Institute (INE) 3 Republic of Mozambique (3 May, 2011) Poverty Reduction Action Plan (PARP) 2011-2014. The general objective relating to human and social development includes promoting hygiene, expanding access to and use of sanitation services in urban/peri-urban zones, pursuing sustainability in sanitation infrastructure, promoting construction of improved latrines and family latrines, upgrading informal human settlements and installing sanitation infrastructure and services. albeit poorly, are slipping back into the use of shared facilities or open defecation. 3. Hygiene and sanitation behavior In the target areas the practicing of appropriate hygiene behavior is limited as is understanding of the need for and desirability of improved sanitation vis-à-vis other needs/costs. The continuation of these factors would undermine improvements in health that would otherwise result from improved sanitation infrastructure. 4. Financing A key issue is the challenge of financing the construction, operation and maintenance of on-site sanitation facilities. In the target areas many landlords are financially unable/reluctant to provide improved facilities in large tenements, and many owner-occupying residents lack the funds required to improve their own sanitation facilities. Sole financing by the residents, landlords, municipal authority or private providers is unfeasible and problematic, but effective approaches to “blended financing” are still to be developed. Certain poor or vulnerable households (e.g. female-headed households, families affected by AIDS) may also lack sufficient resources to effect sanitation improvements. 5. Operations, maintenance and monitoring Another key issue is the challenge of establishing sustainable operation and maintenance arrangements and regular monitoring, without which improved sanitation facilities can become unhygienic. Recent small-scale experiments in Maputo have shown that household and grass-roots level monitoring of sanitation can create a collective will to improve the situation, similar to “ignition” in rural Community-Led Total Sanitation (CLTS), so it is clear that establishing such monitoring systems should be an integral part of any intervention. They would also allow CMM, for the first time, to track progress and plan for peri-urban sanitation, which it has hitherto not been able to do. 6. Service provider capacity Local providers of sanitation services in Maputo – which include CMM and the masons, builders and pit emptiers that support the construction and operation of on-site sanitation services – have limited capacity and resources to effectively address the lack of access to improved sanitation services in low income areas, perpetuating the situation. Pit emptying service providers in peri-urban areas are generally working at individual or very small scale and have limited capacity in areas such as hygiene, adhering to standards, business planning, rate setting and coordinating with the municipal authorities, as well as limited resources and equipment with which to provide a hygienic service. Rationale for JSDF grant funding Sanitation for poor peri-urban residents unable to access the sewerage network (which only covers about 10% of the city) can only be met effectively in the medium term through small-scale builders and desludging service providers, with hygiene promotion being undertaken by local CBOs or CMM extension workers, and monitoring and follow-up by the grass-roots CMM structures. Whilst the World Bank (through the Second Maputo Municipal Development Project) and other partners are assisting CMM with overall institutional development and some major infrastructure investments, these projects are not engaging directly with district and community-level partners, which is the only feasible means of achieving sustainable improved sanitation in the medium term. It should be noted that government does not in any case favor taking loans for low-cost sanitation and hygiene promotion, as the health benefits, though major, are indirect, and on-site sanitation does not generate additional revenues as water or sewerage networks would. The use of grant funding will also enable more experimentation, quicker impact, and the development of sustainable tools and skills at the community level that will be used in future interventions which can be rolled out across the city. Working through such an approach, the project will extend the benefits of the large investments in infrastructure and urban services being made by the World Bank and others, to the poorest and most vulnerable households. When the opportunity for this project arose, funding was sought in the first instance through the Maputo Municipal Development Project. However, that project is geared towards larger public infrastructure (as is the case with much IDA funding) and did not envisage the kind of direct community engagement that this work requires. The innovatory aspects of the project also implied a need to use grant funding. Discussion with colleagues indicated that the best fit would be with the JSDF, and indeed it is fully aligned with the JSDF focus, as it: (i) focuses on improving living conditions for the poor and vulnerable; (ii) introduces an innovative approach to peri-urban sanitation, in collaboration with an NGO and the local government, with great potential for replication in other cities within and beyond Mozambique; (iii) is based on extensive community consultations in public meetings, focus groups and face-to-face; (iv) has at its core community- based monitoring and the linkage of this to the local governance system, with the aim of ensuring accountability and sustainability; and (v) is designed as the pilot phase of a city-wide strategy being developed by the Municpal Council, which will immediately be scaled up if successful. The project is in line with the World Bank’s Strategy for Africa, contributing to both pillars and the foundation – creation of employment in local communities through the supply of sanitation goods and services, combating vulnerability by improving disease prevention, and improving governance and public sector capacity by strengthening and extending the service delivery and monitoring/feedback chain to community level. It is also directly contributing to WSP’s global Business Plan and national Results Framework for Mozambique, which include, at the global level, targeting the urban poor, and at country level, the development and replication of viable approaches to peri-urban sanitation, and support to the establishment of sector monitoring systems in peri-urban areas. WSP will use the Mozambique monitoring tool to track and report on results achieved under the JSDF grant funding. 