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2012

report

UN-Water Global Analysis and AssessmentofSanitationandDrinking-Water

ThechAlleNGeofexTeNDiNGANDSUSTAiNiNGServiceS

Includes annex

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flows to sanIta

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drInkIng-water

Who library cataloguing-in-Publication Data :

UN-water global annual assessment of sanitation and drinking-water (GlAAS) 2012 report: the challenge of extending and

sustaining services.

1.Sanitation - economics. 2.Water supply. 3.Drinking water - supply and distribution. 4.international cooperation. 5.National

health programs. 6.Program evaluation. 6.Millennium development goals. i.World health organization. ii.UN-Water.

iSBN 978 92 4 150336 5 (NlM classification: WA 675) © World health organization 2012

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2012

report

UN-Water Global Analysis and AssessmentofSanitationandDrinking-Water

ThechAlleNGeofexTeNDiNGANDSUSTAiNiNGServiceS

UNWater is the United Nations interagency coordination mechanism for all freshwater related issues. Established in 2003, UNWater fosters greater cooperation and information sharing among UN entities and relevant stakeholders.

UNWater monitors and reports on the state, utilization and management of the world’s freshwater resources and on the situation of sanitation through a series of interconnected and complementary publications that, together, provide a comprehensive picture and, individually, provide a more indepth analysis of specific issues or geographic areas.

PERIODIC REPORTS:

IN THE YEARS 2012-2013 UN WATER WILL ALSO PUBLISH:

2012

2013

World Water Development Report (WWDR) is coordinated by the World Water Assessment Programme (WWAP) on behalf of UNWater and published every three years. It provides a global strategic outlook on the state of freshwater resources, trends in use of the resource base in the various sectors (inter alia, agriculture, industry, energy) and management options in different settings and situations (inter alia, in the context of urbanization, natural disasters, and impacts of global climate change). It also includes regional assessments.

Global Analysis and Assessment of Sanitation and Drinking-Water (GLAAS) is produced every two years by the World Health Organization (WHO) on behalf of UNWater. It provides a global update on the policy frameworks, institutional arrangements, human resource base, and international and national finance streams in support of sanitation and drinkingwater. It is a substantive input into the activities of Sanitation and Water for All (SWA).

The progress report of the WHO/UNICEF Joint Monitoring Programme for Water Supply and Sanitation (JMP) is produced every two years. The JMP is affiliated with UNWater and presents the results of the global monitoring of progress towards MDG 7 target C: to halve, by 2015, the proportion of the population without sustainable access to safe drinkingwater and basic sanitation. Monitoring draws on the findings of household surveys and censuses usually supported by national statistics bureaux in accordance with international criteria.

UN-Water Report on Integrated Approaches in the Development, Management and Use of Water Resources is produced by UNWater for the Rio+20 Summit. A similar status report was produced in 2008 for UNCSD. The report assesses the status and progress of the management of water resources in UN Member States and reports on the outcomes and impacts of improved water resources management.

UN-Water Country Briefs pilot project. They provide a strategic outlook on the critical importance of investments in water for human and economic development at country level.

More Information on UN-Water Reports at www.unwater.org/documents.html

✓ Strategic outlook ✓ State, uses and management

of water resources ✓ Global ✓ Regional assessments ✓ Triennial (4th edition)

✓ Status and trends ✓ Water supply and sanitation ✓ Global ✓ Regional and national

assessments ✓ Biennial (since 1990)

✓ Strategic outlook ✓ Water supply and sanitation ✓ Global ✓ Regional assessments ✓ Biennial (since 2008)

Foreword

Withthe2015targetdatefortheMillenniumDevelopmentGoals(MDG)clearlyonthehorizon,this2012editionoftheUN-WaterGlobalAnalysisandAssessmentofSanitationandDrinking-Water(GlAAS)contributesimportantlytotheimplementationoftheUN-Waterstrategyofdeliveringstrongmessagesonwaterthathelpshapethepost-2015sustainabledevelopmentlandscape.itspublicationistimelyinthelead-uptothenextkeyeventinthisprocess,therio+20UnitedNationsconferenceonSustainableDevelopment.

UN-Water,theUnitedNationsinter-agencycoordinationmechanismforallfreshwater–relatedissues,hasdrinking-waterandsanitationamongitsfocusareas.WhileprogresstowardstheMillenniumDevelopmentGoal(MDG)target7.cisregularlymonitoredbytheWho/UNicefJointMonitoringProgrammeforWaterSupplyandSanitation(JMP),theUN-WaterGlAASbuildsontheseresultsandanalysestheunderlyingreasonsforsuccess—orlackofit.

initsrelativelyshortlife,UN-WaterGlAAShasearneditsplaceinthewatermonitoringandreportinglandscapeandisincreasinglyusedasthebasisformoreinformeddecision-making.Thiscamefromtherecognitionthatthescarcityofinformationonnationalsanitationanddrinking-water–relatedpolicies,financingandhumanresourceswasamajorbarriertoprogress.italsoresultsfromthedearthofexactknowledgeconcerningthestatusofandtrendsindevelopmentassistance.

inearlyMarch2012,theJMPannouncedthatsignificantprogressonimprovedaccesstodrinking-waterhadbeenachieved.Thisencouragingnewscomes,however,withamessageofcaution:manyarestillunserved,disparitiesaregreatandthemonitoringofkeyattributes,suchaswaterquality,remainschallenging.Moreover,theestimated780

millionpeoplestillunservedareincreasinglyhardtoreach,andtheMDGtargetforsanitationisnotontrack:therearecurrently2.5billionpeoplewithnoaccesstoimprovedsanitation.

This2012UN-WaterGlAASprovidesfurtherreasonforvigilance—resourcesareneithertargetednorapparentlysufficienttosustainroutineoperationandmaintenancerequirements.Thus,thereisaseriousriskofslippingbackwardsongainsalreadymade.TheanalysisemergingfromUN-WaterGlAASalsohelpstoidentifythereasonsbehindthedisparitiesinaccesstosanitationanddrinking-wateramongdifferentregions,communitiesandincomegroupsthathavebeenidentifiedbytheJMP.

BasedontheevidenceemergingfromUN-WaterGlAAS,thereareanumberofachievableimmediatestepsthatcountries,externalsupportagenciesandotherstakeholderscanundertaketocontinueextendingsanitationanddrinking-waterprovisioning,whilesustainingservicesalreadyinplace.Theseimmediatestepsarehighlightedinthisreport,togetherwithanumberofareasthatwarrantin-depthstudies,achallengethatUN-WaterGlAASisreadytotakeup.

MichelJarraudchairUN-Water

IV

Acknowledgements

UN-WaterandWhogratefullyacknowledgethefinancial ThepreparationofthisreportinvolvedcontributionsfromsupportprovidedbytheDepartmentforinternational hundredsofindividualsrepresentingallregionsoftheworld.Development,UnitedKingdom;theSwissAgencyfor UN-WaterandWhowouldliketoextendtheirgratitudetoallDevelopmentandcooperation;theDirectorate-General thoseindividualsandorganizationsthatcontributedtotheforinternationalcooperation,theNetherlands;andthe developmentofthisreport—especiallythoseindividualswhoGovernmentofKuwait. submittedinformationfromcountriesandexternalsupport

agencies.AfulllistingofindividualswhocontributedtothisreportandtheiraffiliationsisgiveninAnnexG.

Acronymsandabbreviations

3Ts tariffs,taxesandtransfersADB AsianDevelopmentBankADf AsianDevelopmentfund,AsianDevelopmentBankAfD AgencefrançaisedeDéveloppementAfDB AfricanDevelopmentBankAfDf AfricanDevelopmentfund,AfricanDevelopmentBankAfeSD ArabfundforeconomicandSocialDevelopmentAMcoW AfricanMinisters’councilonWatercSo countryStatusoverview(WorldBankWaterandSanitationProgram)eBrD europeanBankforreconstructionandDevelopmenteSA externalsupportagencyeU europeanUnionGDP grossdomesticproductGlAAS GlobalAnalysisandAssessmentofSanitationandDrinking-water(formerlyGlobalAnnualAssessmentof

SanitationandDrinking-water)GoAlWaSh Governance,AdvocacyandleadershipforWater,Sanitationandhygiene(UnitedNationsDevelopmentProgramme)hiv/AiDS humanimmunodeficiencyvirus/acquiredimmunodeficiencysyndromehr humanresourcesiDA internationalDevelopmentAssociation,WorldBankiDB inter-AmericanDevelopmentBankifrc internationalfederationofredcrossandredcrescentSocietiesiSic internationalStandardindustrialclassificationJMP Who/UNicefJointMonitoringProgrammeforWaterSupplyandSanitationlDc leastdevelopedcountryMDG MillenniumDevelopmentGoalNDP nationaldevelopmentplanNGo nongovernmentalorganizationo&M operationandmaintenanceoDA officialdevelopmentassistanceoecD organisationforeconomicco-operationandDevelopmentoecD-crS oecDcreditorreportingSystemofiD oPecfundforinternationalDevelopmentoPec organizationofPetroleumexportingcountriesPrSP povertyreductionstrategypaperSeeA-Water SystemofenvironmentaleconomicAccountingforWaterSWA SanitationandWaterforAllTicADiv fourthTokyointernationalconferenceonAfricanDevelopmentUN UnitedNationsUNDP UnitedNationsDevelopmentProgrammeUNicef UnitedNationschildren’sfundUSA UnitedStatesofAmericaWASh water,sanitationandhygieneWho WorldhealthorganizationWSP-Africa WaterandSanitationProgram,WorldBankWSP watersafetyplan

V

3.1 Sourcesoffundingandhowmuchisbeingspent.............................................................................263.2 Allocationoffunding:whatismoneybeingspenton?.......................................................................283.3 Useofcommittedfunds...................................................................................................................... 303.5 WAShinvestmentprogrammes:docountriesknowhowmuchtheywillneedtospendinfuture?...343.6 Adequacyoffinance............................................................................................................................353.8 implicationsforthefuture .................................................................................................................... 36

4 humanresources.....................................................................................................................................37

4.1 Adequacyofhumanresourcedata.....................................................................................................384.2 Sufficiencyofstaffing..........................................................................................................................394.3 Staffincentivesandcontinuingeducation..........................................................................................404.4 Gender.................................................................................................................................................404.5 Barriersimpedingdevelopmentofhumanresources.........................................................................404.6 humanresourceplanning...................................................................................................................414.7 implicationsforthefuture ....................................................................................................................42

5 equity...........................................................................................................................................................43

5.1 humanrightstowaterandsanitation.................................................................................................445.3 Periodicassessmentofequitypolicies............................................................................................... 485.4 implicationsforthefuture .................................................................................................................... 48

tableofcontents

foreword...............................................................................................................................................................iv

Acknowledgements................................................................................................................................................v

Acronymsandabbreviations.................................................................................................................................v

executivesummary...............................................................................................................................................3

context...................................................................................................................................................................6

1 Politicalwillandaccountability................................................................................................................9

2 Policies,planningandcoordination.....................................................................................................13

2.1 Policyadoption.....................................................................................................................................142.2 Planningandcoordination...................................................................................................................172.3 reviews,monitoringandreporting.....................................................................................................192.4 Decentralization...................................................................................................................................212.5 localstakeholderparticipation...........................................................................................................222.6 implicationsforthefuture ....................................................................................................................23

