Sector: Sub-national government administration (40%), Primary education (20%), Health (20%), Public administration- Other social services (2 0%)

Transcription

1 Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Copy Public Disclosure Copy Date ISDS Prepared/Updated: 21-Sep-2012 I. BASIC INFORMATION 1. Basic Project Data INTEGRATED SAFEGUARDS DATA SHEET APPRAISAL STAGE Report No.: ISDSA252 Country: Brazil Project ID: P Project Name: Rio de Janeiro Strengthening Public Sector Management Technical Assistance Project (P127245) Task Team Rafael Chelles Barroso Leader: Estimated Appraisal Date: 15-Oct-2012 Estimated Board Date: 28-Feb-2013 Managing Unit: LCSPE Lending Instrument: Technical Assistance Loan Sector: Sub-national government administration (40%), Primary education (20%), Health (20%), Public administration- Other social services (2 0%) Theme: Managing for development results (20%), Public expenditure, financial management and procurement (20%), Education for all (20%), Hea lth system performance (20%), Climate change (20%) Financing (In USD Million) Financing Source Amount Borrower International Bank for Reconstruction and Development Total Environmental C - Not Required Category: Is this a No Repeater project? 2. Project Objectives The proposed Project Development Objective is to support the strengthening of institutional capacities in the Municipality of Rio de Janeiro to promote public sector efficiency and effectiveness in service delivery, including health, education, environmental management and other high priority public services. 3. Project Description The proposed project would be a US$16.2 million Technical Assistance Loan which aims to support the strengthening of institutional capacities in the Municipality of Rio de Janeiro to promote public Page 1 of 10

2 sector efficiency and effectiveness in service delivery, including health, education and environmental management. The government would provide US$16.2 million of counterpart funding towards the US$ 32.4 million total project cost. Component 1: Improving Medium Term Fiscal and Public Investment Management (US$ 1.5 million). This component aims to provide support for the development and incremental institutionalization of (a) elements of Medium Term Expenditure Frameworks (MTEFs) and of (b) a system for the selection and appraisal of public investments. While the MoRJ has introduced initial steps to strengthen its medium term fiscal management, additional efforts are needed to strengthen both top-down and bottom-up elements of a MTEF process. Regarding top-down elements, the municipality aims to (i) develop criteria to assess and account for fiscal risks; (ii) further develop and build capacity for the formulation of macro-fiscal estimates for a multi-year period; and (iii) develop baselines and strengthen capacity for stipulating sector ceilings over a multi-year period. For each of these elements the consultancy would also assist the MoRJ to develop and implement the necessary processes to incorporate these into the budget planning and execution process Regarding bottom-up elements, the central concern is to develop costing methodologies to identify and estimate the cost of existing and future policies and programs. This would be done on pilot-basis for health and education programs, as well as for city maintenance activities. The municipality would like to develop a proposal for institutionalizing the MTEF process, in line with the Brazilian planning and budgeting procedures. In the area of public investment management, building on the initial procedures for screening of investment projects introduced by the municipality, the activities to be supported aim at developing additional regulations for the screening process, including manuals (for project preparation and screening) and methodologies/criteria for costing of operation and maintenance (O&M) costs. An improved estimate of the O&M costs of the current investment portfolio of the municipality (e.g. World Cup and Olympics) would also be developed, using more rigorous parameters. Finally, project would support capacity building activities for investment project preparation. Component 2: Innovating in Service Provision (US$18.2 million, US$ 10.2 million of Bank financing). This component aims at providing further support to innovations introduced by the municipality over the past two years and that have proven effective in improving health and education service delivery. Subcomponent 2.1: Health (US$ 16 million, US$ 8 million of Bank financing). The activities to be supported in the health sector focus mainly on promoting increased quality and efficiency in the use of the health network. They include activities in three areas: a. Improving Information Technology (IT): The municipality asked the Bank s assistance to strengthen its IT systems to allow for improvements in the following aspects of the healthcare system: (i) Regulatory function and central health appointment scheduling unit; (ii) monitoring of chronic diseases; and (iii) supply chain logistics and medicine distribution. b. Family Health Care Clinics Accreditation Program: Given the increased importance of Family Clinics in health service provision in the municipality, the government is committed to continuing this program, expanding if necessary, and it wants to develop a program to evaluate and certify the quality of service provision units. The Municipal Health Secretariat aims to develop a municipal accreditation program in line with international accreditation standards. The municipality would provide counterpart funding for the continued operation and expansion, if necessary, of the program. The Bank would finance the development and initial implementation of the accreditation Page 2 of 10

