Building an Institutional Framework 1 (Re-)Building an Institutional Framework Michael Kropac,...

Building an Institutional Framework 1

(Re-)Building an Institutional Framework

Michael Kropac, seecon international

Building an Institutional Framework

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The contents of the SSWM Toolbox reflect the opinions of the respective authors and not necessarily the official opinion of the funding or supporting partner organisations.

Depending on the initial situations and respective local circumstances, there is no guarantee that single measures described in the toolbox will make the local water and sanitation system more sustainable. The main aim of the SSWM Toolbox is to be a reference tool to provide ideas for improving the local water and sanitation situation in a sustainable manner. Results depend largely on the respective situation and the implementation and combination of the measures described. An in-depth analysis of respective advantages and disadvantages and the suitability of the measure is necessary in every single case. We do not assume any responsibility for and make no warranty with respect to the results that may be obtained from the use of the information provided.

Copyright & Disclaimer



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Contents

1. Concept

2. How it can optimize SSWM

3. Design Principles

4. Ensuring Sustainability

5. Applicability

6. Advantages and Disadvantages

7. References



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“Water is not scarce but simply managed badly?"

1. Concept

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A sound institutional framework is the base for a sustainable water and sanitation management strategy …



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Institutional FrameworkAn institutional framework for SSWM consists of a range of different organisations that are in place (or need to be in place) to develop and manage water resources and the delivery of water and sanitation services, at different levels of society. (GWP

2008)

1. Concept

AdjudicationAdjudication

Pollution Control

Pollution Control

Conservation and

Protection

Conservation and

Protection

Flood Control and Risk

Mitigation

Flood Control and Risk

Mitigation

Water Treatment and Reuse

Water Treatment and Reuse

Wastewater Collection

Wastewater Collection

Allocation and Supply

of Water

Allocation and Supply

of Water

Surveillance and

Monitoring

Surveillance and

Monitoring

Regulation, Control and Enforcement

Regulation, Control and Enforcement

Networking, Information Exchange

Networking, Information Exchange

Education and

Awareness Raising

Education and

Awareness Raising

Policy Formulation

Policy Formulation

SSWMSSWM




Example: Regulatory Bodies and Enforcement Agencies (GWP 2008) E

Extremely important role in establishing and ensuring the effective application of other tools. Functions include:

Allocation of water rights, ensuring water quality, monitoring, etc.

Setting prices and performance standards for service providers

Tools for enforcement: Fines, taxes, penalties, withdrawal of permits and licences etc.

TThe legitimacy of the regulatory body is critical in ensuring compliance.

Source: Clip Art



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Example: Bundling and Unbundling of Functions


CCrucial importance in establishing and ensuring the effective application of other tools.

Faces distribution and disposition of functions, activities and processes

DClear definition of roles and responsibilities within an organisation and between different organisations

A No more overlapping of functions leads to more efficient planning and implementation of other tools

Clear definition of roles and responsibilities leads to specialism and more expert knowledge



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Example: Public Private Partnership for Water Supply (SCD, SWISS RE, SECO 2005)

• A public private partnership is an agreement between the public sector and a private sector entity.

• PPP arrangements typically involve a government agency contracting with a private partner to renovate, construct, operate, maintain, and manage a facility or system, that provides a public service.


Actors in a PPPSource: (SCD, SWISS RE, SECO 2005)



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Example: Private Sector Participation in Bangladesh(WATER AND SANITATION PROGRAMM 2000)

Twenty-five years ago, the private sector was almost completely uninvolved in the provision of goods and services for rural water supply and sanitation in Bangladesh.

Today, 65 per cent of the approximately four million handpump tube wells have been privately installed.

The private sector has demonstrated clear advantages over the public and NGO sectors in reducing production costs, and in the efficient distribution of goods and services.

Whilst much of this success is undoubtedly due to the particular conditions and circumstances found in Bangladesh, it is also clear that some of the findings are general and should be replicable in other countries.




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Main Actors and Roles (SCD, SWISS RE, SECO 2005)


• The national government: sets the policy and legal framework for SSWM, and represents the interests of all citizens.

• The local government (regional, municipal as appropriate) ensures access to basic services, has authority over user charges, and concludes service delivery contracts.

• The consumer (in case of a public private partnership) becomes a legitimate customer of the service provider and is responsible for paying the bills issued on the basis of an agreed tariff.

• The regulator(s) monitor the performance of all parties, provide information on the execution contracts, and act to balance the interests of governments, service providers, and consumers.

• The service provider(s) are responsible for executing the contractual agreements and for delivering services.



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Example: Spheres of Influence


sdsdsdsdsdsdWHO

UN-Water

Water Service Provider

CBO

NGOs

Farmers

National Ministries and

Agencies

River Basin Organisations

Sanitation Provider

World Bank

UNESCO

WSPWSSCC

etc.

