2012report

UN-Water Global Analysis and AssessmentofSanitationandDrinking-Water

ThechAlleNGeofexTeNDiNGANDSUSTAiNiNGServiceS

Includes annex

on trackIng

natIonal fInancIal

flows to sanItatIon

hygIene and

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

1Sanitation - economics 2Water supply 3Drinking water - supply and distribution 4international cooperation 5National health programs 6Program evaluation 6Millennium development goals iWorld health organization iiUN-Water

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

All rights reserved Publications of the World health organization are available on the Who web site (wwwwhoint) or can be purchased from Who Press World health organization 20 Avenue Appia 1211 Geneva 27 Switzerland (tel +41 22 791 3264 fax +41 22 791 4857 e-mail bookorderswhoint) requests for permission to reproduce or translate Who publications ndash whether for sale or for noncommercial distribution ndash should be addressed to Who Press through the Who web site (httpwwwwhointaboutlicensingcopyright_formenindex html) The designations employed and the presentation of the material in this publication do not imply the expression of any opinion whatsoever on the part of the World health organization concerning the legal status of any country territory city or area or of its authorities or concerning the delimitation of its frontiers or boundaries Dotted lines on maps represent approximate border lines for which there may not yet be full agreement

The mention of specific companies or of certain manufacturersrsquo products does not imply that they are endorsed or recommended by the World health organization in preference to others of a similar nature that are not mentioned errors and omissions excepted the names of proprietary products are distinguished by initial capital letters

All reasonable precautions have been taken by the World health organization to verify the information contained in this publication however the published material is being distributed without warranty of any kind either expressed or implied The responsibility for the interpretation and use of the material lies with the reader in no event shall the World health organization be liable for damages arising from its use

Printed in Switzerland

Design and layout wwwpaprika-annecycom

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

1Sanitation - economics 2Water supply 3Drinking water - supply and distribution 4international cooperation 5National health programs 6Program evaluation 6Millennium development goals iWorld health organization iiUN-Water

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

All rights reserved Publications of the World health organization are available on the Who web site (wwwwhoint) or can be purchased from Who Press World health organization 20 Avenue Appia 1211 Geneva 27 Switzerland (tel +41 22 791 3264 fax +41 22 791 4857 e-mail bookorderswhoint) requests for permission to reproduce or translate Who publications ndash whether for sale or for noncommercial distribution ndash should be addressed to Who Press through the Who web site (httpwwwwhointaboutlicensingcopyright_formenindex html) The designations employed and the presentation of the material in this publication do not imply the expression of any opinion whatsoever on the part of the World health organization concerning the legal status of any country territory city or area or of its authorities or concerning the delimitation of its frontiers or boundaries Dotted lines on maps represent approximate border lines for which there may not yet be full agreement

The mention of specific companies or of certain manufacturersrsquo products does not imply that they are endorsed or recommended by the World health organization in preference to others of a similar nature that are not mentioned errors and omissions excepted the names of proprietary products are distinguished by initial capital letters

All reasonable precautions have been taken by the World health organization to verify the information contained in this publication however the published material is being distributed without warranty of any kind either expressed or implied The responsibility for the interpretation and use of the material lies with the reader in no event shall the World health organization be liable for damages arising from its use

Printed in Switzerland

Design and layout wwwpaprika-annecycom

2012report

UN-Water Global Analysis and AssessmentofSanitationandDrinking-Water

ThechAlleNGeofexTeNDiNGANDSUSTAiNiNGServiceS

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

UNshyWater monitors and reports on the state utilization and management of the worldrsquos freshwater resources and on the situation of sanitation through a series of interconnected and complementary publications that together provide a comprehenshysive picture and individually provide a more inshydepth 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 UNshyWater 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 UNshyWater It provides a global update on the policy frameworks institutional arrangeshyments human resource base and international and national finance streams in support of sanitation and drinkingshywater It is a substantive input into the activities of Sanitation and Water for All (SWA)