1.2 Main The target beneficiaries are men, women, girls and boys in low income households in 11 peri-urban Beneficiaries bairros of Maputo, particularly the poorest and most vulnerable households. The project targets the entire population of these low income bairros, i.e. c.79,000 women/girls and c.76,000 men/boys, and expects to benefit approximately 90% of the population, i.e. c.71,000 women/girls and c.69,000 men/boys. The characteristics of the target beneficiaries include: • Low incomes, poverty and limited resources for improving sanitation facilities for themselves or tenants (over 50% of the population of the 11 bairros live below the official poverty line); • Limited awareness of hygiene and sanitation practices conducive to good health; • Frequent sanitation-related health problems such as diarrhea; and • Habitation in unplanned informal settlements and frequently in rented accommodation, particularly large tenements (comboios). The challenges faced by the target beneficiaries (as revealed by a baseline survey) were articulated above and can be summarized as: • Lack of access to hygienic sanitation facilities; • Lack of affordable, hygienic desludging services; and • Resultant health problems and perpetuation of poverty. 1.3 Project The 11 low income, unplanned peri-urban bairros of Nlhamankulo District, Maputo, Mozambique, that Location are targeted by the project are Chamanculo A, Chamanculo B, Chamanculo C, Chamanculo D, Malanga, Aeroporto A, Aeroporto B, Unidade 7, Munhuana, Minkadjuine and Xipamanine. Nlhamankulo is one of 7 districts that make up the municipality of Maputo 1.4 Project Duration: Two (2) years Project Start : 4/30/2012 Project End 4/30/2014 Date: 1.5 Task Team Leader Peter Hawkins (UPI#66259) 1.6 GRANT DEVELOPMENT OBJECTIVE The specific objective of the project is to improve the sanitation conditions and practices of c.71,000 women/girls and c.69,000 men/boys in 11 unplanned peri-urban neighborhoods of Maputo, and pilot and develop effective approaches for replication, by the end of the two year project, thus contributing to the goal of improved health, reduced poverty and progress towards the MDGs, particularly MDGs 7 and 4, in peri-urban areas of Maputo. This will be achieved through three complementary project components, as detailed in section 4.1: 1. Sanitation infrastructure – construction of shared user facilities and promotion of the construction or improvement of household facilities, increasing access to and usage of improved facilities to 90% of the population in the target bairros. 2. Development of desludging services – supporting desludging service providers to provide professional, hygienic services, ensuring that new and existing pit latrines are emptied and fecal waste is disposed of safely. 3. Community level sanitation and hygiene promotion and monitoring – the monitoring activity in itself has proven (at least on a small scale) to be a powerful promotional tool, and will increase the impact of promotional programs, so that households change their behaviors and sustain sanitation improvements. The monitoring system will provide continued downward pressure on community members to maintain adequate sanitation standards, and upward pressure on the authorities to provide the necessary complementary inputs. 1.7 DEVELOPMENT OUTCOME INDICATORS QUANTIFIED TARGET 1.7(a) % households using improved sanitation facilities Rises from 70% to 90% 1.7(b) % large tenements (comboios) with adequate sanitation facilities and operation Rises from 0% to 75% and maintenance expenses covered by users 1.7(c) No. of locally-based operators providing adequate emptying services Rises from 0 to 11 1.7(d) % of households using adequate emptying services Rises from 5% to 50% 2. GRANT RECIPIENT AND IMPLEMENTING AGENCY 2.1 Recipient Name: Water and Sanitation for the Urban Poor (WSUP). WSUP is an international not-for-profit company that is registered as a company limited by guarantee in England and Wales (company number 5419428). It is an operational partnership between CARE, WaterAid, WWF, Cranfield University, Borealis and Borouge, Halcrow, Unilever and Thames Water, and has its own legal identity. WSUP is in the process of establishing an independent legal entity in Mozambique, which will be operational by the end of April 2012. 2.2 Recipient Background: Mission WSUP's mission is to improve the lives of the urban poor in developing countries by strengthening the capacity of local service providers and others to provide sustainable water and sanitation services, promote good hygiene and raise the health and environmental standards of the community. WSUP is a multi-sector partnership comprising members drawn from academia, the private sector and civil society. Expertise is harnessed from these sectors and made available to local service providers in a practical way driven by expressed needs. Experience in Mozambique Over the past four years WSUP has been implementing water and sanitation improvements in Maputo, with funding from USAID, the Bill and Melinda Gates Foundation and AusAID. This demonstrates WSUP’s capacity to deliver with the proposed level of funding, which is very similar to the approximately $800,000 it has spent in each of the last two years. In Maputo, WSUP has to date: • Provided 97,500 low income men, women and children with access to safe, affordable drinking water; • Provided 11,000 low income men, women and children with access to an improved sanitation facility; and • Raised the awareness of 76,500 low income men, women and children of appropriate hygiene behavior. WSUP’s experience in Maputo includes: • Supporting and facilitating local enterprises to develop sustainable fecal sludge management services, piloting a model that can be replicated. • Developing localized communal toilets that serve 15 to 30 households with Community Management Committees who take complete responsibility. The robust and cost effective design for these communal sanitation blocks has been developed through WSUP’s experience gained over the past 2 years. WSUP has partnered with the Municipality, bairros and communities in the development of communal sanitation services (which include water supply connection to the AdeM network) which include realignment of household boundaries to provide access. • Piloting an urban CLTS approach with WSP to increase awareness, facilitate improved hygiene and sanitation behavior and promote household investment in improved household latrines. • WSUP has undertaken a Citywide Sanitation Study which provides an overall strategy for sanitation development including in the peri urban neighborhoods with a mix of solutions and technologies etc. This provides a basis for a planned and structured sanitation development program including budgeting and funding. The proposed project will build on this progress and experience, utilizing the expertise and relationships developed. Additional sector experience Across its portfolio of nine programs in eight countries to date WSUP has: • Provided 450,000 low