3 financing....................................................................................................................................................25

1

6 externalsupport........................................................................................................................................49

6.1 Targetingofaidsectors ....................................................................................................................... 506.2 externalfinancingflows........................................................................................................................516.3 Prioritizingcountriesandregions........................................................................................................546.4 Aidallocationbreakdowns..................................................................................................................566.5 Alignmentandcoordination................................................................................................................596.6 futuretargets......................................................................................................................................616.7 fundingchannels................................................................................................................................616.8 implicationsforthefuture ....................................................................................................................62

7 Specialfocusonwater,sanitationandhygieneinschoolsandhealth-carefacilities............63

7.1 Sanitationandhygieneinschools......................................................................................................647.2 Water,sanitationandhygieneinhealth-carefacilities........................................................................667.3 implicationsforthefuture ....................................................................................................................67

references........................................................................................................................................................68

AnnexA:Methodology..................................................................................................................................71

AnnexB:TrackingnationalfinancialflowstoWASh.............................................................................74

Annexc:Glossary..........................................................................................................................................82

AnnexD:Summaryofresponsesto2011GlAAScountrysurvey....................................................85

Annexe:Summaryofresponsesto2011GlAASexternalsupportagencysurvey....................95

Annexf:Supplementaryinformationondonor/countrycoordination..............................................97

AnnexG:listofcontributors........................................................................................................................99

2

executivesummary

theobjectiveoftheUN-WaterGlobalAnalysisand

AssessmentofSanitationandDrinking-Water(GLAAS)

istomonitortheinputsrequiredtoextendandsustain

water,sanitationandhygiene(WASH)systems

andservices.Thisincludesthecomponentsofthe“enablingenvironment”:documentinggovernmentpolicyandinstitutionalframeworks;thevolume,sourcesandtargetingofinvestment;thesufficiencyofhumanresources;prioritiesandgapswithrespecttoexternalassistance;andtheinfluenceofthesefactorsonperformance.Amorechallengingsecondarygoalistoanalysethefactorsassociatedwithprogress,orlackthereof,inordertoidentifydriversandbottlenecks,toidentifyknowledgegaps,toassessstrengthsandweaknesses,toidentifychallenges,prioritiesandsuccesses,andtofacilitatebenchmarkingacrosscountries.

Thissecond1UN-WaterGlAASreportpresentsdatareceivedfrom74developingcountries,coveringalltheMillenniumDevelopmentGoal(MDG)regions,andfrom24externalsupportagencies(eSAs),representingapproximately90%ofofficialdevelopmentassistance(oDA)forsanitationanddrinking-water.

TherehavebeenremarkablegainsinWASh.The2012progressreportoftheWorldhealthorganization(Who)/UnitedNationschildren’sfund(UNicef)JointMonitoringProgrammeforWaterSupplyandSanitation(JMP)announcedthattheMDGtargetfordrinking-waterwasmetin2010:theproportionofpeoplewithoutaccesstoimproveddrinking-watersourceshadbeenmorethanhalved(from24%to11%)since1990.however,theprogressreportalsonotedthatthebenefitsareveryunevenlydistributed.

Majorgainshavebeenmade,withtheMDG

drinking-watertargetbeingmetin2010—but

challengesremaintoreducedisparitiesandto

increasesanitationcoverage.

forexample,onlylimitedprogressisevidentintheincreaseofaccesstodrinking-wateramongthepoorestinsub-SaharanAfricaortosanitationamongthepoorestinSouthAsia.Morethanthreequartersofthosewholackaccesstosafedrinking-waterandbasicsanitationliveinruralareas.

Thefactthat,between1990and2010,over2billionpeoplegainedaccesstoimprovedwatersourcesand1.8billionpeoplegainedaccesstoimprovedsanitationfacilitiesdemonstrateswhatcountriescanachievewithsustainedcommitment,adequateresourcesandeffectiveimplementationapproaches.Theseresultsalsopointtotheachievementsmadebydevelopmentpartnersthathaveprovidedexternalsupport.ring-fencingofbilateralsupportforwaterandsanitationatcurrenttimesoffinancialcrisisstemsdirectlyfromthehigh-levelcommitmentsmadein

ThefirstGlAASreportwaspublishedin2010aftera“proofofconcept”waspilotedin2008.

theMillenniumDeclaration.Politicalwillandcommitmenttoaction,evidence-basedplanningandpolicy-making,andsufficienthumanandfinancialresourcesare,however,keytosustainedsuccess.

Asthisreportshows,inmanycountries,policiesandprogrammeshavefartoolittleemphasisonensuringadequatefinancialandhumanresourcestobothsustaintheexistinginfrastructureandexpandaccesstosanitation,drinking-waterandhygieneservices.ThedangerofslippageagainsttheMDGtargetisarealone.

Focusingoneffectivelymanagingassetsto

sustainservicescanbeasimportantasfocusing

onnewinfrastructure.

The2012GlAASreportdrawsonthelatestinformation,includingdatafromtheorganisationforeconomicco-operationandDevelopment(oecD)creditorreportingSystem(crS),anddatagatheredthroughtwosetsofquestionnaires:oneforlow-andmiddle-incomecountriesandoneforeSAs.ThesequestionnaireshaveallowedcountriesanddonorstoscoretheirprogressandWAShinputsaccordingtoobjectivecriteria.Whiletheresponsesarebasedonconsensusfrommultiplestakeholdersandaresubjecttovalidation,itisacknowledgedthattheaccuracyofresponseswillshowvariability.Thus,tosomeextent,theresponsesshouldbeinterpretedasaself-assessmentofcountryanddonorpriorities,andthedatashouldbeusedwithcautionwhenmakingcomparisonsbetweencountriesandbetweendonors.TheGlAASmethodologyispresentedinAnnexA.

Lackofrobustdata,particularlyonfinancial

flows,isamajorconstrainttoprogress.

Thereport:

• warnsofasignificantriskofslippageonthegainsmadeinextendingWAShservicesunlessmoreattentionisgiventomaintainingthoseservicesandassets;

• acknowledgesthatdespitetheseverefinancialcrisisfacedbymanyhigh-incomecountries,aidforsanitationanddrinking-watercontinuestorise,whiletargetingtobasicMDG-typeservicesisimproving;

• showsthatsomecountriesarereportinggoodprogresstowardsnationalWAShtargets,buthighlightsthatforthemajorityofcountries,humanandfinancialresourceconstraints,especiallyforsanitation,aresignificantlyimpedingprogress.

ThefocusonenhancingaccountabilityisincreasinglystrongandisakeycomponentoftheSanitationandWaterforAll(SWA)partnership,towhichmanyGlAASrespondentsbelong.AccountabilityisbeingfurtherenhancedbytheincreasedattentionpaidtothehumanrighttoWaterandSanitationsincetherecognitionofthisrightbytheUnitedNations(UN).

3 1

Sections1and2ofthereportdescribethegrowingpoliticalwillforWAShimplementationamongreportingcountriesandtheincreasingeffortsofcountriestobeaccountableandtoplanandcoordinateeffectively.Keyfindingsincludethefollowing:

• countriesreportrecentandsubstantivepoliticalcommitmentstoWASh,increasingfundingallocationsandincreasingleadershipandcoordinationamongimplementingagencies.

• ThemajorityofcountrieshaveestablishedtransparentWAShserviceprovisiontargetsandhaveputinplacesupportingpolicies.Manycountriesaremonitoringagainstthesetargets.Accountabilitycanbeimproved,asmostcountriesdonotincludeconsumersinplanning,andonlyhalfhaveestablishedregularreviewprocesses.

• Despiteimpressiveglobalgains,mostcountriesarefallingshortonmeetingtheirownnationalWAShcommitments,with83%and70%ofcountriesreportedlyfallingsignificantlybehindthetrendsrequiredtomeettheirdefinednationalaccesstargetsforsanitationanddrinking-water,respectively.

• Althoughtheimportantcontributionthathygienemakestohealthisclearlyrecognized,nationaltargetshavegenerallynotbeenestablishedforhygienepromotionprogrammes.

Section3presentsdataonfinancialflows.Whilethelimiteddatasubmittedprecludemakingdefinitivestatementsaboutglobalfinancialallocations,countriesreportinsufficientfinancingforWAShoverall,withparticularlyseriousshortfallsforsanitation.Keyfindingsincludethefollowing:

• ManyofthegovernmentsreportinginadequatefundingallocationsforWAShalsopointtoapoorabsorptioncapacity—thatis,difficultiesinspendingthelimitedfundsthatarereceived.

• Drinking-watercontinuestoabsorbthemajorityofWAShfunding,evenincountrieswitharelativelyhighdrinking-watersupplycoverageandarelativelylowsanitationcoverage.

• insufficientfundingforoperationandmaintenanceunderminesthesustainabilityofservicesinamajorway.

Thisreportpresentschartsanddescriptivetabularsummariesfornumerousdrinking-waterandsanitationindicatorsandbenchmarks.financialdatapresentedinthetablesorchartsare,inamajorityofcases,for2010.forsomekeyindicators,adashboardofmapsandfiguresisprovidedtopresentageographicalsummary,globalsummarystatisticsandtrends.chartsandtabularsummariesalsogenerallyindicatethenumberofresponsesthatwereconsideredintheanalysisorparticularquestion.Thisnumberdoesnotnecessarilyequalthetotalnumberofrespondentstothesurvey,asnoteverycountryoreSAansweredallpartsofthequestionnaires,andinmanycasesthedatawerecollectedfromanalreadyexistingsource(e.g.theoecD-crS).

• fundsaredisproportionatelytargetedforextendingservicesinurbanareas,evenincountrieswhereurbanareasarerelativelywellservedandruralareasareoff-track.

• Althoughdataonhouseholdfundingcontributionsarelimited,whatinformationthereissuggeststhatthesearesignificantandcanmakeamajorcontributiontosustainingservices.

• TostrengthenthecollectionofWAShfinancialinformation,aharmonizedmethodofdatamonitoringisneeded(onesuchmethodisproposedinAnnexA).

Section4examinestheadequacyofthehumanresourcebasetoimplementWAShinterventionsandhighlightsthegapsindata.Keyfindingsincludethefollowing:

• onehalfofcountriesdidnotreportonhowmanyWAShstaffwereinplace,indicatingasignificantlackofinformationonhumanresources.

• Thereisinsufficientstaffinplacetooperateandmaintainsanitationanddrinking-waterinfrastructure.

• halfthecountriessurveyedreportedthatwomenmakeuplessthanatenthofprofessionalWAShstaff.

• lackofsupply-sidetechniciansandskilledlabourstandsoutasakeybarriertothesustainabilityofservices.

Section5confirmsthattherighttowaterandsanitationisbeginningtobeacceptedbygovernmentsanddescribesthesuccessesandconstraintstoextendingWAShcoverageinanequitableway.Keyfindingsincludethefollowing:

• Nearly80%ofcountriesrecognizetherighttowater,andover50%therighttosanitation.

• Mostcountrieshavenotestablishedequitycriteriafortheallocationoffinancingforwaterandsanitation.