The progress report of the WHOUNICEF Joint Monitoring Programme for Water Supply and Sanitation (JMP) is produced every two years The JMP is affilishyated with UNshyWater 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 drinkingshywater 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 proshyduced by UNshyWater 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 wwwunwaterorgdocumentshtml

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)

ForewordWiththe2015targetdatefortheMillenniumDevelopmentGoals(MDG)clearlyonthehorizonthis2012editionoftheUN-WaterGlobalAnalysisandAssessmentofSanitationandDrinking-Water(GlAAS)contributesimportantlytotheimplementationoftheUN-Waterstrategyofdeliveringstrongmessagesonwaterthathelpshapethepost-2015sustainabledevelopmentlandscapeitspublicationistimelyinthelead-uptothenextkeyeventinthisprocesstherio+20UnitedNationsconferenceonSustainableDevelopment

UN-WatertheUnitedNationsinter-agencycoordinationmechanismforallfreshwaterndashrelatedissueshasdrinking-waterandsanitationamongitsfocusareasWhileprogresstowardstheMillenniumDevelopmentGoal(MDG)target7cisregularlymonitoredbytheWhoUNicefJointMonitoringProgrammeforWaterSupplyandSanitation(JMP)theUN-WaterGlAASbuildsontheseresultsandanalysestheunderlyingreasonsforsuccessmdashorlackofit

initsrelativelyshortlifeUN-WaterGlAAShasearneditsplaceinthewatermonitoringandreportinglandscapeandisincreasinglyusedasthebasisformoreinformeddecision-makingThiscamefromtherecognitionthatthescarcityofinformationonnationalsanitationanddrinking-waterndashrelatedpoliciesfinancingandhumanresourceswasamajorbarriertoprogressitalsoresultsfromthedearthofexactknowledgeconcerningthestatusofandtrendsindevelopmentassistance

inearlyMarch2012theJMPannouncedthatsignificantprogressonimprovedaccesstodrinking-waterhadbeenachievedThisencouragingnewscomeshoweverwithamessageofcautionmanyarestillunserveddisparitiesaregreatandthemonitoringofkeyattributessuchaswaterqualityremainschallengingMoreovertheestimated780

millionpeoplestillunservedareincreasinglyhardtoreachandtheMDGtargetforsanitationisnotontracktherearecurrently25billionpeoplewithnoaccesstoimprovedsanitation

This2012UN-WaterGlAASprovidesfurtherreasonforvigilancemdashresourcesareneithertargetednorapparentlysufficienttosustainroutineoperationandmaintenancerequirementsThusthereisaseriousriskofslippingbackwardsongainsalreadymadeTheanalysisemergingfromUN-WaterGlAASalsohelpstoidentifythereasonsbehindthedisparitiesinaccesstosanitationanddrinking-wateramongdifferentregionscommunitiesandincomegroupsthathavebeenidentifiedbytheJMP

BasedontheevidenceemergingfromUN-WaterGlAASthereareanumberofachievableimmediatestepsthatcountriesexternalsupportagenciesandotherstakeholderscanundertaketocontinueextendingsanitationanddrinking-waterprovisioningwhilesustainingservicesalreadyinplaceTheseimmediatestepsarehighlightedinthisreporttogetherwithanumberofareasthatwarrantin-depthstudiesachallengethatUN-WaterGlAASisreadytotakeup

MichelJarraudchairUN-Water

IV

AcknowledgementsUN-WaterandWhogratefullyacknowledgethefinancial ThepreparationofthisreportinvolvedcontributionsfromsupportprovidedbytheDepartmentforinternational hundredsofindividualsrepresentingallregionsoftheworldDevelopmentUnitedKingdomtheSwissAgencyfor UN-WaterandWhowouldliketoextendtheirgratitudetoallDevelopmentandcooperationtheDirectorate-General thoseindividualsandorganizationsthatcontributedtotheforinternationalcooperationtheNetherlandsandthe developmentofthisreportmdashespeciallythoseindividualswhoGovernmentofKuwait submittedinformationfromcountriesandexternalsupport

agenciesAfulllistingofindividualswhocontributedtothisreportandtheiraffiliationsisgiveninAnnexG