3 program. c. Impact Evaluation Studies of Selected Health Sector Reform Elements: The municipality would like to design and implement evaluations of the following elements of its health reform program: (i) the implementation of the Family Health Program through the Family Health Care Clinics; (ii) the UPAs model for urgent and emergency care; (iii) the reform of the hospital entrance procedures; and (iv) the home healthcare program. Subcomponent 2.2: Education (US$12 million, US$3.0 million of Bank financing). Activities under this subcomponent will support the education secretariat s ambitious program to: i) raise education quality system-wide through a stronger focus on results and evidence-based policy design - activities (a) and (b), ii) expand the coverage of good quality early child development services for the city s most disadvantaged children activities (c) through (f) and iii) make teachers more effective in the classroom through better training and support. a. Strengthening capacity for learning assessment (US$ ). The Secretariat has greatly expanded its use of student learning assessments, testing all students at regular intervals and administering standardized tests in key grades at the end of each school year. These assessments provide essential feedback for teachers and schools to help identify and target remedial support to students before they fall behind and are forced to repeat grades, which has been a major source of inefficiency in the Rio system. b. Results tracking, policy planning and research (US$ ). The SME s comprehensive student assessment system is generating a large amount of student learning data, which the SME currently lacks the capacity to analyze and exploit; it has only two part-time staff working on data analysis and results monitoring and no institutional home for these functions. This component will support the establishment of a new Office for Strategic Information Management (Gerência de Informação Estratégica), managed by a full-time director with education policy and planning expertise, and supported with a small team of two full-time statistician/economists, one database manager and high-performance IT supplies and statistics software. c. Rio Crèche Monitoring System (US$ 250,000). The SME is putting in place one of the first systems in Brazil for regular monitoring of the institutional quality of ECD centers (crèches). The program will support consultant assistance for: i) finalizing the instrument (being adapted from the ECERS instrument used in OECD countries); ii) baseline application; iii) design of the template for regular feedback reports to each Crèche (starting in 2013); iv) and design and implementation of a comprehensive crèche monitoring system, which will integrate the crèche quality assurance data with system financial and HR data. d. Rio Child Development Monitoring System (US$ 30,000). The SME is also proposing the first use in Brazil of an internationally-validated tool to monitor child development. The program will support six months of consultant assistance to adapt and refine the internationally-validated Ages and Stages Questionnaire (ASQ) for Monitoring Child Development for use in the Rio context. It will also support preparation of a manual to guide Rio crèche personnel in the application of the instrument. e. Early Child Education (ECE) management system (US$ 100,000). This activity will support the design and implementation of an integrated quality assurance system based on data emanating from the new Crèche Quality Monitoring program and the Rio Child Development monitoring system. f. Integrated Early Childhood Services - Primeira Infância Carioca (US$ 620,000). The final challenge for the Rio municipal government in raising the quality of ECD services is to ensure adequate integration of education, health and social assistance services targeted to young children (pregnancy through 6 years old) and their families. This is a major institutional challenge for all governments providing ECD services, whether at the national, state or municipal level. Quality Page 3 of 10