income men, women and children with access to safe drinking water; • Provided 66,500 low income men, women and children with access to an improved sanitation facility; and • Raised the awareness of 690,000 low income men, women and children of appropriate hygiene behavior. Examples of major cross-country programs implemented by WSUP include: • An $11.9 million four-year multi-country program funded by the Bill and Melinda Gates Foundation being implemented in Madagascar, Mozambique, Kenya and Bangladesh since December 2007, with the objective of testing WSUP’s model of improving services to urban poor men, women and children by strengthening local service providers and the institutional linkages with communities and small independent providers. To date the program has delivered water, sanitation and hygiene promotion to over 200,000 people across the four countries and delivered demand driven capacity building programs in areas such as non revenue water reduction, billing and revenue, communications and governance which are now having demonstrable impact on service delivery to low income urban men, women and children. • A $4.3 million three-year multi-country program – African Cities for the Future – funded by USAID, being implemented in six cities across Africa since 2009, with the objectives of increasing equitable access to water supply and sanitation for African urban poor men, women and children by: fostering a conducive enabling environment; building the capacity of local service providers and communities; demonstrating sustainable modes of service delivery improvement, documenting lessons learned; and, developing scale up plans for city-wide implementation. The program is on track to meet its targets, having to date provided 40,000 people with access to safe drinking water and 13,000 with access to improved sanitation, raised the awareness of 30,000 people of appropriate hygiene behavior, and established strong partnerships between local service providers, government and communities. • A £3.9 million multi-country program funded by the UK Department for International Development (DFID) implemented between 2005 and 2010 in Mozambique, Madagascar, Zambia, Kenya, Ghana, India and Bangladesh, with the objectives of scoping and developing water and sanitation programs. The program reached over 300,000 people with improved water services and 55,000 with improved sanitation services and exposed over 250,000 people to hygiene promotion messages. • An AUD$3.5 million 1.5-year multi-country program funded by AusAID being implemented in Bangladesh, Zambia and Kenya since mid 2010 with the objective of strengthening service provider capacity, improving access to water and sanitation, improving hygiene behavior and improving dialogue between stakeholders. The program is on track to meet its objectives, with, for example, community action plans and committees having been established and leading the process of designing and implementing the construction of community water and sanitation facilities in communities. Capacity and qualifications to implement a JSDF grant WSUP has the capacity to implement a JSDF grant; it has a local team in place to manage the project and grant locally (Director, Financial Manager, 3 Engineers and 5 Community Development Workers),and which receives regular support and guidance on project implementation from a highly experienced international Project Director. Support with finance, monitoring, evaluation and communications are provided by WSUP’s Global Secretariat in London. WSUP also has the ability to draw on local and international expertise from its member organizations in academia, civil society and the private sector, to provide specific inputs into project delivery as needed. WSUP has developed strong local partnerships with local Mozambican NGOs, Estamos and OPTAR, that have extensive experience of working in the peri-urban areas of Maputo and on water and sanitation projects. Strong, existing partnerships with local service providers, such as the municipality (CMM), AdeM and fecal/solid waste management services, are also in place. In terms of the technical capacity to implement the project, WSUP’s office in Maputo has 12 technical staff in post, which would enable implementation of the project. WSUP also employs local contractors, CBOs, NGOs and local and international specialists to support project delivery with specific inputs. In terms of its absorptive capacity to manage larger sums of funding and implement projects and programs, WSUP has delivered a substantial program in Maputo to date utilising major grants in the period 2005-2011, including initial grant investment from the UK Department for International Development (DFID) and subsequent additional grants from the Gates Foundation ($3.5m), USAID ($1m) and AusAID ($700,000 AUD). Regarding financial management capacity, WSUP in Mozambique has a professional Finance Officer who manages all project funds at local level, in support of the (international) Program Manager and the (national) Project Coordinator. 2.3 Implementing Agent Details Agency Name: Water and Sanitation for the Urban Poor Address Avenida Martires de Mueda 596 CP4657, Maputo, Mozambique Contact Person in Proposed Carla Barros Costa, Project Director Implementing Agency Phone: +258-823-192-430 Email: carla@care.org.mz 2.4 Implementing Agency Background See above 2.5 Other institutions/NGOs that will be involved in implementation All the work will be directly managed by WSUP, in close consultation with the Maputo Municipal Council and the target communities. The Maputo Municipal Council is the local government authority in charge of Maputo, and must therefore be consulted on all aspects of basic services provision, and has already isssued a letter giving its support to the project. MMC is a conventional municipal government, composed of an elected mayor and an executive body comprising technical departments. It is overseen by an elected assembly of local councillors. The MMC (and its lower administrative level subsidiaries) is WSUP’s primary partner in Maputo, and for this proposal. A signed MoU between WSUP and MMC exists, which confirms the partnership and sets out areas for collaboration. In accordance with WSUP’s standard procedures, the specific roles and responsibilities relating to this particular project will be set out in a Professional Services Agreement, which will form an addendum to the present MoU, once funding for the project is confirmed. The components of MMC relevant to the project are as follows: Municipal level: • The Mayor – whom WSUP will involve and liaise with as necessary; • The Infrastructure Directorate – with which WSUP carries out its work planning; • The Deputy Director for Water and Sanitation – to whom WSUP submits all activities and designs for approval; • The Deputy Director for Construction and Urbanization – to whom WSUP submits all designs for approval; • The Director for Urban Planning – with whom WSUP resolves land use issues to enable the construction of public infrastructure; • The Director for Health – with whom WSUP liaises on solid waste issues. Local (district, neigborhood and block) levels: • The District Councilor – with whom WSUP discusses all activities and plans at the district level; • The Secretario de Bairro (bairro administrations) – with whom WSUP discusses all activities at bairro level; • Chefes do Quarteirão (Block Leaders) – whom WSUP involves in all community activities to be undertaken at block level. 