Acronymsandabbreviations3Ts tariffstaxesandtransfersADB AsianDevelopmentBankADf AsianDevelopmentfundAsianDevelopmentBankAfD AgencefranccedilaisedeDeacuteveloppementAfDB AfricanDevelopmentBankAfDf AfricanDevelopmentfundAfricanDevelopmentBankAfeSD ArabfundforeconomicandSocialDevelopmentAMcoW AfricanMinistersrsquocouncilonWatercSo countryStatusoverview(WorldBankWaterandSanitationProgram)eBrD europeanBankforreconstructionandDevelopmenteSA externalsupportagencyeU europeanUnionGDP grossdomesticproductGlAAS GlobalAnalysisandAssessmentofSanitationandDrinking-water(formerlyGlobalAnnualAssessmentof

SanitationandDrinking-water)GoAlWaSh GovernanceAdvocacyandleadershipforWaterSanitationandhygiene(UnitedNationsDevelopmentProgramme)hivAiDS humanimmunodeficiencyvirusacquiredimmunodeficiencysyndromehr humanresourcesiDA internationalDevelopmentAssociationWorldBankiDB inter-AmericanDevelopmentBankifrc internationalfederationofredcrossandredcrescentSocietiesiSic internationalStandardindustrialclassificationJMP WhoUNicefJointMonitoringProgrammeforWaterSupplyandSanitationlDc leastdevelopedcountryMDG MillenniumDevelopmentGoalNDP nationaldevelopmentplanNGo nongovernmentalorganizationoampM operationandmaintenanceoDA officialdevelopmentassistanceoecD organisationforeconomicco-operationandDevelopmentoecD-crS oecDcreditorreportingSystemofiD oPecfundforinternationalDevelopmentoPec organizationofPetroleumexportingcountriesPrSP povertyreductionstrategypaperSeeA-Water SystemofenvironmentaleconomicAccountingforWaterSWA SanitationandWaterforAllTicADiv fourthTokyointernationalconferenceonAfricanDevelopmentUN UnitedNationsUNDP UnitedNationsDevelopmentProgrammeUNicef UnitedNationschildrenrsquosfundUSA UnitedStatesofAmericaWASh watersanitationandhygieneWho WorldhealthorganizationWSP-Africa WaterandSanitationProgramWorldBankWSP watersafetyplan

V

31 Sourcesoffundingandhowmuchisbeingspent2632 Allocationoffundingwhatismoneybeingspenton2833 Useofcommittedfunds 3035 WAShinvestmentprogrammesdocountriesknowhowmuchtheywillneedtospendinfuture3436 Adequacyoffinance3538 implicationsforthefuture 36

4 humanresources37

41 Adequacyofhumanresourcedata3842 Sufficiencyofstaffing3943 Staffincentivesandcontinuingeducation4044 Gender4045 Barriersimpedingdevelopmentofhumanresources4046 humanresourceplanning4147 implicationsforthefuture 42

5 equity43

51 humanrightstowaterandsanitation4453 Periodicassessmentofequitypolicies 4854 implicationsforthefuture 48

tableofcontentsforewordiv

Acknowledgementsv

Acronymsandabbreviationsv

executivesummary3

context6

1 Politicalwillandaccountability9

2 Policiesplanningandcoordination13

21 Policyadoption1422 Planningandcoordination1723 reviewsmonitoringandreporting1924 Decentralization2125 localstakeholderparticipation2226 implicationsforthefuture 23

3 financing25

1

6 externalsupport49

61 Targetingofaidsectors 5062 externalfinancingflows5163 Prioritizingcountriesandregions5464 Aidallocationbreakdowns5665 Alignmentandcoordination5966 futuretargets6167 fundingchannels6168 implicationsforthefuture 62