Section6describespriority-setting,targetingofdevelopmentaid,andthecoordinationandalignmentofeSAassistancewithcountryprogrammes.Keyfindingsincludethefollowing:

• Despitetheeconomiccrisis,aidforsanitationanddrinking-watercontinuestorise.Thetotalamountofdevelopmentaidforsanitationandwaterincreasedby3%from2008to2010,toUS$7.8billion.Non-concessionallendingforsanitationandwaterincreasedfromUS$2.5billionin2008toUS$4.4billionin2010.

• Aidforbasicsystemscomprised26%ofaidforsanitationanddrinking-waterin2010,anincreasefrom16%in2008.

• only7%ofaidisdirectedatmaintainingservices.

• Developmentaidforsanitationandwatertofragileandconflict-affectedstatesincreasedby50%between2007and2010,fromUS$560milliontoUS$840million.

4

• onlyhalfofdevelopmentaidforsanitationanddrinking-wateristargetedtotheMDGregionssub-SaharanAfrica,SouthernAsiaandSouth-easternAsiawhere70%oftheglobalunservedlive.

• SectorbudgetsupportfromdonorsforWAShislessthan5%oftotalWAShaid.opportunitiesexistforincreasingalignmentwithcountryprioritiesandstrengtheningnationalWAShsystemsthroughincreasingsectorbudgetsupportwherevertransparencyandaccountabilitymechanismsareinplace.

Section7focusesonsanitation,hygieneanddrinking-waterinschoolsandhealth-carefacilities,reportingonaccesstoWAShservicesinthesepublicinstitutions.Keyfindingsincludethefollowing:

• halfthecountriesdidnotreportonaccesstoadequatesanitationinschoolsorhealth-carefacilities,suggestingalackofmonitoringsystemsandcapacity.

• onaverage,34%ofprimaryschoolsand25%ofruralhealth-carecentreslackimprovedsanitationfacilities.

inresponsetothefindingthatthereisaseriouslackofrobustdataonin-countryfinancialflowstosanitationanddrinking-water,thisreportaddressesthesubjectingreaterdepthinAnnexB.Theannexdescribestheworkthathasbeendonesofarondevelopingamethodologyfortrackingnationalfinancialflows.otherannexescontainthesurveymethodology(AnnexA),aglossary(Annexc),andcountryandeSAdata(AnnexesDande,respectively),aswellassupplementaryinformationondonor/countrycoordination(Annexf).

Basedontheevidenceemergingfromthisreport,anumberofissuesstandoutasrequiringurgentattentionandactionby:

• NationalgovernmentsandcountryWAShstakeholdersto:

▶ continuetoimprovethestrengthandclarityofleadershipforWASh;

▶ strengthenthedevelopmentofrobustnationalplansforWAShserviceprovision;

▶ strengthensystem-widesupportofthedeliveryofWASh,andlinkWAShservicestocoregovernmentsystemsforplanningandresourceallocation;

▶ focusonbuildinginstitutionalandhumanresourcecapacityforbothincreasingWAShservicestotheunservedandmaintainingexistingservicesbydirectingmoreresourcestooperationsandmaintenance;

▶ consideradoptingahuman-rightsbasedapproachtofocusattentiononthevulnerableandtoensurethattheyarenotexcludedfromthebenefitsofWAShservices;

▶ improvetargetingofinvestmentstothepoorandvulnerable;

▶ developandstrengthenmonitoringandestablishnationalWAShManagementinformationSystems;

▶ createandtrackspecificbudgetsforsanitationandwater;

▶ encouragemultistakeholderparticipationindecision-makingaroundWASh,throughconsultationwithusersandthroughregularreviews.

• externalsupportagenciesto:

▶ improvetargetingofaidtothepoorandvulnerable,includingtargetingoff-trackcountries;

▶ considerincreasingsectorbudgetsupportwherethisisexpectedtoleadtostrongersystemstodeliverservicesandincreasecoverage;

▶ considerdirectingmoreexternalfundingtosupportoperationandmaintenanceofexistingWAShservices.

• Allstakeholdersto:

▶ intensifyharmonizationandcollaborationamongnationallineagencies,donorsandNGos.

5

Context

itisclearthattherehavebeenremarkablegains,particularlybysomecountries,inimprovingaccesstosanitationanddrinking-water.The2012JMPprogressreport(UNicef/Who,2012)estimatesthat63%oftheworld’spopulationhasaccesstoimprovedsanitation(figure1),and89%oftheglobalpopulationnowusesimproveddrinking-watersources(figure2).

Sanitationanddrinking-waterareuniversallyacceptedasbeingessentialforhumanlife,dignityandhumandevelopment.however,sanitationanddrinking-waterissueshavenotinthepastreceivedthehigh-levelpoliticalattentionthattheydeserve.Anumberofdonors,internationalnongovernmentalorganizations(NGos)andUNagencies,inrecognitionofthis,cametogethertoraisethepoliticalprofileofsanitationanddrinking-waterfollowingtheleadoftheUNhumanDevelopmentreport(UNDP,2006)inhighlightingsomeoftheprincipalshortcomingswithintheinternationalarchitecture.Theseincludethelackofasingleinternationalbodytospeakonbehalfofsanitationanddrinking-water.

FIGUre1Percentageofpopulationusingimprovedsanitationfacilities(2010)

Source: UNICEF/WHO (2012)

FIGUre2Percentageofpopulationobtainingdrinking-waterfromanimprovedsource(2010)

Source: UNICEF/WHO (2012)

SanitationandWaterforAll

UsingtheevidencebaseestablishedbyUN-WaterGlAAS,theSWApartnershipaimstoaddresscriticalbarrierstoachievinguniversalandsustainablesanitationanddrinking-water.Thesebarriersincludeinsufficientpoliticalprioritization,weaksectorcapacitytodevelopandimplementeffectiveplansandstrategies,anduncoordinatedandinadequateinvestmentsintheseplansandstrategies.SWAaimstoprovideacommonvisionandasetofvaluesandprinciplesforatransparent,accountableandresults-orientedframeworkforactiontoaddresstheobstaclestoglobalprogress.

eighty-onemembersmakeuptheSWApartnership,whichisbasedonmutualtrust,supportandcommitmenttoprinciplesofaideffectiveness,includingnationalownershipofplans,donorharmonizationandmutualaccountability.

TheSWAhighlevelMeeting,heldeverytwoyears,bringstogetherministersoffinancefromdevelopingcountries,ministersofdevelopmentcooperationfromdonorcountriesandhigh-levelrepresentativesfromdevelopmentbanksandotherdonorinstitutionstoaddressthelackofprioritygiventosanitationandwaterasadevelopmentintervention,thepoortargetingofaidinthesectorandtheneedforrobustplanningandinstitutions.ThefirstSWAhighlevelMeeting,heldinApril2010,influencedsectorprogressandcatalysedactionatthecountrylevel.inparticular,participantsreportedthatthe2010highlevelMeetingstrengthenedrelationsbetweenWAShsectorministriesandfinanceministries,triggeredstrongersectorcoordinationinmanycountries,createdacrucialcontextforadvocacyonsanitation,encouragedpoliticalandfinancialdecision-makerstouseevidenceforbetterdecision-makingandraisedawarenessaboutsanitationwithinsectorandfinanceministries.

ThecommitmentsmadeatthefirsthighlevelMeetingfocusedonSWA’sthreekeypriorityareas—increasedpoliticalprioritization,improvedevidence-baseddecision-makingandstrengthenednationalplanningprocesses.Participantstabledover200specificcommitmentsandagreedtoreportonthemregularly.

TheGlAASreportistheprimarymechanismforreportingontheprogressofcountriesinachievingthesecommitmentsandonsuccesseswithintheWAShsectorinovercomingobstaclestoprogress.

6

TheresultistheSWAinitiative,withitscomponentofbiennialhighlevelMeetingsoftopdecision-makers,supportedbyGlAASastheglobalmonitoringreportthathighlightstheevidence,driversandblockagesaffectingprogressinincreasingsanitationanddrinking-watercoverage.TheSWAinitiativealsoendeavourstolinkwithandstrengthenexistingnationalprocesses.

Answeringthequestion“WhatworkstoeffectivelyextendandsustainWAShserviceprovision?”isbecomingevermoredifficultwiththerapidlychangingfinancial,politicalandphysicalenvironment.Theregionalandglobalfinancialcriseshavecontributedtocreatingunpredictableandtightergovernmentanddonorbudgets.Manycountrieshaveexperiencedoveralldevelopment,butattheexpenseofgrowinginequitybetweentherichandthepoor.Thecontinuedtrendofpopulationgrowthandrapidurbanizationfurtherstrainsadeterioratingwaterandsanitationinfrastructure.Thecrisisofgrowing

waterscarcity,coupledwiththeothershort-andlong-termrisksposedbyclimatechange,isapotentialthreattohealthsecurityandequitableserviceprovision.

Thecaseforevengreatereffortsisundeniable.eveniftherateofprogresscitedintheJMPreport(UNicef/Who,2012)weretocontinueuntiltheendoftheMDGperiod,universalwaterandsanitationcoveragewouldstillbefaroff—in2015,605millionpeoplewouldremainwithoutaccesstoanimproveddrinking-watersource,and2.4billionpeoplewouldbewithoutaccesstoimprovedsanitationfacilities.Giventhisscenario,billionswillremainatriskofWASh-relateddiseasessuchasdiarrhoea,whichin2011killed2millionpeopleandcaused4billionepisodesofillness(figure3).

WithoutrapidprogressinWASh,thegrowthofnationaleconomieswillcontinuetobeimpeded.evidencesuggeststhatlackofaccesstosafedrinking-waterandadequatesanitation

costscountriesbetween1%and7%oftheirannualgrossdomesticproduct(GDP)(WSP-Africa,2012).

crucialasdiseasepreventionandeconomicgrowthare,thebenefitsofinvestinginWAShgobeyondhealthandbeyondeconomicdevelopment.Theytouchonarangeofcriticalissuesthatcannoteasilybemeasured.Theseincludecontributingtoeveryindividual’spersonaldignityandcomfort,socialacceptance,securityforwomen,schoolattendance,especiallyforgirls,andproductivityatschoolandwork.

With2015fastapproaching,preparationsarealreadyinplacetofocusonuniversalaccesstowaterandsanitationinthepost-MDGperiod.consideringthevastresourcesthatthiscontinuingeffortwillrequire,itisvitalthatwehaveanimprovedunderstandingofwhatisbeingdone,bywhomitisbeingdoneandthecriticalinputsassociatedwithsuccess,inordertobettertargetandmoreefficientlyusescarceresources.

FIGUre3PercentageofdeathsattributabletoWASh-relateddiseaseorinjury

Source: Prüss-Üstün et al. (2008)

7

politicalwilland1 accountability

KeyMeSSAGeS

•Allcountrieshavemadesomeformofpoliticalorfinancialcommitmenttosanitationanddrinking-watersince2010,withthevastmajorityhavingestablishedtransparentWAShserviceprovisiontargets.

•Despiteimpressiveglobalgains,mostcountriesarefallingshortonmeetingtheirownnationalWAShcommitments,with83%and70%ofcountriesreportedlyfallingsignificantlybehindthetrendsrequiredtomeettheirdefinednationalaccesstargetsforsanitationanddrinking-water,respectively.

•investmentsinsanitationanddrinking-waterareincreasinglybeingscrutinized;whiletransparencyisimproving,accountabilityforresultsachievedremainsweak.