4 support to infants and their families during the crucial first years of life requires comprehensive services and effective coordination of these services at the household level, yet secretariats of health, education and social assistance almost universally maintain distinct systems of patient/student identification and data management, geographic districts, and institutional hierarchies that make it very difficult to ensure that the information gathered from and services provided to a single family by these different government agencies is ever consolidated and coordinated. g. Escola de Formação (US$ 1.0 million) The SME in 2012 opened a new training center for teachers, which will deliver not only short courses to upgrade the skills of teachers already in service, but also aims at building a completely new program to prepare higher quality teachers for the future. Like other education secretariats in Brazil, the Rio SME views the teacher training currently offered in Brazilian universities as of low academic quality, highly theoretical, and divorced from teaching practice. The SME believes that the current system is failing both to attract talented students to go into teaching and to prepare them to be effective in the classroom. The component will also finance the ITC and VC equipment needed to establish a network of satellite facilities that will be able to deliver distance education and hybrid (combined face-to-face, online and VC) courses to teachers across the municipality. Component 3: Strengthening Social Governance and Monitoring and Evaluation (US$11.5 million, US$3.3 million of Bank financing). Subcomponent 3.1: Social UPP Program (US$0.7 million, US$0.5 million of Bank financing). This component would focus on strengthening the management systems of Social UPP Program, as well as on promoting innovations in the way sectoral policies are coordinated in order to promote the integration of pacified favelas with the rest of the city. a. Strengthening Social UPP management systems: The Social UPP program s managerial and operational procedures are being developed as the program is rolled out across more than twenty favelas. The TAL would finance: (i) annual strategic assessments of all operational procedures and managerial systems of the institutional and territorial management units, and provide recommendations, customized training and capacity building to improve their efficiency and effectiveness; (ii) technical assistance in information technology services for the continuous development of institutional management practices and online tools currently used by the program; (iii) pilots of new field methodologies to promote effective community participation and improve information collection and monitoring in the pacified territories. The impact evaluation of the program would be financed through the second sub-component described in section 3.2. b. Improving the implementation of sectoral policies in pacified territories: Social UPP Program requires traditional sectoral policies designed for regular service provision in the rest of the city to give priority attention to demands from pacified favelas, and to adjust their technologies of service provision to the distinct realities of favelas. Therefore, the effectiveness of Social UPP lies to a large extent in its capacity to mobilize other secretariats to act in a different way than they are accustomed to in these territories. The TAL would finance technical assistance services to help Instituto Pereira Passos (IPP) coordinate with other urban and social sectors at the municipal level in order to improve practices and procedures and close the service gap with the rest of the city in selected policy areas. Specifically, activities would include: (i) technical assistance to review current approaches being employed by sectors, producing annual assessments of available sectoral policies in selected areas (e.g. urbanization and land regularization, income generation activities, consolidation of the pacification process, etc.) and proposing improvements, priority challenges and targets; (ii) annual workshops to discuss a work program for the identified sectoral policy, bringing Page 4 of 10

5 together IPP and Social UPP counterparts to the projects in the selected areas; (iii) technical assistance to improve the implementation and coordination of the sectoral policies in the selected thematic areas, including the preparation of working papers presenting good practices and alternatives for new policy strategies and annual seminars focused on the specific policy areas. Subcomponent 3.2: Monitoring and Evaluation (US$10.8 million, US$2.8 million of Bank financing). This component will focus on strengthening evidence-based policy-making in the municipality by building IPP s technical expertise for monitoring and impact evaluation (M&IE). Since Social UPP coordinates interventions across eight municipal sectors (Education, Finance, Health, Housing, Maintenance, Public Assistance, Public Order, and Urbanism), in pacified stabilized through the deployment of special police forces slums, it affords IPP the convening power to engage a large number of actors in a pilot for M&IE. In addition, since IPP has been a qualified player in geo-statistical analysis in Brazil, reinforcing these skills towards M&IE activities was identified as the next step of institutional development for the municipality. Hence, this subcomponent will support a pilot for policy-relevant monitoring and evaluations in the Social UPP areas. The results from this pilot will directly promote the development of a monitoring and feedback system for the municipality. The activities will build IPP s role as a hub for M&IE in the municipality. The subcomponent s activities may be divided in three areas: a. Building Territorial-Based Data Systems. This activity will provide support to integrate IPP s geo-data collection expertise with socioeconomic data by developing the institute s experience in collecting household and individual-level survey data. The skills developed will include selecting indicators and designing new survey instruments and sampling strategies to monitor and evaluate selected programs. The data thus collected will allow for territorial tracking of key indicators in Social UPP territories and for rigorous impact evaluation of selected programs in the Social UPP territories (through longitudinal, in-depth household and individual survey), thus feeding information to the municipality programs to improve service-delivery targeting and performance. b. Design of a Monitoring and Feedback System for the municipality. This activity aims to develop IPP as a hub to support decentralized administrative data collection efforts by the sectors, consolidate the collected data, and develop tools to create accountability feedback loops. Ultimately, this activity will provide Casa Civil with cross-sector and territorial statistics to continuously inform the City Strategic Planning ( ). The component will support IPP in designing an integrated monitoring and evaluation system; this will require IPP to work across secretaries. IPP will exploit its geo-expertise to produce territorially-based feedback on the quality of service delivery. To enhance the value of the information collected and secure feedback loops, the M&IE system will feature userfriendly accountability tools (e.g., report cards and scorecards, web and mobile-based interfaces to map indicators, and analytical bulletins). As the Social UPP is IPP s in-house client, the program will receive particular attention in the form of a pilot to use accountability tools for improved service delivery performance. c. Impact Evaluation for Evidence-Based Policy-Making. This activity will build IPP s technical skills to lead impact evaluation work. IPP will carry out a rigorous evaluation of the overall impact of the UPP and Social UPP programs. In addition, during joint IPP-World Bank missions, four areas/programs were preliminarily identified that would yield policy-relevant impact evaluations: different collective action mechanisms in place by Social UPP Program ( Vamos Combinar ); impact of giving Formal Address to households in Social UPP areas; and mechanisms of social accountability. This activity will exploit IPP s comparative advantages while developing new analytical abilities. As IPP s mandate combines program coordination and the provision of data and analytical services, it has a comparative advantage in leading policy-relevant work. In particular, combining cartographic and socioeconomic analyses will move IPP from a planning role to providing actionable policy recommendations to improve municipal programs. Page 5 of 10