3. INNOVATION AND SUSTAINABILITY 3.1 Innovation The project will combine a number of innovative approaches, in a deliberate attempt to implement the multi-partner approaches that have often been recommended for urban sanitation but never effectively implemented. At the core of this concept is the use of the municipal governance structures – district, bairro, block 4 – as the main axis for driving improvements in sanitation. Small pilot studies have already given some indication that this will be more effective than the sector-based approach previously adopted, as it is these governance structures that are specifically designed to reach out to each individual household, to provide basic local-level services and to monitor living conditions. The 4 District population – about 150,000; Bairro (lowest level for paid staff) – about 20,000; Block (elected volunteer) – about 300 municipal sanitation department will still be involved, but in a supporting role, providing technical expertise, extension workers and services beyond the neighborhood level, such as fecal sludge transfer to treatment. This approach puts the process firmly in the hands of the communities, since it is based on a dialogue that continuously reaches out to them and aims to respond to their expressed needs. Although limited pilot work has been undertaken at neighborhood level, the approach is truly innovative, in that this is the first time that the municipal governance structures, rather than individual projects, will take the lead in this type of activity. It is expected that by linking the work to the political process within the municipality, greater accountability will be obtained, and there will be pressure for results. It will also greatly improve prospects for sustainability, as it will be for the first time a municipally-owned process for managing peri-urban sanitation. A second level of innovation is to recognize sanitation as a service rather than as infrastructure, and to bring in locally- based individuals or micro-enterprises as formal partners, for building and desludging toilets. This is particularly true for pit emptying services, which have been provided by formal providers (large vacuum tankers) to only a small fraction of the population, whilst the majority depends on informal sector manual emptiers. The model is for these workers to associate with pre-existing community-based micro-enterprises, especially those which already undertake neighborhood level solid waste management under municipal contracts. Users will gain by having a well identified source for desludging services, whilst the workers will benefit from a steadier income, and both will gain from the possibility of credit facilities for customers provided by the micro-enterprise. A related innovation to be piloted is of a payment mechanism whereby desludging service providers will provide an improved latrine as part of the service, and users will pay a fixed monthly fee to defray the capital cost as well as to cover one annual desludging – similar to mobile phone contracts that provide a handset and a specified amount of airtime under a contract. The project will also bring into more widespread use newly developed manual desludging tools such as the “gulper” (initially developed by the London School of Hygiene and Tropical Medicine and further developed and piloted by WSUP) and possibly other innovative tools which are being developed in various countries for use in low-income unplanned settlements with poor road access. The project includes an element of technical development and evaluation of the tools used, which will contribute to global knowledge on what is proving to be one of the most difficult challenges to providing sanitation in unplanned settlements. Rags and other menstrual waste constitute a major challenge for pit emptying technology, so a specific series of activities will be undertaken to discuss the issue with women and adolescent girls, formulate effective methods of managing this waste, and educate women, adolescent girls and pit emptiers on how to implement them. Finally, the proposed approach that combines community level sanitation and hygiene promotion and monitoring, aims to further develop the innovative adaptation of CLTS to the urban context, so as to harness the natural human revulsion for fecal matter as a driver for improved hygiene and sanitation behavior and household investment in improved latrines. The approach differs from conventional rural CLTS in that the objective is not to become open defecation free, which already largely applies in the dense urban areas, but to motivate individual households to raise their sanitation to an acceptable minimum standard. It is also more closely and explicitly linked to monitoring, which has often been absent or minimal in rural CLTS. Immediate benefits for low income men, women, girls and boys in the 11 target bairros: • Access to improved sanitation facilities that are hygienically maintained and that meet target beneficiaries’ expressed needs and wishes (including the expressed needs and wishes of target beneficiaries with disabilities, older people, people living with AIDS, women and children) • Access to affordable, hygienic pit emptying and sludge removal services, negating the need to dump fecal sludge in the local environment • Improved hygiene and sanitation practices, leading to reduced incidence of sanitation related diseases such as diarrhea and cholera • Increased community empowerment to participate in meeting sanitation and public health needs • Employment opportunities in meeting the increased demand for construction and desludging services 3.2 Sustainability Sustainability is central to the project’s methodology and underpinned by a number of aspects of the approach. The key services of toilet construction and desludging will be provided through the private sector, without subsidies, so as to create sustainable businesses. Relevant assistance and coaching will be provided to the micro-enterprises involved with the explicit aim of ensuring their financial viability. As mentioned above, innovative customer payment mechanisms, such as a monthly fee for which the micro-enterprise provides a latrine and an annual emptying, will be