1 PoliTicAlWillANDAccoUNTABiliTy

high-levelpoliticalcommitmentunderpinsalleffortstoaccelerateandsustainimprovementsinaccesstoadequateandsafedrinking-water,sanitationandhygieneservices.Successfulimplementationofthiscommitmentrequiresasteadyfocusonthewaterandsanitationpriorities,adequateallocationofresourcesandtheestablishmentofaregularandtransparentmonitoringframeworktoensurethatallstakeholderscanbeheldaccountableagainsttheiragreedcommitments,rolesandresponsibilities.Suchresponsibilitiesincludeenforcingrelevantlegalframeworks,ensuringeffectiveregulatorymechanisms,maintainingandstrengtheninginstitutionalarrangementsandapplyingup-to-datetechnicalknowledgethroughbestpractice.Theyalldepend,ultimately,onpoliticalresolvetogivebalancedsupporttoallessentialelements.

AllcountriesthatrespondedtotheGlAASquestionnairereportedthattheyhadmadesomeformofhigh-levelpoliticalorfinancialcommitmenttosanitationanddrinking-water,often

attheministeriallevel,since2010.SeventeenofthemmadecommitmentsattheSWAhighlevelMeetingin2010,andmanyothersmadecommitmentssubsequentlyinresponsetonationalandinternationalinitiativesandevents.earlier,atAfricaSaniiin2008inDurban,SouthAfrica,forexample,ministersbelongingtotheAfricanMinisters’councilonWatercommittedtothemeasurable,time-boundsanitationtargetsenshrinedintheeThekwiniDeclarationandmadeapledgeonbudgetlinesforsanitationandhygiene.

ethekwiniDeclaration

TheeThekwiniDeclarationwassignedbyover30AfricangovernmentministersinDurbaninfebruary2008.Thedeclarationrecognizedtheimportanceofsanitationandcommittedthesignatorygovernmentstoestablishingspecificpublicsectorbudgetallocationsforsanitation,withtheaimofspending0.5%ofGDPonsanitation.Source: WSP-Africa (2008).

Inmanycases,politicalwillhasnotyetcatalysedtheenablingenvironmentrequiredtosecure

adequateprogressagainstnationalsanitationanddrinking-watertargets(table1.1).

tABLe1.1Meetingpoliticalcommitments:progresstowardsattainingsanitationanddrinking-waterobjectives(%ofcountriesreportingattainmentofkeyurban/ruralsanitationanddrinking-waterobjectives)

Regionalbreakdown Targetsinplace Policiesadopted Adequatefinance(perceived) Adequateoutputs1

NorthernAfrica,Eastern,Centraland

WesternAsia,andtheCaucasus

97% 88% 44% 49%

LatinAmericaandCaribbean 100% 52% 30% 32%

SouthernandSouth-easternAsiaand

Oceania

86% 63% 32% 36%

Sub-SaharanAfrica 94% 73% 9% 20%

TOTAL 93% 70% 22% 30%

Thepercentagesshownarebasedonprogressineachofthefour“sub-sector”areasofWASHservices(urbansanitation,ruralsanitation,urbandrinking-water,andruraldrinking-water),

expressedasanaggregatefigure.Forexample,ifacountryreportedadequatefinancingforurbanwatersupply,butnotfortheotherthree“sub-sectors”,theaggregatescorewouldbe

expressedas25%.

1 Annualprogressat75%ormoretomeettarget.

Source: 2011 GLAAS country survey (74 country respondents)

10

Nearlytwothirdsofcountriesrespondingtothe2011GlAASquestionnaireindicatedtheircommitmenttotrackingandpubliclyreportingonprogressmadeatinternationaleventssuchastheonesmentionedabove.Thesefindings,takentogetherwiththereportedincreasesinexpenditureforwaterandsanitationbyseveralcountriesfrom2009to2011,areevidenceofconcreteactionresultingfromnationalandinternationalWAShcommitments.TheeffortsoftheSWApartnershiprunthroughthisconsistentlyandareaimedatcoordinating,leveragingandenhancingcommitments.

The2012JMPprogressreport(UNicef/Who,2012)describesthesuccessofmanycountriesinreducingtheproportionofpeoplewithoutaccesstoimproveddrinking-watersourcesandtoimprovedsanitationfacilities.Atthenationallevel,progressfrequentlyexceedsthatrequiredtomeettheMDGtargets.AnumberofcountriesfromlatinAmerica,NorthernAfricaandWesternAsiareportthattheyareontrackinmeetingnationaltargetsandsurpassingtheJMPharmonizedglobalcriteriaforimprovedwaterandsanitation,suchasuniversalaccesstoapipedseweragesystem.

Whenitcomestomeetingself-imposednationalwaterandsanitationtargets(asopposedtothegloballyagreedMDGtarget),however,mostcountriesreportthattheyarefallingshort:83%and70%ofcountriesreportfallingsignificantly

behindthetrendsrequiredtomeetnationalaccesstargetsforsanitationanddrinking-water,respectively.Additionally,onehalfofrespondingcountriesreportthattheyarenotontracktoachievetargetsdeclaredattheregionalorinternationallevel(e.g.theeThekwinigoalofallocating0.5%ofGDPtosanitation).

Accountabilityisstrengthenedbyensuringthatnational,regionalandlocalplanningandreviewprocessesareopenandinclusive,involvingawiderangeofstakeholders,includinglocalcommunities.GlAASdatashowthatapproximatelyonehalfoftherespondingcountriesreportedtheexistenceofperiodicreviewsystems,andonly28%ofcountrieshaveputinplaceandsystematicallyapplyproceduresforlisteningtoconsumerinput.

inadditiontomakingsomeformofministerial-levelpoliticalorfinancialcommitmenttosanitationanddrinking-water,allcountriesparticipatinginGlAAShavetakenstepstoincreasetransparencybyallowingtheircommitmentsandactionstobeinthepublicdomain.ThisisevidencedbytheirindividualparticipationintheGlAASsurveyandtheincreasednumberofcountriesrespondingtothesurvey(Table1.2).itisalsoevidencedbytheireagernesstoattendtheSWAhighlevelMeeting.

progresstowardsHighLevelMeetingcommitmentsrelatingtopolitical

willandinternaladvocacy

Manyofthecommitmentsmadebyministersortheirrepresentativesatthe2010SWAhighlevelMeetingreflectedanincreasedpoliticalwillandaddressedraisingthepriorityofsanitationandwateratthenationallevel.Severaloftheircountriesalreadyhavereportedprogress.ThePresidentofliberia,forexample,hasbeenahigh-profileandcommittedproponentofwaterandsanitation,providingleadershiptothedevelopmentofanSWA“WAShcompact”,whichshesignedinearly2012.in2010,thePresidentofBurkinafasopersonallylaunchedthenewsanitationandhygienecampaign.inSenegal,thegovernmenthastakenstepstoenhancetheimportanceofdrinking-waterandsanitationwithinthenewnationaleconomicandsocialpolicy.ThegovernmentofMongoliahaspromotedtheimportanceofdrinking-waterandsanitationamongministryofficialsanddecision-makers.Severalcountrieshavealsocommittedtomeetingtheircommitmentsmadeunderotherinitiatives;forinstance,ethiopiahasdevelopedaplantomeetitssanitationcommitmentsinlinewiththeeThekwiniDeclaration.

tABLe1.2Developingcountriesparticipatinginthe2012GlAASreport1:evidenceofincreasedaccountability(74respondents)

MDGregion Countriesparticipatingin2011GLAASsurvey2 Proportion(%)of

populationrepresentedin

theregion

EasternAsia Mongolia

overall,dataindicatesthatdecision-makershavedemonstratedtheirgoodintentionstoimproveWAShservices.Becauseofanincreasedcommitmenttoaccountability,countries’WASh-relatedeffortsandoutputsarebetterunderstoodanddocumented.fromthisevidence,however,itisclearthatavarietyofbarriers,discussedlaterinthereport,arecontinuingtoimpedethedeliveryoftangibleresults.ifmoresubstantiveprogressistobemade,WAShdecision-makersneedtobecomemoreseriousandengagedinthefollow-uptotheircommitmentstodeliverresults.

12

policies,planning2 andcoordination

KeyMeSSAGeS

•Globally,progresshasbeenmadeintheadoptionofnationalpolicies,with63%and77%ofrespondingcountrieshavingadoptedandpublishedpoliciesforsanitationanddrinking-water,respectively.ManycountrieshaveagreedandpublishedpoliciessincethelastGlAASreport.

•Mostcountrieshaveestablishednationalsectorplanningandcoordinationprocesses,butmanyalsoreporthavinginadequateinformationanddataforeffectiveinvestmentplanning.onlyonehalfofrespondingcountriesreportthattheirplanningprocessesarebasedonannualorbiennialreviews,andevenfewercountriesareinapositiontoperformtheirplanningbasedonreliabledatafromnationalinformationsystems.

•over90%ofcountrieshavedecentralizedresponsibilityforwaterandsanitation,butoperationaldecentralizationhasbeenaccompaniedbyfiscaldecentralizationinonly40%ofcountriessurveyed,potentiallyweakeningthecapacityoflocalgovernmenttoplananddeliverservices.

•countriesareprogressivelyadoptingapreventive“watersafetyplanning”approachtodrinking-waterqualitymanagement.

•Despiteaclearrecognitionoftheimportantcontributionthathygienemakestohealth,nationaltargetshavegenerallynotbeenestablishedforhygienepromotionprogrammes.

2PolicieS,PlANNiNG,ANDcoorDiNATioN

2.1 PolicyADoPTioN

countriesrecognizetheimportanceofdevelopingnationalsanitationanddrinking-waterpoliciesthatestablishobjectives,defineroles,responsibilitiesandexpectations,andsetboundariesforgovernmentsandpartners.effectiveandefficientservicedeliverycanbeparticularlydifficulttoachieveincountrieswheregovernment

departmentsoragenciesarenotguidedbyspecificsanitationanddrinking-waterpolicies.

Globally,63%and77%ofcountriesreportedpoliciesthathavebeenagreedandgazettedforsanitationanddrinking-water,respectively.The2009–2011trendshowsimprovement:countriesthatrespondedtoboththe2009and2011GlAASsurveysshowstrongprogress,withanadditional

14countries(outof38commonrespondents)havingagreedandpublishedpoliciessince2009,primarilyinAfrica.Somecountriesnotedthatthepolicyimplementationwashinderedbyunpredictablefinancingandinadequatedisseminationofthepolicymessage.

Urbanandruralsanitationpolicieshavebeenadoptedandpublishedin63%ofrespondent

countries,upfrom40%in2009,demonstratingthatcountriesareprogressivelytacklingtheurgent

needtoaddresssanitationissues.Drinking-waterpolicyadoptionratesarehigherandshowa

similarpatternofprogress(Figure2.1).

Drinking-water,policyadoption,2011

Sanitation,policyadoption,2011

Isthereasectorpolicyagreedandpublished?

FIGUre2.1isthereasanitationand/ordrinking-watersectorpolicyagreedandpublished?