6 Component 4: Innovations in Environmental Management (US$1.2 million). Public Disclosure Copy Public Disclosure Copy Subcomponent 4.1: Implementation of Rio s Climate Data Bank and GHG Monitoring System. This subcomponent would consist in the implementation of the GHG emissions monitoring strategy that was developed in partnership with SMAC, COPPE, and WRI. The objective of this monitoring system is to track and report on the progress in meeting Rio s commitment, as stated in the municipal climate change law, to avoid 20 percent GHG emissions with respect to the year of 2005 by 2020, through the implementation of various mitigation actions in key sectors (e.g. energy, transportation, waste). The TAL will finance the development of the city s repository GHG gas emissions data, as well as the implementation of an accurate, reliable and transparent emissions monitoring system, which is consistent with international standards. This will involve: a. Setting up the institutional framework for the implementation of this system, as per the recommendations of the completed strategy, including: i. Establishing the scope, protocol and methodology for data collection and reporting; ii. Establishing roles and responsibilities of the various agencies involved, including: IPP, whose responsibility will be to collect the data following agreed procedures, and estimating overall emissions in Rio on the basis of the agreed methodology; SMAC, responsible of the technical review of the process carried out by IPP and of the results of the inventory compilation; and the Prefeitura do Rio, whose involvement will ensure multi-sectoral participation in the climate monitoring efforts, and which will integrate climate data and indicators into the RBM system and; iii. Instituting coordination mechanisms for all agencies involved, ensuring the adequate operation of the system. b. Financing the technological needs for the set up and operation of the system, including the purchase of software and equipment needed to set up and operate the monitoring system and Rio s Climate Data Bank, as per recommendations of the COPPE-WRI strategy; and c. Financing the capacity building needs across sectors to ensure accurate, timely and effective data collection, modeling, reporting, and M&E. Subcomponent 4.2: Development of an Interactive Communication System for the Municipality s Policy on Climate Change and Sustainable Development. The Project will support the development and implementation of an information system to promote the dissemination of environmental information by the Rio municipality. The overall objectives of this sub-component are to: (i) raise public awareness on climate change and other activities that promote sustainable development in the city; (ii) increase accountability on the part of the Government for its policies to reduce GHG emissions; and (iii) promote GHG reductions as a result of community and market pressures generated by information disclosure. The Project will finance the development of an online portal that would compile all of the information available on climate change developments and other sustainable development efforts that the city of Rio is underaking. It would (i) be organized by sectors (i.e. solid waste management, transport, energy); (ii) include information on ongoing initiatives under implementation in each sector; (iii) present data collected through the monitoring system in a way that is accessible to the public; (iv) keep track of city progress relative to the emissions reduction targets established by the climate change law; and (v) provide options for the public to engage in activities coordinated by the city. The Project will finance consultants to design and assist SMAC and IPP in the design and implementation of the information platform. Maintenance of the site would be done by IPP, under the advice and technical review of SMAC. 4. Project location and salient physical characteristics relevant to the safeguard analysis (if known) Page 6 of 10