Local Government

Law Enforcement Agencies

Stand Pipe Operator

Water Trucker

etc.

etc.

etc.

Large Scale Water Service

Provider

Public Sector Water Provider



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(Re-)Building Partnerships for SSWM (GWP 2008)


Starting partnerships with: • e.g. stakeholder analysis, gap analysis, development of

common goals, planning, program design, social capacity building, co-operative inquiry, supporting self-organisation and organisational development, conferencing.

Important steps: • Stakeholders need to meet each other, to understand and

interpret SSWM concepts in the same manner, and establish a common ‘language’

• Levelling of information, knowledge and expertise

• The partnership needs to develop its goals, outputs and actions based on the will and motivation and collaboration of the partners.



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• Balance between a fully integrated framework and a sectoral approach.

• Regulation of service providers, both public and private, is a key element and regulators must be independent and strong.


• Policy, regulatory and service-delivery functions should be strictly separated (accountability and transparency). (GWP 2008)

• Raising awareness, sharing information and a participatory approach are key elements of building an institutional framework.

Source: http://www.wsp.org/index.cfm?page=page_disp&pid=10820



4. Ensuring Sustainability (SCOTT et al. 2003 and WRC 2003)

Lack of sound instuitutional framework is the root cause of long-term failures in service-delivery in sanitation and water provision, with outcomes like:

- Declining services leading to poor coast recovery

- Ultimately failed investements that do not meet either current or future demand

A sound institutional framework is the pre-condition for the implementation of many other tools and their sustainability.

With a clear institutional „home“ for planning and management, well defined roles and responsibilities of actors etc., sanitation services and water management are sustained beyond the implementation of infrastructure projects and hardware tools.



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• The composition of institutions in any given country will depend on the nation’s experience and needs. Institutional structures vary from country to country. (GWP 2008)

• An institutional framework for SSWM can include organisations of all levels (local, regional, national, international), the political and legal complexity increases with each of the levels.

5. Applicability

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• The applicability of different organisational arrangements (e.g. public-private-partnership) varies from case to case.



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6. Advantages and Disadvantages

Disadvantages:

• Local authorities have limited influence towards higher governmental powers and could be restricted on their actions

• Investment costs in long-term capacity building and education of qualified staff

• Friction between partners and stakeholders over priorities and means, lack of clarity about roles and responsibilities often result in high transaction costs

Advantages:

• Necessary precondition for a successful implementation of the other tools

• Important role in ensuring the effective application of tools

Essential!Because you need a sound framework to establish a sustainable water and sanitation system



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7. References

DE GOOIJER, G. & NEWTON, J. (2009): Messages for Parliamentarians. The United Nations World Water Development Report 3. Messages Series. Perugia: United Nations World Water Assessment Programme (WWAP).

GWP (2008): Creating an organisational framework. URL: http://www.gwptoolbox.org/index.php?option=com_tool&cat_id=7 [Accessed: 22.04.2010]

SCD, SWISS RE, SECO (2005): Public-Private Partnerships for Water Supply and Sanitation. Policy Principles and Implementation Guidelines for Sustainable Services. URL: http://www.partnershipsforwater.net/ [Accessed: 22.04.2010]

SCOTT, R., COTTON, A. and GOVINDAN, B.( 2003): Sanitation and the Poor. Leicestershire/ London/ Delft: Resource Centre for Water, Sanitation and Environmental Health (WELL). URL: http://www.lboro.ac.uk/well/resources/well-studies/full-reports-pdf/satp.pdf [Accessed 21.09.2010]

VAN ITTERSUM, M. & VAN STEENBERGEN, F. (2003): Ideas for local action in water management. Stockholm: The Global Water Partnership.

WATER AND SANITATION PROGRAMM (2000): The growth of private sector participation in rural water supply and sanitation in Bangladesh. New Delhi: Water and Sanitation Programm South-Asia.

WRC (2003): Sanitation Research Strategy. Water Research Commission (WRC). URL: http://africasanitation.softpagecms.com/files/802976930/library/DWAF_SanitationResearchStrategy_DEC2003.pdf [Accessed 21.09.2010]



7. References

WATER AND SANITATION PROGRAMM (2000): The growth of private sector participation in rural water supply and sanitation in Bangladesh. New Delhi: Water and Sanitation Programm South-Asia.

WRC (2003): Sanitation Research Strategy. Water Research Commission (WRC). URL: http://africasanitation.softpagecms.com/files/802976930/library/DWAF_SanitationResearchStrategy_DEC2003.pdf [Accessed 21.09.2010]

Building an Institutional Framework 19

“Linking up Sustainable Sanitation, Water Management & Agriculture”

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