Sources: 2011 GLAAS country survey (74 country respondents); 2009–2010 CSO and GLAAS country survey1

policyadoption,2011 trendfrom2009to2011(38countries)

forthe2010GlAASreport(Who,2010),UN-WaterGlAASandtheWorldBank’sWaterandSanitationProgramcollaboratedtodevelopathree-partsurveyquestionnaireanddataconsultationprocessforcountriesintheAfricaregion.ThesecountryStatusoverviews(cSos)reportontheextenttowhichcountrieshaveputinplacetheinstitutionsandpoliciesneededtomeettheirwaterandsanitationtargets,theirfinancingrequirementsandsectorsustainabilityandincluderecommendationsonhoweachcountrycouldimproveperformance.resultsfromthe2009–2010cSoandGlAAScountrysurveyareusedforcomparativepurposesinsomeofthefiguresinthisreport.

14

1

SANItAtIoN

Sustainedprogressinurbansanitationrequiresinfrastructuretokeepupwithgrowthandtheexistenceofsufficienttechnicalcapacityandfinancialresourcestomeetdemandforthecreationofsanitationfacilitiesandexcretaremoval,treatmentanddisposal.Amajorityofrespondentcountriesreportedestablishingplansfortheexpansionofurbansanitationservicestogetherwithspecificpolicyprovisionstoaddresstheissueinslumsandinformalsettlements.Despitethis,mostcountriessubmittingdatatoGlAASindicatedthatannualoutputsaresignificantlylessthanwhatisneededtomeetnationalurbansanitationtargets.

inruralsanitation,only20%ofcountriesreportthatthesupplyofskilledlabourandtechniciansisadequatetoensureprogress;however,mostcountriesindicatethatgovernmentpoliciesexistorarebeingformulatedtodevelopthe

privatesectorandtofurtherdevelopsanitationproductsandservices.

WAterSAFety

Policiespromotingcontinuousvigilanceintheformofpreventiveriskmanagementwillcontributetoimprovingwaterqualityandreducingdisease.Thisvigilanceisoftenlacking,however,inpartbecausewatersupplyoperatorsarefrequentlyoverwhelmedbytheiroperationalandfinancialchallenges,suchthattheyareunabletoaddresstheirimportantpublichealthprotectionrole.TheWhoGuidelinesforDrinking-waterQuality(Who,2011)recommendwatersafetyplans,aproactivemanagementapproachencompassingthewholewatersupplychain,fromcatchmenttoconsumer.

TheglobalmomentumtowardswatersafetyplanningissupportedbythefindingsfromtheGlAASreport(figure2.2).

Thelevelofprogresswithwatersafetyplansisillustratedinmoredetailinfigure2.2,showingtheWhoregionsofSouth-eastAsiaandtheWesternPacific,wherecertaincountrieshavemadenotableprogress.ofthecountriesencouragingwatersafetyplanning,13outof24inSouth-eastAsiaandtheWesternPacificcurrentlyhaveapolicyorregulatoryrequirementonwatersafetyplans,whereasanadditional8countriesareplanningtoupdatetheirpoliciesandregulationstoincorporatethisapproach.

Tobeeffective,watersafetyplansneedtobecontinuallyreviewedandupdated,includinginresponsetoexternalauditsspecifiedinregulations.inthisregard,countriesneedtotakesubstantiveadditionalactionsbeforethebenefitsofthewatersafetyplanningapproachcanberealized.

Watersafetyplanningisgainingglobalmomentum,with81%oftherespondentcountries

eitherencouragingorrequiringwatersafetyplansinpoliciesandregulationsorreportingpilot

experiences(Figure2.2).

FIGUre2.2isthereanationalpolicytodevelopandimplementwatersafetyplansorotherpreventiveriskmanagement?

Source: (top) 2011 GLAAS country survey (74 country respondents); (bottom) WHO internal reports

Isthereanationalpolicytodevelopandimplementwater

safetyplansorotherpreventiveriskmanagement?

Isthereanationalpolicytodevelopandimplementwater

safetyplansorotherpreventiveriskmanagement?

15


HyGIeNe

Despitewidespreadrecognitionoftheimportantcontributionofhygienetohealth,hygienepromotionprogrammesarenotdrivenbytheestablishmentofnationaltargets.only19outof74countries(26%)havedefinedtargetsfornationalhygienepromotion,indicatinganimportantpotentialforimprovementbysystematizingplanningandestablishinganaccountability

framework.instarkcontrasttothisoperationalgap,90%ofcountriesincludehygieneintheirhealthstrategies.

Despitelowoverallratesofimplementationofprogrammesbasedonresearchonlocalknowledge,attitudesandperceptionsonhygiene,GlAAScountryreportssuggestthathygieneprogrammesinformedbythis

typeofresearcharegrowinginnumber.experienceindicatesthatitisdifficulttopredictwhetherandforhowlonghygienebehaviourchangewilllast.Moreover,therearefewstudieswhosefindingsconfirmthepersistenceofhygienebehaviourlongaftercessationofprogrammeimplementation.

Fewcountrieshaveestablishedtargetsforhygienepromotion.Nationalbehaviourchange

programmesarenotsufficientlyinformedbyassessmentsoflocalattitudesandarefrequently

limitedtosmall-scaleimplementation(Figure2.3).

Arenationalbehaviourchangeprogrammesbasedonresearch,andare

therehygienepromotiontargets?

FIGUre2.3Arenationalbehaviourchangeprogrammesbasedonresearch,andaretherehygienepromotiontargets?


16

2.2 PlANNiNGANDcoorDiNATioN

Anenablingframeworkforprogressinsanitationanddrinking-watermustsupportthetranslationofpoliciesintoaction.importantfactorsincludeleadership,coordination,localcapacity,effectivemonitoringandencouragementofbroadparticipationtoensureaccountability.coordinationcanbechallenginginthecommonscenariowhereresponsibilitiesfordifferentaspectsofWASharefragmentedoveranumberofgovernmentagenciesthatdevoteonlyasmallshareoftheiroverallresourcestothisarea.Whereoverallresponsibilityisunclear,accountabilityforperformanceistypicallyweak.Agenciesmaynotnecessarilybeheldaccountable,andissuesthatareperceivedtobeoflesserpriorityorevenmarginalinaspecificinstitutionalcontextwillhavedifficultyinsecuringadequatefinancialandhumanresources,eventhoughtheymaybeessentialcomponentsoftheoverallsanitationanddrinking-waterframework.

The2011surveyindicatessomeprogressinovercomingthemajorobstaclesidentifiedbyGlAASrespondentcountriesin2009,whichincludedthefollowing:

• Approachesusedfordevelopingpoliciesarenotcoherentandholisticwithineachministry.

• Agenciesareworkingindependentlyonspecificpolicyaspectsratherthanbeingguidedbyanoverallframework.

• leadinstitutionsarenotdefined,especiallyforsanitation.

• Thereisnostrategicplanonhowtargetsfordrinking-waterandsanitationwillbemetorforthepromotionofhygiene.

• Thereislowcapacityatlocallevelsintermsofoversightandservicedelivery.

eighty-fivepercentofcountriesidentifiedaleadgovernmentagencyforsanitation,indicatingaclearimprovementoverthesituationin2009.onemayspeculatethatthisprogressmayhavebeenlinkedto

Leadinstitutionsforsanitationaredefinedinover85%of

respondingcountries.Additionally,morethanhalfofresponding

countriesreportthatcoordinationmechanismsamongdrinking-waterinstitutionsarebothdefinedandoperational(Figure2.4).

Sanitation,leadgovernmentagencyinplace,2011

Institutionalleadandrolesdefined,2011

Drinking-water,institutionalrolesclearlydefined,2011

Isthereagovernmentleadagency/areinstitutionalrolesclearlydefined?

trendfrom2009to2011(38countries)

FIGUre2.4isthereagovernmentagencywithaclearmandatetoleadandcoordinatepolicydevelopment(sanitation)?Areinstitutionalrolesofruralandurbanplayersclearlydefinedandoperational(drinking-water)?

Sources: 2011 GLAAS country survey (74 country respondents); 2009–2010 CSO and GLAAS country survey

17


risinginternationalattentiongiventosanitation,suchasthroughtheinternationalyearofSanitation(2008).Whileleadagencieshavebeenidentified,countriescommentthatpoorcoordinationstillexistsamongimplementingagencies,particularlyforsanitation.inmanycountries,governmentcoordinationstructureshavebeenestablishedatthenationallevel,butthisprocessoffirmingupcoordinationstillneedstotrickledowntoprovincialandlocallevels,although,admittedly,thebarrierstocoordinationmaybeloweratthoselevels.

TheGlAASsurveydidnotaskcountriestoreportontheexistenceofadefinedleadgovernmentinstitutionfordrinking-watersimplybecausethisisconsideredestablishedpractice.however,onehalfofthecountriessurveyedreportedthattheyhadaccomplishedthemoredifficulttaskofbothdefiningandoperationalizingtherolesofthemultipleinstitutionsresponsiblefordrinking-watersystemsandservices.

Commitmentstobettercoordination

Theneedtostrengthenlinkagesbetweensectorsandimprovecoordinationwas

recognizedattheSWAhighlevelMeetingin2010,andcountriesmadecommitments

specificallyrelatingtothisissue.AngolahassinceheldaNationalinterministerial

Meeting(ministriesofwater,environment,health,education,territorialadministration

andfinance).Angolaalsocommittedtostrengtheningaccountableinstitutionswhere

theyarelackingandismakingprogressonexertingstrongnationalleadershiptobring

coherencetothesectorsplansandstrategies.ethiopiareportsmakingprogress

onitscommitmenttoimprovingtheWAShplanningandcoordinationprocessby

strengtheningnationalplansandpartnerships.Burkinafasohasalreadyestablished

theWaterandSanitationPartnershipframeworkthatitcommittedtocreate.This

frameworkwillimprovepartneranddonorcoordinationandisexpectedtoleadto

increasedfinancingofsanitationanddrinkingwaterwithinthenationalbudget.

Ghanatranslatesstrongpoliciesintooutputsforwatersupply

Successfultranslationintooutputsneedsstrongpoliciestobeaccompaniedbyeffectiveimplementationarrangementsandadequatefinancing.forexample,GhanahasexceededitsMDGtargetof77%watersupplycoveragebyenablingover10millionpeopletogainaccesstodrinking-waterfromanimprovedsourcebetween1995and2010(Who/UNicef,2012).itssuccesscanbeattributedinparttoeffectiveimplementationarrangementsthatareinplaceforruralandurbanwatersupplythroughthecommunityWaterandSanitationAgencyandtheGhanaWatercompanylimited,clarityonbudgetsthroughseparatelineitemsandanexistingregulatoryframework.

forsanitation,GhanapublishedaNationalenvironmentalSanitationActionPlanandinvestmentPlanin2010andhasadoptedcommunity-ledTotalSanitationasastrategy.Whilehouseholdsareexpectedtoinvestinsanitation,thereis,however,noclarityonfinancingforsanitationsoftware(i.e.demandgenerationandbehaviourchangeactivities).