7 The Project will be implemented within the municipality of Rio de Janeiro. It will not be implemented nor will it affect any of the Protected Areas within these limits. Most of the work will focus on improving efficiency of fiscal and public management. In the health sub-component the project will support the implementation of Emergency Health Units throughout the municipality which raises the issue of health care waste management. The collection of Health Care Waste (HCW) is outsourced to a third party who makes the collection in especially designated trucks which is then taken to a treatment plant where the HCW is autoclaved before being disposed of as common residue. 5. Environmental and Social Safeguards Specialists Gunars H. Platais (LCSEN) Rodrigo Serrano-Berthet (LCSSO) 6. Safeguard Policies Triggered? Explanation (Optional) Environmental Assessment OP/ BP 4.01 Yes The project will not support construction or any other activity that demands an Environmental Impact Assessment with exception of the Health Sub-Component which will focus mainly on promoting increased quality and efficiency in the use of the health network. One of the vehicles for this increased efficiency is the Primary Health Care Units which generate a modest amount of health care waste (HCW). Final disposal of health care waste is the responsibility of the generator. According to Brazilian legislation each Health Care Facility is obligated to prepare a Health Care Waste Management Plan (PGRSS) which is approved by the State Environmental Agency. Compliance with this aspect is a requirement for the Health Facility to obtain operating clearance from the Environmental Agency and satisfies Bank Safeguards. The collection of HCW is outsourced to a third party who collects the HCW in especially designated trucks which then takes their load to the treatment plant where the HCW is autoclaved before being disposed of as common residue. Natural Habitats OP/BP 4.04 No No project activities have the potential to cause significant conversion (loss) or degradation of natural habitats, whether directly (through construction) or indirectly (through human activities induced by the project). Forests OP/BP 4.36 No The project will not sponsor forest sector activities nor other interventions that have the potential to impact significantly upon forested areas. Page 7 of 10

8 Pest Management OP 4.09 No The project does not envisage the procurement of pesticides or pesticide application equipment. Physical Cultural Resources OP/ BP 4.11 No It is not anticipated that Project activities will affect physical cultural resources. Indigenous Peoples OP/BP 4.10 No There are no indigenous peoples in the project area nor are potential adverse impacts on indigenous peoples anticipated. Involuntary Resettlement OP/BP 4.12 No The project will not induce physical relocation nor any loss of land or other assets resulting in: (i) relocation or loss of shelter; (ii) loss of assets or access to assets; (iii) loss of income sources or means of livelihood, whether or not the affected people must move to another location. The project will also not impose the involuntary restriction of access to legally designated parks and protected areas resulting in adverse impacts on the livelihoods of the displaced persons. Safety of Dams OP/BP 4.37 No The project will not be involved in the construction of any dam nor is it dependent upon an existing dam. Projects on International Waterways OP/BP 7.50 Projects in Disputed Areas OP/BP 7.60 II. Key Safeguard Policy Issues and Their Management A. Summary of Key Safeguard Issues No The project is located totally within the municipality of Rio de Janeiro and does not have any international boundaries. No Project activities are confined to clearly defined areas such as existing infrastructure that does not have any dispute. 1. Describe any safeguard issues and impacts associated with the Restructured project. Identify and describe any potential l arge scale, significant and/or irreversible impacts: The project will not generate direct impacts given the focus on technical assistance for efficiency and quality of public services and improving planning within the Rio de Janeiro Municipality. The Health Sub-Component will focus mainly on promoting increased quality and efficiency in the use of the health network at the system level. One of the vehicles for this increased efficiency is the Primary Health Care Units which given their role of a first point of contact with the community with no major health interventions do not generate significant amounts of health care waste (HCW). Furthermore the Project will not entail any construction works. The project will support greenhouse gas monitoring and inventory which should provide benefits for the local and global environment. 2. Describe any potential indirect and/or long term impacts due to anticipated future activities in the project area: The project will support the accreditation of clinics which includes environmental management as one of its parameters. The accreditation program in association with a capacity building effort Page 8 of 10