piloted. Sustainability of the municipal arrangements for monitoring and sanitation/hygiene promotion will be achieved in part by establishing them as clearly defined functions for which each district and bairro authority will be accountable. Suitable platform(s) will also be identified and used for publication of neighborhood “dirtiness” indices derived from monitoring data, which have proven effective in other countries for maintaining political interest in sanitation. Sustained community behavior change depends on good quality promotional work, and on-going backup by local leaders. The active participation of local leaders will be maintained as outlined in the previous paragraph, whilst WSUP has proven experience in undertaking high quality promotion at community level. All facilities and equipment will be specified with due regard to the (depressed) economic environment where they must work. In principle, they should be affordable enough to allow for replication of the initiative without external support. Communal sanitation blocks for tenements will be planned and managed by user groups, with the support and under the supervision of the bairro-level authorities. Facilities will not be built where credible management arrangements have not been established in advance. Each block will have a management committee elected by the tenants which will oversee the whole process from planning to operation. A commitment to the payment of user fees will be a precondition for construction. Experience so far indicates that it should be possible to cover operational costs (principally desludging) in this way. The sustainability is further strengthened by the formal agreement between the management committee and bairro administration and a formal agreement between the management committee and the beneficiaries. Both agreements are counter signed by the Bairro Secretary and the elected local Councilor Environmental sustainability will be addressed by ensuring that the whole sanitation service chain is covered, including the emptying of fecal sludge from latrines and the safe transfer and disposal of sludge. Sludge transfer stations will be constructed as needed for interim storage prior to disposal at the CMM wastewater treatment plant. On the broader scale, it is clearly important that, if successful, the new approaches developed under the JSDF grant should be replicable in the other 6 districts of Maputo and other cities in Mozambique (and possibly beyond). The project aims to achieve this by ensuring that all activities are firmly embedded in the municipal structures or micro- enterprises, with JSDF funds being directed towards capacity-building. Investments in improved on-site facilities are modest, and can be replicated using municipal funds if the project can demonstrate the viability of subsequent community-managed O&M, and maintain sanitation on the political agenda by creating a success story. 4. CONSULTATION WITH JAPANESE DEVELOPMENT PARTNERS 4.1 Name of Keiji Hamada, Sugata Sumida (Embassy of Japan) Date of Meeting 9/16/2011 Representative 4.2 Summary of Consultation: The Japanese partners called attention to the need to ensure adequate sludge disposal (this is available at Infulene wastewater treatment works, and will be used), sustainability (this is addressed in the business-based model for sludge management and the absolute requirment for users to organize themselves prior to the building of any sanitation facilities) and social cohesion issues (also addressed as per the previous point). 4.3 Potential Collaboration: JICA pointed out that they are involved in solid waste planning for Maputo. This does have a certain linkage with sludge management, especially as the existing solid waste micro-enterprises will be encouraged to move into sludge management. As the work will be very strongly anchored in the MMC structures, it is anticipated that any necessary coordination will be easily achieved . 4.4 Name of Miyazaki Akihiro, Ryosuke Nakase (JICA) Date of Meeting 11/3/2011 Representative 4.5 Summary of Consultation: The Japanese partners informed that they are fully in agreement with the content of the proposal, and that they will be satisfied on Japanese visibility if the JSDF guidelines are followed. The Japanese identity should be strongly promoted at community level, and the use of flyers with prominent Japanese identification was also suggested. The project team was requested to review costs and make reductions where possible. 4.6 Potential Collaboration The Japanese Embassy will inform the project team of a Matola-based Japanese NGO working in the social sector, and it was agreed that they could be a useful partner in this work. The project team will follow this up. 5. JAPANESE VISIBILITY 5.1 Confirm that a grant signing ceremony will take place in the recipient country, including Agreed representatives from the Embassy of Japan, and that a press release would be issued in local newspapers 5.2 Confirm that the Embassy of Japan in the recipient country will be invited to participate in field Agreed visits and project events, and will receive copies of progress review mission reports 5.3 Describe the measures, other than the above, to be taken to ensure the visibility of Japan’s contribution : Distribution of flyers on the project; use of a banner at public meetings and workshops. 6. DETAILED DESCRIPTION OF GRANT COMPONENTS 6.1 Component 1 $616.500 Sanitation infrastructure Expected result of component 1: c.71,000 women/girls and c.69,000 men/boys have access to and are using improved on-site sanitation facilities by the end of the two-year project Activities: • Hold further participatory consultations on the nature and siting of improved communal and shared sanitation facilities • Support local Activists to build the capacity of communities to participate in the construction and design processes • Undertake participatory design process for improved communal and shared sanitation facilities • Construct improved communal sanitation facilities • Establish locally-based operation and maintenance systems with sustainable financing (links to Component 3) • Explore “blended financing” options for communal sanitation facilities, involving the municipality, community and private sector • Facilitate access of owner-occupiers to competent builders and fabricators of components for latrines (see also Component 3 below) Risks: • Some tenements may lack sufficient social cohesion to effectively manage the facilities. This will be mitigated by pre- implementation mobilization work with the tenants, and, if it is found to be impossible to establish credible management arrangements, no facility will be built • Owner-occupiers fail to respond to promotion and social pressure to improve their sanitation facilities. This will be mitigated by continuous monitoring and support to local leaders. In very specific