Mostcountrieshaveestablishedplanningandcoordinationprocesses,buttheyarenot

necessarilysupportedbyadequateinformationanddata(table2.1).

tABLe2 .1Planning,coordinationandmonitoringprocesses:progressonselectedindicators(%ofcountriesthatreportedestablishmentofkeyurban/ruralsanitationanddrinking-waterprocesses)

Regionalbreakdown Leadgovernmentagency

forsanitationinplace1

Institutionalrolesclearly

definedandoperational

fordrinkingwater

Annualreviewusedfor

planning

(waterandsanitation)

Investmentprogramme

agreedandpublished


Usenationalinformation

system


NorthernAfrica,Eastern,

CentralandWesternAsia,

andtheCaucasus

78% 68% 63% 93% 51%

LatinAmericaand

Caribbean

100% 40% 33% 32% 22%

SouthernandSouth-easternAsiaandOceania

89% 62% 43% 49% 56%

Sub-SaharanAfrica 84% 59% 63% 45% 36%

TOTAL 86% 60% 55% 51% 42%

1 Duetothedifferentlevelsofrigorforthequestionsongovernmentcoordination,sanitationappearstobedoingbetterthandrinking-water;however,thequestiononsanitationmerelyindicatestheexistenceofaleadagency,whereasthedrinking-waterquestionassessesthelevelofcoordinationamongkeyactors.Specifically,forsanitation,thequestionaskedwhethertherewasa“governmentagencywithaclearmandatetoleadandcoordinatethepolicydevelopmentandplanningofinstitutions”.fordrinking-water,thequestionaskedwhetherthe“institutionalrolesofruralandurbanplayers[nationalandlocalgovernment,utilities,waterboards,regulators,etc.]areclearlydefinedandoperational”.


18

2.3 revieWS,MoNiToriNGANDrePorTiNG

Thesystematicperformanceofperiodic(i.e.annualorbiennial)reviewstomonitorandevaluatetheperformanceofsanitationanddrinking-wateruptakeandservicesisincreasinglyusedbycountriesasabasisforplanning.Theadoptionofthisapproachservestwopurposes:first,toprovidegreaterstakeholderparticipationandjointownership,andsecond,toprovideameanstoholdgovernmentanddonorsaccountableforaccountableforacheivingexpectedresults.Thisprocessisparticularlyimportantwheretherearealargenumberofactorsinsanitationanddrinking-water,sinceitarticulatesandreiteratescommongoals,reducesduplicationandpromotesmutualaccountability.Sector-widereviewsthatareledandownedbynationalgovernmentandinvolveallmajorstakeholdersarekeytoimprovingWAShcoordinationandplanning.

countriesthatrespondedtotheGlAASquestionnairesinboth2009and2011havemadestrongprogress,withanadditional14and9countries(outof38commonrespondents)havingestablishedperiodicreviewprocessesthatareusedforplanninginsanitationanddrinking-water,respectively,since2009.

ethiopianministriesdefine

coordination,butimplementation

remainsweakatlowerlevelsof

government

inordertofacilitatetheintegratedimplementationofWAShinethiopia,thethreeconcernedlineministries,theformerMinistryofWaterresources,theMinistryofhealthandtheMinistryofeducation,signedaMemorandumofUnderstandingforjointcooperationin2006.TheMemorandumofUnderstandinghasfosteredrobustcoordinationattheregionallevel;however,“theWAShMoU[MemorandumofUnderstanding]hasonlyverypartiallybeentransferredtoloweradministrativelevelswiththeresultthattheimplementationoftheMoUisnotstronginlocal(Woreda)governments”(Governmentofethiopia,2011).

periodicsectorreviewsareincreasinglybeingusedinsanitation,

with85%ofcountriesreportingorganizingsuchreviewsand

onehalfofcountriesreportingthattheiroutcomesareusedfor

sanitationplanning(Figure2.5).

FIGUre2.5isthereanannualorbiennialreviewofthesector?

Sources: 2011 GLAAS country survey (74 respondents); 2009–2010 CSO and GLAAS country survey

Sanitation,annual/biennialreviewprocesses,2011

Annualorbiennialreview,2011


Drinking-water,annual/biennialreviewprocesses,2011

Isthereanannualorbiennialreviewofthesector?

19


fourcountriesrespondedthattherewasnoprocessofreviewineithersanitationordrinking-water.reviewanddecision-makingprocessesneedtobeinformedbyreliablesectorinformation.comprehensivemonitoringonaroutinebasisisapracticethatmostsurveyedcountriesareintheprocessofdeveloping.countryrespondentsindicatethatcoordinatingthemonitoringprocess,oftencarriedoutbyseveralentitiesatbothlocalandregionallevels,iscomplexandchallenging.inaddition,countryrespondentsconfirmthatwhiletheremightbeeffectiveprojectorprogrammemonitoringsystems,reliablesector-wideinformationsystemsremaintobedeveloped.

HighLevelMeetingcommitments

forbettermonitoring

robustsectormonitoring,includingthemonitoringofpreviouscommitments,wasthesubjectofmanycommitmentsattheSWAhighlevelMeetingin2010.Mauritaniacommittedtoincreasingfollow-upandtransparencyinthetechnicalandfinancialimplementationofwaterandsanitationprogrammesthroughsteeringcommittees,monitoringandevaluation,andaudits;thecountryreportsthatthisisprogressingwell.ethiopiaisworkingtoachieveitscommitmenttoimprovenationalmonitoringandinformationmanagementsystemsbycreatingaWAShinventoryandstrengtheningthenationalmonitoringandinformationsystemsforhealthandwaterresources.liberiacommittedtothedevelopmentofamonitoringandevaluationsystemfortheWAShsectorandreportsgoodprogress.

Countriesreportthatonly42%ofurban/ruralsanitationand

drinking-watersectorsareinformedbyreliableinformation

monitoringsystems(Figure2.6).

Yes and used Under development No

42%

42%

16%

FIGUre 2.6 is there a national information system used to informdecision-making?


JointSectorreviewinNepal

Nepal,wherethereareanumberofstateandnon-stateactorsworkinginWASh,helditsfirstJointSectorreviewinMay2011.TheJointSectorreviewdiscussedaspeciallycommissionedreportonthestatusofWAShinthecountry,identifiedandprioritizedthreetofourkeyactionsthataretobetakenbyalltherelevantstakeholdersintheyearaheadandagreedtoholdanotherJointSectorreviewin2012.

Source: Government of Nepal (2011)

Civilsocietyorganizationsproducejointperformancereportinethiopia

inkeepingwiththeprincipleofmutualaccountability,thecivilsocietyorganizationsoperatinginethiopiaproducedanAnnualJointreportonWAShin2010.Thisemanatedfromacommitmentmadeatamultistakeholderforumin2009thatWAShsectorcivilsocietyorganizationswouldproduceanannualperformancereportthatcouldbeincorporatedintotheNationalWAShreport,producedbytheNationalWAShcoordinationoffice.

Source: Government of Ethiopia (2011)

BurkinaFasoinformationsystemdetailsprocessandoutcomeindicators

Somecountrieshavemadegoodprogressinestablishingsector-wideinformationsystemsthatinformdecision-making.TheProgrammenationald’Approvisionnementeneaupotableetd’AssainissementofBurkinafasopublishesanannualreportondetailedprocessandoutcomeindicatorsfordrinking-waterandsanitation,bothurbanandrural.Theseincludeaccesstowaterandsanitation,proportionofwatersourcesthatarefunctioning,coverageofschools,healthcentresandpublicspaces,andgoodgovernanceindicators,suchastheproportionofdrinking-waterprovisionsandtheproportionofpublictoiletsmanagedbydelegation.

Source: Government of Burkina Faso (2011)

20

2.4 DeceNTrAlizATioN

inmostdevelopingcountries,responsibilitiesfordrinking-waterandsanitationservicesaredevolvedtothelocallevel.Whendecentralizationiseffective,itensuresthatservicesareappropriateforlocalneeds,thatoperationandmaintenancerequirementsaremetandthatfacilitiescreatedaresustainedovertime.Thisdoesnotimplythattheseservicescanoperatewithoutanysupportfromhigherlevels.effectivedecentralizationrequiresadequatetechnical,financialandhumanresourcessupporttolocalauthorities.Theprincipleofsubsidiarityapplies:theinitiativetoseeksupportshouldcomefromthelocallevelwheneverthechallengesfacedcannotbesolvedwiththetechnical,financialandhumanresourceslocallyavailable.independentregulationandqualitycontrolarefunctionsperformedatahigherlevel.

over90%ofcountriesindicatedthatservicedeliveryhasbeendecentralizedforsanitationanddrinking-watersupply;however,asshowninfigure2.7,lessthanhalfhaveundertakenfullfiscaldecentralization.

AsreportedrecentlybytheAfricanMinisters’councilonWater,(AMcoW)“themajorchallengestilltobeovercomeisthatofdecentralizationandthelocalmanagementofwatersupplyandsanitation(WSS)services.Alllocalmanagementstakeholders,includingthecontractingauthority,thecommune(localauthorities),theregionaltechnicaldepartmentsthatshouldsupportthem,aswellasthewaterusers’associationsandthelocalprivatesector,sufferfromaseverelackofhuman,technical,andfinancialresourcesthatpreventsthemfromsuccessfullyundertakingtheirnewresponsibilitiesandensuringthatinvestmentissustainable”(AMcoW,2011).

only40%ofcountriesthathavedecentralizedservicedelivery

havedecentralizedfiscalresponsibilities(Figure2.7).

41%

59%

Operational and fiscal responsibilities Only operational decentralization

FIGUre2.7Towhatdegreehasdecentralizationofservicebeencarriedoutinsanitation?Note:Asimilarproportionwasfoundfordrinking-water.

Source: 2011 GLAAS country survey (64 country respondents indicating operational decentralization of service delivery)

DecentralizationofruralwaterservicedeliveryinIndia

in2010,theindianPlanningcommissionperformedanevaluationstudyoftherajivGandhiDrinkingWaterMission,theflagshipruralwaterprogrammeinindia,andfoundthatonly8%ofthesurveyedhouseholdswerewillingtopayforoperationandmaintenance.TheyconsideredoperationandmaintenancetheresponsibilityoftheGramPanchayat(thevillagecommittee).however,overonehalfoftheGramPanchayatshaveexpressedtheirinabilitytotaketheresponsibilityofoperationandmaintenance.“inalargemajorityoftheGramPanchayats(50outof63),formalhand-overofoperationandmaintenanceoftheassetscreatedundertheMissionhasnotbeendone”(Governmentofindia,2010).

21


2.5 locAlSTAKeholDerPArTiciPATioN

consultationwith,involvementofandparticipationbylocalstakeholdersarecrucialtoensurethatpolicies,legalframeworks,monitoringreports,reforms,budgets,expenditureprioritiesandresourceplansarereviewedandfullyownedbystakeholdersandthatusersreceivetheservicesthattheywantandarewillingtopayfor.consultationcanbepromotedthroughvariousinstitutionalframeworksorprocessesatlocal,nationalandregionallevels.countrieshaveattemptedtoinstitutionalizeparticipationthroughlocalwaterandsanitationcommittees,registeredusergroupsandregulatorysystemsthatfacilitateconsumerfeedbackand“consumervoices”tobeheard.

respondentssuggestthatsomecountrieshavelaws,policiesorplansforinforming,consultingwithandsupportingparticipationbycitizens,butthesefrequentlyarenotspecifictosanitationanddrinking-water.