9 supported by the project will provide the clinics the conditions to be fully compliant with environmental legislation including that which relates to health care waste. 3. Describe any project alternatives (if relevant) considered to help avoid or minimize adverse impacts. N/A 4. Describe measures taken by the borrower to address safeguard policy issues. Provide an assessment of borrower capacity to plan and implement the measures described. The Health Secretariat is working closely with each of the primary care clinics to fulfill their obligation under Brazilian legislation of preparing a Health Care Waste Management Plan (PGRSS). These will be submitted to the Environmental Agency in order for them to obtain their operating clearance. During preparation these two agencies have worked together to arrive at an agreement on implementation. The health care waste is collected and disposed of by a third party using autoclave technology which is an improvement over the previous use of a landfill. 5. Identify the key stakeholders and describe the mechanisms for consultation and disclosure on safeguard policies, with an emphasis on potentially affected people. The key stakeholders are the Environment Secretariat (SMAC), the Municipal Health Secretariat (SMSDC) and the community they serve. Considering that health care waste is being disposed of adequately through a third party the communities surrounding the clinics are not affected by it. Nevertheless the clinic staff are in constant contact with the community they serve through their health agents who are typically from that community offering easy acceptance. Consultations thereby are relatively easy to organize. B. Disclosure Requirements Date Environmental Assessment/Audit/Management Plan/Other Was the document disclosed prior to appraisal? Date of receipt by the Bank 20-Sep-2012 Date of "in-country" disclosure 25-Jan-2012 Date of submission to InfoShop 20-Sep-2012 For category A projects, date of distributing the Executive Summary of the EA to the Executive Directors Technical Assistance Project For a TA project which will finance the preparation of a specific safeguards instrument, please indicate type of document disclosed, if any. Each Primary Health Care Clinic in order to obtain its operating license prepares a Health Care Waste Management Plan (HCWMP). This new legislation stipulates that these HCWMP need to be in place by The project will support clinics to become compliant through the system wide accreditation program. If the project triggers the Pest Management and/or Physical Cultural Resources policies, the respective issues are to be addressed and disclosed as part of the Environmental Assessment/ Audit/or EMP. If in-country disclosure of any of the above documents is not expected, please explain why: Given the nature of the project, the anticipated minimal impact of health care waste, Brazilian legislation which requires those that generate health care waste to prepare a Health Care Waste Management Plan and that the Project will support the fulfillment of this obligation the in country disclosure will occur as these are prepared and finalized prior to the 2014 date. Page 9 of 10

10 C. Compliance Monitoring Indicators at the Corporate Level (to be filled in when the ISDS is finalized by the project decision meeting) Public Disclosure Copy Public Disclosure Copy OP/BP/GP Environment Assessment Are the cost and the accountabilities for the EMP incorporated in the credit/loan? The World Bank Policy on Disclosure of Information Have relevant safeguard policies documents been sent to the World Bank's Infoshop? Have relevant documents been disclosed in-country in a public place in a form and language that are understandable and accessible to project-affected groups and local NGOs? All Safeguard Policies Have satisfactory calendar, budget and clear institutional responsibilities been prepared for the implementation of measures related to safeguard policies? Have costs related to safeguard policy measures been included in the project cost? Does the Monitoring and Evaluation system of the project include the monitoring of safeguard impacts and measures related to safeguard policies? Have satisfactory implementation arrangements been agreed with the borrower and the same been adequately reflected in the project legal documents? III. APPROVALS Task Team Leader: Rafael Chelles Barroso Approved By Sector Manager: Name: Auguste Tano Kouame (SM) Date: 25-Sep-2012 Page 10 of 10