instances where it is clear a household totally lacks the necessary resources, the project will assist in locating sources of support Outputs: • Approximately 250 improved shared sanitation facilities • Approximately 50 large tenements with improved communal sanitation facilities • Approximately 3,500 owner-occupiers upgrade their toilets • Locally-based operations and maintenance arrangements and financing established • Initial recommendations on “blended financing” models (for financing of communal sanitation) developed 6.2 Component 2 306,525 Development of desludging services Expected result of component 2: Viable formal, professional, hygienic and affordable desludging services are available to c.79,000 women/girls and c.76,000 men/boys by the end of the two-year project Activities: Develop an entirely new and innovative technical, financial and organizational model for the provision of hygienic desludging services to replace the very unhygienic informal sector services which are all that is currently available: • Support individual informal pit emptiers to become employees or partners in micro-enterprises (in principle 11 – one per bairro, though in a few cases one micro-enterprise may cover two bairros), offering hygienic desludging services by: - Linking them with existing micro-enterprises collecting solid waste under contracts with the municipality or other community based enterprises, which already have knowledge of the bairros and have an established micro-enterprise structure; or - Supporting individual informal pit emptiers to come together to form more formal desludging micro-enterprises • Equip desludging services with appropriate equipment (manual 5 and simple mechanical desludging tools, protective clothing) 5 “Gulpers” – see 3.1 above • Establish a fund for operators to obtain credit for purchasing and fitting out simple transfer trucks (1-2 ton capacity with standard plastic tanks) for moving sludge between latrines and transfer stations. This will be managed at district level by CMM, with proceeds from repayment being used to lend to individual householders for latrine upgrading. In some cases, grants may be given to households identified as vulnerable and unable to make necessary improvements. • Further develop the gulper sludge extraction device • Develop replicable funding systems to capitalize desludging businesses • Train micro-enterprise staff (pit emptiers) in areas including hygienic desludging techniques, using new tools, business planning, and rate setting • Construct sludge transfer stations as needed (following assessment of where these could be located and shared between bairros – up to 11 stations) • Discuss with women and girls the issue of menstrual waste management, develop methods of managing this waste, and educate women, girls and pit emptiers on how to implement them • Establish regulatory oversight and control mechanisms at local and CMM level, with linkages to the sector regulator, CRA to ensure standards are put into practice by desludging service providers • Develop reliable systems for servicing the transfer stations, as far as possible on a cost recovery basis • Investigate the potential for decentralized treatment and disposal of sludge, including possible co-composting with organic solid waste Risks: • Land is not made available for transfer stations. This will be mitigated by close collaboration with the Municipal authorities at all levels. Two sites have already been made available after some delay, with the support of the Mayor, so future requests are expected to be easier • Micro-enterprises unwilling to take up fecal sludge management. This will be mitigated by working with the association of micro-enterprises undertaking solid waste management, which has expressed its active interest in this new line of business, and can be hoped to be able to convince individual members if necessary • Viable desludging businesses established and accessible to all residents of the target area (required capacity estimated around 2 tonnes per bairro per day, equivalent to 50 liters per person per year) Outputs: • 11 desludging micro-enterprises suitably equipped and trained • Financing system for desludging micro-enterprises developed • 11 transfer stations and sustainable servicing system established • Regulatory oversight mechanism established and recognized by CRA • Options for decentralized sludge treatment identified, evaluated and piloted where appropriate 6.3 Component 3 $555,125 Community level sanitation and hygiene promotion and monitoring Expected result of component 3: Sanitation status of all c.31,000 households monitored at least twice yearly, with consolidated data available at district level, and effective promotion and follow-up of good hygienic practices in place, anchored locally in the Block Leader system by the end of the two-year project. Activities: • Build capacity of the Sanitation Section of CMM’s Water and Sanitation Department (SS-CMM) to provide training and backup services to the districts and bairros, to undertake sanitation planning, and to ensure effective operation of the sludge transfer stations • With SS-CMM, train Block Leaders to undertake regular monitoring and promotion of good sanitation and hygiene in their areas of c.70-80 households each, and provide on-site support as needed • Investigate and, where feasible, introduce a mobile phone-based system to facilitate the collection of monitoring data, and also feedback from the community on, for example, the quality of desludging services • Support the selection and training of bairro-level water and sanitation overseers (responsáveis de água e saneamento) to deal with user complaints and support the monitoring process • Build capacity at bairro level to maintain a current database of water and sanitation monitoring data • Build capacity in the SS-CMM (activists) and local CBOs to provide support to community-level sanitation and hygiene promotion activities • Plan and implement community-level sanitation and hygiene promotion campaigns in collaboration with district, bairro and block level personnel, and SS-CMM • Establish bairro-level oversight and support systems for user-managed communal facilities • Prepare and use promotional materials, including where appropriate printed material, video, audio, community theatre, music and dance, and use of local media • Develop and implement a “dirtiness index” based on monitoring data, and publicize it periodically to generate a competitive desire to improve sanitation and hygiene conditions in each bairro, possibly making use of ICT-based mapping technologies Risks: • Block leaders unwilling to carry out continued monitoring. This will be mitigated by the insertion of sanitation into the official tasks assigned to the lowest levels of the municipal administration, coupled with a continuous effort to promote sanitation