Asfigure2.8suggests,procedurestosupportlocalstakeholderparticipationinplanning,budgetingandimplementingprogrammeshavenotbeensystematicallyappliedinamajorityofrespondingcountries.over70%ofcountriesindicatedthateithertherearenoproceduresforlocalstakeholderparticipationorproceduresarenotsystematicallyimplemented.respondentssuggestthatthemechanismsthatdopromotepublicengagementonsanitationanddrinking-waterspecificallyarenotuniformlyimplemented,althoughthetrendisimproving.Strengtheningparticipatoryprocesseswillensurethatplannedinvestmentsareappropriateforthecommunity,leadtogreaterlocalsupportofdecision-makingprocesses,outputsandrecurrentinvestmentneeds,andimprovesustainabilityofsanitationandwaterservices.comparingthetrendsfordrinking-waterandsanitation,itseemsthatpursuingcommunityengagementintheplanningandimplementationprocessesfordrinking-watermaybeeithereasierormoreattractivethandoingthesameforsanitation.

Localstakeholderparticipationinplanning,budgetingand

implementingprogrammeshasimprovedsince2009,withmore

countrieshavingestablishedsystematicprocessestofacilitate

stakeholderparticipation,butsystematicapplicationisstilllow

overall(Figure2.8).

Drinking-water,proceduresforstakeholderparticipation,2011

Sanitation,proceduresforstakeholderparticipation,2011


Arethereproceduresforinforming,consulting&supportingparticipation

byindividuals/community?

FIGUre 2.8 Are there procedures for informing, consulting and supportingparticipationbyindividuals/community?

Sources: 2011 GLAAS country survey (74 respondents); 2009–2010 CSO and GLAAS country survey

Stakeholderparticipation,2011

22

2.6 iMPlicATioNSforThefUTUre

ThissectionshowsthattheWAShsectorisbecomingmorecoherent,withgreaterfocusonsanitation,andthatprogressisbeingmadeonmanyofthe“easier”improvements,suchasthoserelatedtodemonstratingcommitmentthroughthesettingoftargets,progressivelyadoptingWAShpoliciesandimprovingcoordination,includingbyengagingmorestakeholdersinplanning.however,thissectionalsoshowslimitedprogressonmanyofthemore“difficult”issues,suchassuccessfullyimplementingpolicies,developingeffectiveandcoherentplanningandmonitoringsystems,andeffectivelysupportingthelocallevelinthedeliveryofservices.

Tacklingthedifficultissueswillrequirecontinuedstrengthandclarityofleadership,withdefinedrolesandresponsibilities.Planningprocessescouldbedramaticallyimprovediftheycouldrespondtodatamadeavailablethroughmanagementinformationsystems.inthisregard,WAShservicedeliverycouldundoubtedlybenefitfromastrengthened“wholesystems”approach,whichwouldentailinclusionofWAShincoregovernmentsystemsforplanningandresourceallocation.

23

2 Financing3

KeyMeSSAGeS

•centralgovernmentcontinuestobeamajorsourceoffundingforwaterandsanitation,althoughmanylow-andmiddle-incomecountriesremaindependentonexternalaid.externalfundingforWAShamountedtomorethan1%ofGDPinsevendevelopingcountries.

•existinglevelsofhouseholdandprivateinvestmentarepoorlyunderstood,butavailabledatasuggestthattheyaresignificantsourcesoffinancingandcanmakemajorcontributionstosupportingoperationandmaintenanceofservices.

•Themajorityofcountriesreportthatsectorinformationsystemsforfinancialplanningandreportingareinadequate.

•Datasuggestthatfundsspentonoperationandmaintenanceareinsufficient.Amajorityofcountriesindicatethatruralwatersupplyprogrammesarenoteffectiveduetolackoffunding,whereasonethirdofcountriesreportthaturbanutilitieslackrevenuetofundoperationandmaintenance.

•fundinglevelsforWASharereportedtoremaininsufficient,especiallyforsanitation.Drinking-watercontinuestoabsorbthemajorityofWAShfunding,evenincountrieswitharelativelyhighdrinking-watersupplycoverageandrelativelylowsanitationcoverage.

•Mostcountriescouldnotreporthowmuchtheyspendonhygiene,andforthosethatdid,itwasonlyabout2%ofWAShexpenditure.

•ThebreakdownofexpenditureforWAShinruralandurbanareasappearsonlyweaklycorrelatedwithneeds.

•longprocurementprocessesandheavyadministrativeburdensmeanthatmanycountriesstruggletoefficientlydisbursethelimitedfundsthatarecommitted.Absorptionofdomesticcapitalcommitmentsishigherthanthatofdonorcommitments,butappearstobedeclining.

•TostrengthenthecollectionofWAShfinancialinformation,aharmonizedmethodofdatamonitoringisneeded(onesuchmethodisproposedinAnnexB).

3 fiNANciNG

extendingandsustainingwaterandsanitationprogrammesandinfrastructurerequire,amongotherthings,adequatefundingandsoundfinancialmanagement.Theseincludeinvestmentplanning,securingfundsforproposedbudgets,makingefficientandtimelydisbursementsandmonitoringoutcomes.PreviousanalyseshaveshownthatglobalspendingisfarlessthanwhatisrequiredtomeettheMDGs(hutton&Bartram,2008),andanalysisofregionalspendinginAfrica,forexample,showsthatexpenditureisonequarterofwhatisrequiredfordrinking-waterservicesalone(foster&Briceño-Garmendia,2010).inadequatefundingforsanitationanddrinking-waterinfrastructureandforitslong-termoperationandmaintenancewasthemostfrequentlycitedobstaclebyGlAASsurveyrespondents.

3.1 SoUrceSoffUNDiNGANDhoWMUchiSBeiNGSPeNT

fundingforwaterandsanitationisrequiredfornewcapitalinvestmentandforrecurrentexpensesofoperations(operationalexpenditure),capitalmaintenance(long-termrenewalsandrehabilitation,usuallyrecoveredasanannual“depreciation”charge)andanycostsofcapital(interestpaymentsonloansandanyrequireddividendreturnstoequityproviders).fundingforthesewaterandsanitationcostscancomefromthreemainsources,commonlyreferredtoasthe“3Ts”ofWASh:“tariffs”,whicharefundscontributedbyusersofWAShservices(andalsoincludingthevalueoflabourandmaterialinvestmentsofhouseholdsmanagingtheirownwatersupply);“taxes”,whichrefertofundsoriginatingfromdomestictaxesthatarechannelledtothesectorbythecentral,regionalandlocalgovernments;and“transfers”,whichrefertofundsfrominternationaldonorsandcharitablefoundations.Transfersincludegrantsandconcessionalloans,suchasthosegivenbytheWorldBank,whichincludeagrantelementintheformofasubsidizedinterestrateoragraceperiod.The“3Ts”arediscussedinAnnexB,aspecialGlAASthematicsectionthatreviewsthestateoftheevidenceonWAShfinancialflowsandproposesamethodologytoencourageandharmonizecountrymonitoring.

ofthe74countriesparticipatinginGlAAS, providinghalfofthereportedUS$19.8only17submitteddataonsourcesof billioninfinancialflows(figure3.1).funding,andjust4wereabletoprovidefiguresonthecontributionsmadeby Thesecondanalysiscoveredallofthehouseholdthroughthepaymentof “3T”sourcesoffunding—tariffsfromtariffs.Table3.1showsthesehousehold households,taxesandtransfers—butcontributions,rangingfrom30%to61%of

wasnecessarilylimitedtoonlythefourtotalreportedsanitationanddrinking-watercountriesthatwereabletosubmitthisfundingfromallsources,combiningcapitalfulldataset.Thisanalysisindicatesthatinvestmentandrecurrentcosts.Thesehouseholdcontributionsaccountforalimiteddataconfirmfindingsinprevious

reports(WorldBank,2008;oecD,2009a) significantshareofinvestmentinthesefourindicatingthathouseholdcontributions countries,accountingfor44%offunding,compriseasignificantportionoffinance ascomparedwithnationalgovernment,forsanitationanddrinking-water. whichcontributedonly18%ofthereported

US$10.1billionwithinwaterandsanitationTwoanalyseswereperformedtodetermine finance(Table3.1).relativecontributionsoffinancingfromvarioussourcestosanitationanddrinking-

Thesedataconfirmtheimportanceofwater.Thefirstanalysiswasconfined

financialcontributionsfromhouseholdtoassessingthefinancialdataontaxestariffsandself-supply,particularlyandtransfersfromthe17respondentforrecurrentexpenditureandcapitalcountries.Thisanalysisshowsthatcentral

governmentremainsthemajorsource expenditurefornon-networkedservices,ofinvestmentinsanitationanddrinking- andtheneedtomonitortheseinthefuture.waterinmostofthecountriessurveyed,

HouseholdfundingforWASH,throughtariffsandself-supply,is

generallynotmonitored.Limiteddatasuggestthathousehold

fundingcontributesasignificantshareoftheoverallWASH

financing(table3.1).

tABLe3.1contributionofhouseholdtariffs(andcostsassociatedwithself-supply)

Country Contributionofhouseholdtariffsto

totalWASHfunding

Contributionofhouseholdtariffs

tototal

operationalexpenditure1

Iran(IslamicRepublicof) 61% 100%

Bangladesh 36% 87%

Thailand 32% Datanotavailable

Lesotho 30% 82%

1 Progressivelyincreasingtheproportionofoperationalexpenditurefundedthroughhouseholdtariffsto100%allowsforsustainablerecoveryofcostsassociatedwithoperationandminormaintenance.overtime,thecombinationoftariffsandtaxationneedstofundoperationalexpenditurepluslong-termcapitalmaintenanceandanyinterestcostsofloans.

Source: 2011 GLAAS country survey

Centralgovernmentbudgetallocationanddisbursementarethe

majorsourceoffinancingforrespondentcountries.Household

contributionsarepoorlyunderstood,butcouldbeequally,ifnot

moresignificant(Figure3.1).

FIGUre3.1Sourcesoffinancingforsanitationanddrinking-water


47%

7% Central government Regional government Local government External donors Commerical lending Other

44%

18%

Tariff and self-supply Central government Regional government Local government External donors Commercial lending Other

Sourcesoffundingforsanitationanddrinking-water,excludinghouseholds(17countries,US$19.8billion)

Sourcesoffundingforsanitationanddrinking-water,inclusiveofhouseholdtariffandself-supply(4countries,US$10.1billion)

26

exterNALSUpport

inmanyrespondentcountries,externaldevelopmentaidremainsamajorsourceoffinancingforsanitationanddrinking-water(Table3.2),mostlikelyforcapitalinvestment.inthesecases,strongcoordinationamongdonorsandalignmentwithWAShinvestmentprioritiesareessential.GlAASdataindicatethatcoordinationmechanismsaremorelikelytobeinplaceforcountrieswithmultipledonors.

Asdiscussedfurtherinsection6,overUS$8.9billionindevelopmentaidwasdirectedtosanitationanddrinking-water

in2009.Majorrecipientcountriesintermsofaidamountsincludechina,india,indonesia,Peru,Turkey,theUnitedrepublicofTanzaniaandvietNamcomprisingoverUS$1.5billioninannualsanitationandwateraid(2008–2009average).oDAtomiddle-incomecountriessuchaschina1,indiaandTurkeyisprimarilycomposedofloansthathaveagrantelementofatleast25%.Sanitationanddrinking-wateraidcomprisedover1%ofGDPforsevencountries,asshowninTable3.3b.

Section6providesfurtherdetailsonexternalfinancialsupportforWASh.

externalsupportcanbeamajorsourceoffinancingforsomecountries,highlightingtheneedfor

strongdonorcoordinationandalignmentwithsectorinvestmentpriorities(table3.2).

tABLe3.2respondentcountriesreportinggreaterthan25%donorfinance

Country Donorfinance(as%of

governmentfinance)

Majordonors2 Numberofdonors Sectorwideapproachor

othersectoralframework

implementedforwaterand

sanitation

Investmentplan

implemented

Madagascar 26 WorldBank,AfricanDevelopmentBank,EU 12 Yes Yes

Honduras 39 Spain,Japan,WorldBank 14 Beingdefined Underpreparation

Kenya 41 Germany,WorldBank,France 24 Yes Underpreparation

Afghanistan 46 WorldBank,USA,Germany 13 Beingdefined Ruralwatersupply

Yemen 46 WorldBank,Germany,Netherlands 12 Yes Yes

Bangladesh 63 AsianDevelopmentBank,Japan,WorldBank 19 Drinking-wateronly Yes

Lesotho 67 Ireland,WorldBank,USA 9 Drinking-wateronly Urbanruralsupply

EU,EuropeanUnion;USA,UnitedStatesofAmerica

Sources: 2011 GLAAS country survey; OECD (2012)

ManydevelopingcountriesremaindependentonexternalaidforWASH.Itaccountsformorethan

1%ofGDpinsevendevelopingcountries.onlyoneAfricancountryisatopWASHaidrecipient

(table3.3).

tABLe3.3Topaidrecipientsforsanitationandwateraidin2008–2009

a)TopWAShaidrecipientsbydollaramount(oDA) b)TopWAShaidrecipientsby%ofGDP(oDA)

Country Averagedonordisbursementfor

sanitationanddrinkingwater,

2008 2009(US$million)

Donorfinancingfor

WASH(as%ofGDP)

China 296 0.01

VietNam 274 0.29

India 252 0.02

Turkey 167 0.03

UnitedRepublicofTanzania 161 0.77

Indonesia 157 0.03

Peru 139 0.11

Country Averagedonordisbursementfor

sanitationanddrinkingwater,

2008 2009(US$million)

Donorfinancingfor

WASH(as%ofGDP)

Timor-Leste 11 1.94

Samoa 9 1.80

Burundi 17 1.31

Nicaragua 74 1.20

Lesotho 21 1.18

Liberia 10 1.15

Haiti 69 1.05

Sources: World Bank (2011); OECD (2012)

1 inadditiontoanaverageannualaidofUS$296million,chinareceivedanaverageannualamountofUS$332millioninnon-concessionallendingforwaterandsanitationin2008–2009.2 DataderivedfromoecDwiththeexceptionofBangladesh

27

3 fiNANciNG

3.2AllocATioNoffUNDiNG:WhATiSMoNeyBeiNGSPeNToN?

onemeasureusedtogaugepoliticalcommitmentandpriorityistheamountofpublicfundsexpendedinsanitationanddrinking-water,assessedasatrendorcomparedwithspendinginothersectors.forexample,the2008eThekwiniDeclarationsignatoriessetatargetofspending0.5%ofGDPonsanitation.inthe2011GlAAScountrysurvey,alimitednumber(13outof74)ofrespondentcountriesreportedtotalsanitationanddrinking-waterexpendituresonlyfromgovernmentandexternalfundingsources(multilateralandbilateraldonorsandcommerciallenders).forrespondingcountrieswithsufficientdata,theseexpenditureswerecomparedwithGDP.Amedianannualexpenditureforsanitationanddrinking-water,coveringtaxes(domesticgovernment)andtransfers(donors),butexcludinghouseholdexpenditures,was0.73%ofGDP.

Increasingbudgetallocations

tosanitationanddrinking-water

Alargeproportionofthecommitmentsmadeatthe2010SWAhighlevelMeetingrelatedtoincreasingtheallocationstowaterandsanitationfromdevelopingcountries’ownbudgets.Morethan20specificcommitmentsweremadeby12countriesinthisrespect.AfewstandoutbecausetheyweresignificantlyinfluencedbythehighlevelMeetingprocessandbecausethecountriesreporteitherhavingfulfilledthecommitmentorthattheyaremakinggoodprogress.Ghanamadeprogressonincreasingitsallocationsforwaterandsanitationinits2011budget,creatingabudgetlineinwhichspecificallocationsweremadeforactivitiesrelatedtothecountry’s2010highlevelMeetingcommitments.TimorlestereportsprogressonincreasinggovernmentinvestmentintheWASh,goingfromUS$2millionin2009toUS$11.2millionin2010andthentoUS$35millionin2011.

Governmentexpenditure(fromtaxesandtransfers)on

sanitationanddrinking-waterrangedfrom0.37%to3.5%of

GDp(Figure3.2).

Lesotho Honduras

Kenya Egypt

Thailand Nepal

Yemen Iran (Islamic Republic of)

Panama Colombia

Madagascar Bangladesh

Pakistan

3.51 1.16

1.11 0.92

0.80 0.80

0.73 0.69

0.46 0.45 0.42

0.38 0.37

0.0 1.0 2.0 3.0 4.0 Government-coordinated expenditure on WASH as a % of GDP

FIGUre3.2Publicspending(fromfundsobtainedthroughdomestictaxesandexternal transfers) on sanitation and drinking-water as a percentage of GDP(2010data)

Note:Notallcountriesreportedcontributionsfromregionalandlocalgovernments(i.e.egypt,Kenyaandyemen).

Sources: 2011 GLAAS country survey; World Bank (2012)

Summarydatafromrespondentcountriesindicatethatmedian

governmentexpenditureonsanitationanddrinking-wateris

onethirdofthatforhealthandonesixthofthatforeducation

(table3.4).

tABLe3.4Governmentexpenditureonhealth,educationandWASh

Country Governmentexpenditureon

health(%ofGDP)1

Governmentexpenditureon

education(%ofGDP)

Governmentexpenditureon

sanitationanddrinkingwater

(%ofGDP)

Bangladesh 1.1 2.42 0.4

Colombia 5.4 4.7 0.5

Egypt3 1.9 3.82 0.9

Honduras 4.6 — 1.2

India 1.3 — 0.2

Iran(Islamic

Republicof)

2.3 4.7 0.7

Kenya3 2.1 6.91 1.1

Lesotho 8.4 — 3.5

Madagascar 2.7 3.2 0.4

Nepal 1.7 4.7 0.8

Panama 6.1 3.82 0.5

Thailand 3.7 4.1 0.8

Yemen3 1.4 — 0.7

Minimum 1.1 3.2 0.2

Maximum 8.4 14.0 3.5

Median 2.3 5.5 0.7

1 2010data.2 2008data.3 Notallcountriesreportedcontributionsfromregionalandlocalgovernments.

Sources: 2011 GLAAS country survey; UNESCO (2012); WHO (2012); World Bank (2012)

28

CApItALexpeNDItUre

CoMpAreDWItHreCUrreNt

operAtIoNANDMAINteNANCe

expeNDItUre

Asnotedpreviously,respondentcountriesindicatethatthereareinsufficientresourcestoattainMDGandcountrytargets.Assuch,itisimportantthatlimitedfinancialresourcesbecarefullybalancedbetweennewinvestmenttoprovideservicetotheunservedandrecurrentexpendituretosustainexistinginvestments.Ascoveragelevelsincrease,capitalassetsincrease,asdoestheneedforrevenuetocoverrecurrentcostsforhumanresourcesandforpartsandsuppliestooperateandensurethelong-termmaintenanceofexistingsystems.however,asshowninfigure3.3a,31%ofWAShfundsexpendedin11respondentcountriesweredirectedtowardsoperationandmaintenance.Giventhatmostcountriesreportthatoperationandmaintenanceprogrammesforruralwatersupplyareinadequateandthaturbanutilitiesfrequentlylacksufficientrevenuetocoveroperationandmaintenancecosts(seesection3.7),thisraisesquestionsastowhetherexistingfundingforoperationandmaintenanceissufficienttosustainWAShsystems.Moreover,ascitedin

thepreviousGlAASreport,75%oftheestimatedfinancingneedsforsanitationanddrinking-waterconsistofrecurrentoperationalandmaintenancecostsforexistingservices(hutton&Bartram,2008).

SANItAtIoNCoMpAreDWItH

DrINKING-WAterexpeNDItUre

Areviewofexpenditurebreakdownscanindicatepotentialissuesofhowfinancialresourcesaretargeted.The2010GlAASreportindicatedthatsanitationcomprisesapproximatelyonefifthofthefinancingdevotedtosanitationanddrinking-watercombined.The13countriesthatwereabletoprovidedataforthisreportindicatedthat27%oftotalWAShfundswerespentonsanitation(figure3.3b).Accordingtoglobalestimates,thesesame13countrieshaveapproximately990millionpeoplewhodonothaveaccesstoimprovedsanitation,comparedwith190millionpeoplewhodonothaveaccesstoanimprovedsourceofdrinking-water.inotherwords,unimprovedsanitation,whichrepresents84%ofthetotalWAShunservedinthesecountries,receivesonly27%ofthetotalWAShfunding.

UrBANCoMpAreDWItHrUrAL

expeNDItUre

Similarly,theurbanversusruralpiechartinfigure3.3cindicatesthatfor10respondentcountries,75%ofexpenditureistargetedaturbansettings.however,thesesame10countrieshaveapproximately44millionand129millioninurbanandruralpopulations,respectively,whodonothaveaccesstoimprovedsanitationordrinking-waterfromanimprovedsource.Peoplewithoutaccesstoimprovedsanitationordrinking-waterfromanimprovedsourceinruralareascomprise75%oftheunserved,butbenefitfromonly25%oftheexpendituresforsanitationanddrinking-water.

HyGIeNeproMotIoN

expenditureforhygieneeducationandpromotionwasprovidedbysevenrespondentcountries.Theamountspentonhygieneeducationandpromotionprogrammesacrosstheserespondentsrangedfrom0.3%to8.2%oftotalreportedpublicexpenditureinWASh.Afghanistan,BangladeshandKenyaeachreportedover4%oftotalWAShexpenditureforhygieneeducationandpromotion.

Limitedsanitationanddrinking-waterexpendituredataprecludemakingglobalstatements

concerningfinancialallocationsderivedfromtaxesandtransfers,buthintathowexpenditures

aretargeted(Figure3.3).

a)capitalversusoperationandmaintenanceexpenditure(11countries,US$12.6billion)

b)Sanitationversusdrinking-waterexpenditure(13countries,US$12.7billion)

c)Urbanversusruralexpenditure(10countries,US$7.6billion)d)hygienepromotionversusotherWAShexpenditure

(7countries,US$5.1billion)

FIGUre3.3Breakdownsofexpendituresacrossdifferentcategories


69%

31% Capital expenditure

Operation and maintenance expenditure

27%

73%

Sanitation

Drinking-water

Urban

Rural75%

25% Sanitation and drinking-water

Hygiene

2%

98%

29

3 fiNANciNG

Fundingoperationand

maintenanceinruralwater

supply

fundingandtechnicalsupportforoperationandmaintenanceofruralwatersupplyareclearlynotadequate:47outof70countriesreportthatmaintenanceprogrammesdonotexistorarelimitedineffectivenessorscope.GlAASfindingsindicateavarietyofcontributingfactors,inc

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