amongst Municipal leaders and the Mayor • Data is not effectively managed. This will be mitigated by continuous simplification and streamlining of the data collection instruments, hands-on coaching and support at bairro and district level, and the identification and introduction of appropriate ICT solutions to assist in the task Outputs: • c.71,000 women/girls and c.69,000 men/boys have increased awareness of appropriate sanitation and hygiene practices and maintain their toilets in a clean and sanitary condition • c.55 local Activists in trained participatory methodologies, PHAST, CLTS, hygiene promotion strategy and information collection • c.825 Block Leaders trained in sanitation and hygiene promotion and monitoring • 11 water and sanitation overseers trained and in place to support sanitation and hygiene promotion and monitoring and deal with user complaints • 55 SS-CMM and CBO activists trained in sanitation and hygiene promotion • SS-CMM professional staff trained and equipped to provide effective management of peri-urban sanitation • Promotional materials, programs and events • Sustainable community-based participatory monitoring systems established and suitable for replication Dirtiness index regularly publicized 6.4 Project Management, Monitoring and Evaluation, and Knowledge Dissemination $297,800 A. Monitoring, Evaluation and Knowledge Dissemination Progress monitoring will drive effective and context-responsive project management and enable regular quantitative and qualitative reporting to donors. A key monitoring tool will be WSUP's Quarterly Reporting System, through which in- country teams report on progress in terms of (a) a predefined WSUP-wide set of 20 progress checks, (b) a structured narrative report, and (c) the indicators and milestones specific to this particular project. The latter will involve regularly revisiting key tools such as the project log frame. In addition, participatory approaches, particularly focus group approaches, will be used to keep track of the attitudes and responses of key stakeholder groups. WSUP’s Secretariat based M&E Manager will provide practical support to local staff to enable them to use WSUP’s M&E toolkit and guide, which includes a catalogue of suggested objectively verifiable indicators and means of verification. As it is a project objective to establish a community-based monitoring system, current quantitative data will be available as a project output, and will be used to track the effectiveness of the interventions to improve sanitation and hygiene. All data will be collected on a gender-disaggregated basis to ensure that the needs of women and girls are being adequately addressed. Project impacts will be monitored, on the one hand by the quantitative data on the nature and hygienic status of sanitation facilities that will be collected from each and every household in the intervention area every six months, in the context of the community-based monitoring system to be established under the project, and on the other by (separate) focus group discussions with men, women, vulnerable groups, desludging service providers and community leaders in each bairro at the beginning, middle and end of the project. In order to capture the lessons from the project, systematic in-depth information will be collected in sample household surveys, focus groups and semi-structured interviews, at the beginning and end of the project, and within and outside the project area. These will cover sanitation installations and services, and knowledge, attitudes and practices with relation to sanitation and especially hygiene, and how these have developed relatively in intervention and non- intervention areas. Direct observation approaches will also be used in order to assess behaviour change. Beneficiary satisfaction and pro-poor targeting will also be assessed. All these data and the quantitative and focus group data will be analyzed by an external consultant in an independent evaluation of the project's outcomes and methodology at the end of the project that will aim to assess its relevance, effectiveness, efficiency, impact, sustainability and key learnings. Impact indicators and terms of reference for the evaluation will be drawn up via a participatory process in consultation with representatives of the key stakeholders. Capacity development will be assessed using a participatory methodology derived from the 'outcome mapping approach', in which stakeholders (e.g. desludging service providers) will be involved in defining their own capacity development aims from the outset, and in continuous monitoring of progress. It will also be included in the final evaluation. All monitoring and evaluation data will be collected on a gender-disaggregated basis to ensure that the needs of both sexes are being adequately addressed. Monitoring and evaluation will also assess the extent to which vulnerable groups’ needs are being met, prompting corrective action where necessary. Careful attention will also be paid to monitoring and evaluating the environmental impacts of the project. Lessons learned from the project will be discussed at a series of workshops held periodically throughout the project, and distilled, documented and disseminated locally and internationally via WSUP's publication series (see http://www.wsup.com/sharing/index.htm), WSP publications (available at www.wsp.org), key sector events and meetings with interested agencies. B. Project Management and Administration WSUP, working in collaboration with and under the guidance of WSP, will be responsible for the overall management of the project, monitoring and evaluation, and donor reporting. WSUP will lead the implementation of the activities through WSUP's local team under the guidance of an international Project Director and local Project Coordinator. Local CBOs and NGOs will support the delivery of activities under Component 3 (on community level sanitation and hygiene promotion and monitoring). Implementation of the project will utilize paid local labor to the maximum possible extent, as well as supporting the development of community-based desludging micro-enterprises. Two annual audits will be undertaken. Project administration wil be undertaken by WSP staff under existing budgetary allocations. Outputs: • 8 quarterly monitoring reports comprising of (a) a report on progress against a predefined WSUP-wide set of 20 progress checks, (b) a structured narrative report, and (c) progress against the indicators and milestones specific to this particular project. • 1 baseline and 1 end of project evaluation report. • Topic Briefs or Practice Notes for sector practitioners on key lessons learned from the project, in Portuguese, and disseminated to key stakeholders. • 2 annual audit reports 7. ELIGIBLE EXPENDITURES List all applicable eligible expenditures below in one or more categories as necessary. Eligible expenditures include consultant services (including audits), local training and workshops, small civil works, goods, sub-grants, and Bank incremental costs. Category Amount (US Dollars) Percentage of Percentage of Expenditures to Grant Total be Financed Disb-Consulting $343,850.00 100 19.4 Disb-Training $563,900.00 100 31.8 Disb-Goods $88,000.00 100 5.00 Disb-Civil Works $473,000.00 100 26.6 Disb-Operating Cost $175,200.00 100 9.9 Disb-Other $132,000.00 100 7.4 Total Grant to Recipient $1,775,950.00 Bank Incremental Costs $88,798.00 Total Grant Amount: $1,864,748.00 OPERATIONAL RISKS ASSESSMENT FRAMEWORK Risk Category Risk Rating Risk Description Proposed Mitigation Project Medium-I Poorest residents do not gain access Systematic consultation with poor and Beneficiaries and to the improved facilities and services vulnerable groups so that their needs are Stakeholders Risks developed by the project properly articulated will be included as a necessary step in detailed planning Implementing Medium-I WSUP unable to deliver the planned Rigorous application of WSUP’s quarterly Agency Risks work program. This is considered monitoring framework so that corrective highly unlikely given WSUP’s track action, if required, can be taken at an record in Maputo early stage Project Risks: Design Medium-I Development of desludging In the event of delays, WSP (the technology is slower or less effective responsible unit inside the World Bank) is than envisaged. The process has in a position to call on additional already started under the existing expertise as and when required WSUP project, so there will be a head start Social and Low Fecal sludge transfer stations cause Operation of the transfer stations will be Environmental local pollution and social resistance. closely monitored so that any problems The technology for this is reliable, so can be identified and resolved before it is a matter of operation and they create a negative impact management JSDF Program Low The initiative is already fully As an integral part of the project, the and Donor coordinated with the World Bank District and neighborhood authorities will program of support to the Maputo be assisted to coordinate all sanitation Municipal Council and the WSP- activities in the area, so that any possibly Mozambique work program, to which antagonistic activities will be identified it will contribute directly. Any and a solution can be negotiated possible risk would arise from small NGO initiatives providing heavy subsidies to a few households Delivery Low Social mobilization and engineering WSP will undertake regular monitoring of Quality work falls below expected standard. WSUP and can mobilize resources to This is considered highly unlikely resolve any problems which WSUP is given WSUP’s track record in Maputo unable to rectify JSDF -- DETAILED COST TABLE COUNTRY: Mozambique GRANT NAME: Maputo Peri-urban Sanitation DATE: 22 October 2011 Components & Activities Expenditure Procurem Quan Unit Unit Total Cost /a (US$) Category ent tity Label Cost 1/ Method (US$) COMPONENT 1: Sanitation Infrastructure ACTIVITY A: User Facilities SERVICES CONS Sanitation specialist (national) Fees IC 3 months 5,500 $ 16,500 Senior engineer (national) Fees IC 18 months 4,000 $ 72,000 Junior engineer (national) Fees IC 36 months 2,000 $ 72,000 TRAINING TRG San block mg't c'tees (50 blocks x 6 pers x 2 days) Subsistence 600 pers.day 25 $ 15,000 Senior engineer (national) Fees IC 50 days 160 $ 8,000 Junior engineer (national) Fees IC 100 days 80 $ 8,000 WORKS WORKS Sanitation blocks for large tenements LCB 50 no. 6,000 $ 300,000 Shared latrines LCB 250 no. 500 $ 125,000 Subtotal Activity 1.A: $ 616,500 TOTAL COMPONENT 1 $ 616,500 COMPONENT 2: Development of Desludging Services ACTIVITY A: Development of Desludging Services SERVICES CONS International consultant (Maputo-based) Fees IC 75 days 450 $ 33,750 Sanitation specialist (national) Fees IC 2 months 5,500 $ 11,000 Senior engineer (national) Fees IC 4 months 4,000 $ 16,000 Junior engineer (national) Fees IC 8 months 2,000 $ 16,000 TRAINING TRG Micro-enterprise staff (11 MEs x 5 pers x 5 days) Subsistence 275 pers.day 25 $ 6,875 Neighborhood san committees (11 x 6 pers x 6 Subsistence 396 pers.day 25 days) $ 9,900 GOODS GOODS Manual/mechanical desludging tools Shopping 11 sets 3,000 $ 33,000 Fund for small credit for operators to purchase Other 11 Trucks 12,000 the sludge vehicles $ 132,000 WORKS WORKS Sludge transfer stations LCB 8 no. 6,000 $ 48,000 Subtotal Activity 2.A: $ 306,525 TOTAL COMPONENT 2 $ 306,525 COMPONENT 3: Community Level Sanitation and Hygiene Promotion and Monitoring ACTIVITY A: Preparation and Training TRAINING TRG 55 local activists x 5days Subsistence 275 pers.day 25 $ 6,875 Approx. 825 block leaders x days Subsistence 3,300 pers.day 25 $ 82,500 30 Municipal staff x 5 days Subsistence 150 pers.day 25 $ 3,750 Sanitation specialist (national) Fees IC 2 months 5,500 $ 11,000 Hygiene promotion specialist (national) Fees IC 50 days 350 $ 17,500 Monitoring specialist (national) Fees IC 50 days 250 $ 12,500 Subtotal Activity 3.A: $ 134,125 ACTIVITY B: Hygiene Promotion and Monitoring TRAINING TRG Com dev specialists (national) 4 for 24 months Fees IC 96 months 2,300 $ 220,800 Activists/CBOs, 55 for 24 months Fees IC 1,320 months 110 $ 145,200 GOODS GOODS Promotional materials, public events 11 bairros 5,000 $ 55,000 Subtotal Activity 3.B $ 421,000 TOTAL COMPONENT 3 $ 555,125 COMPONENT 4: Monitoring and Evaluation and Project Management A: NGO OVERHEAD COSTS Administration Costs Project manager (international) 50% funded 12 months 4,800 $ 57,600 Project coordinator (national) 50% funded 12 months 2,400 $ 28,800 Financial manager (national) 50% funded 12 months 2,400 $ 28,800 Office rental 24 months 1,000 $ 24,000 Consumables and utilities 24 months 500 $ 12,000 Transport 24 months 1,000 $ 24,000 Subtotal Activity 4.A $ 175,200 B: BASELINE AND FINAL SURVEYS SERVICES CONS Survey specialist (international) Fees IC 55 days 600 $ 33,000 Sampling specialist (international) Fees IC 10 days 500 $ 5,000 Survey specialist (national) Fees IC 60 days 300 $ 18,000 Survey staff (10 - national) Fees IC 400 days 50 $ 20,000 TRAINING TRG 10 Survey staff x 4 days Subsistence 40 pers.day 25 $ 1,000 Subtotal Activity 4.B $ 77,000 C: FINAL IMPACT EVALUATION SERVICES CONS Evaluation specialist (international) Fees IC 20 days 600 $ 12,000 Evaluation specialist (national) Fees IC 20 days 300 $ 6,000 Subtotal Activity 4.C $ 18,000 D. DISSEMINATION WORKSHOP Workshop TRG 150 pers.day 100 $ 15,000 Subtotal Activity 4.D $ 15,000 E. AUDIT SERVICES CONS Annual Services LCS 2 Annual 6300 audit $ 12,600 Subtotal Activity 4.E $ 12,600 SUBTOTAL M&E (4.B to 4.E) $ 122,600 TOTAL COMPONENT 4 $ 297,800 TOTAL PROJECT COST (RECIPIENT GRANT) $ 1,775,950 TOTAL BANK SUPERVISION GRANT $ 88,798 PROPOSED TOTAL JAPAN GRANT $ 1,864,748