7 Specialfocusonwatersanitationandhygieneinschoolsandhealth-carefacilities63

71 Sanitationandhygieneinschools6472 Watersanitationandhygieneinhealth-carefacilities6673 implicationsforthefuture 67

references68

AnnexAMethodology71

AnnexBTrackingnationalfinancialflowstoWASh74

AnnexcGlossary82

AnnexDSummaryofresponsesto2011GlAAScountrysurvey85

AnnexeSummaryofresponsesto2011GlAASexternalsupportagencysurvey95

AnnexfSupplementaryinformationondonorcountrycoordination97

AnnexGlistofcontributors99

2

executivesummarytheobjectiveoftheUN-WaterGlobalAnalysisandAssessmentofSanitationandDrinking-Water(GLAAS)istomonitortheinputsrequiredtoextendandsustainwatersanitationandhygiene(WASH)systemsandservicesThisincludesthecomponentsoftheldquoenablingenvironmentrdquodocumentinggovernmentpolicyandinstitutionalframeworksthevolumesourcesandtargetingofinvestmentthesufficiencyofhumanresourcesprioritiesandgapswithrespecttoexternalassistanceandtheinfluenceofthesefactorsonperformanceAmorechallengingsecondarygoalistoanalysethefactorsassociatedwithprogressorlackthereofinordertoidentifydriversandbottleneckstoidentifyknowledgegapstoassessstrengthsandweaknessestoidentifychallengesprioritiesandsuccessesandtofacilitatebenchmarkingacrosscountries

Thissecond1UN-WaterGlAASreportpresentsdatareceivedfrom74developingcountriescoveringalltheMillenniumDevelopmentGoal(MDG)regionsandfrom24externalsupportagencies(eSAs)representingapproximately90ofofficialdevelopmentassistance(oDA)forsanitationanddrinking-water

TherehavebeenremarkablegainsinWAShThe2012progressreportoftheWorldhealthorganization(Who)UnitedNationschildrenrsquosfund(UNicef)JointMonitoringProgrammeforWaterSupplyandSanitation(JMP)announcedthattheMDGtargetfordrinking-waterwasmetin2010theproportionofpeoplewithoutaccesstoimproveddrinking-watersourceshadbeenmorethanhalved(from24to11)since1990howevertheprogressreportalsonotedthatthebenefitsareveryunevenlydistributed

MajorgainshavebeenmadewiththeMDGdrinking-watertargetbeingmetin2010mdashbutchallengesremaintoreducedisparitiesandtoincreasesanitationcoverage

forexampleonlylimitedprogressisevidentintheincreaseofaccesstodrinking-wateramongthepoorestinsub-SaharanAfricaortosanitationamongthepoorestinSouthAsiaMorethanthreequartersofthosewholackaccesstosafedrinking-waterandbasicsanitationliveinruralareas

Thefactthatbetween1990and2010over2billionpeoplegainedaccesstoimprovedwatersourcesand18billionpeoplegainedaccesstoimprovedsanitationfacilitiesdemonstrateswhatcountriescanachievewithsustainedcommitmentadequateresourcesandeffectiveimplementationapproachesTheseresultsalsopointtotheachievementsmadebydevelopmentpartnersthathaveprovidedexternalsupportring-fencingofbilateralsupportforwaterandsanitationatcurrenttimesoffinancialcrisisstemsdirectlyfromthehigh-levelcommitmentsmadein

ThefirstGlAASreportwaspublishedin2010afteraldquoproofofconceptrdquowaspilotedin2008

theMillenniumDeclarationPoliticalwillandcommitmenttoactionevidence-basedplanningandpolicy-makingandsufficienthumanandfinancialresourcesarehoweverkeytosustainedsuccess

Asthisreportshowsinmanycountriespoliciesandprogrammeshavefartoolittleemphasisonensuringadequatefinancialandhumanresourcestobothsustaintheexistinginfrastructureandexpandaccesstosanitationdrinking-waterandhygieneservicesThedangerofslippageagainsttheMDGtargetisarealone

Focusingoneffectivelymanagingassetstosustainservicescanbeasimportantasfocusingonnewinfrastructure

The2012GlAASreportdrawsonthelatestinformationincludingdatafromtheorganisationforeconomicco-operationandDevelopment(oecD)creditorreportingSystem(crS)anddatagatheredthroughtwosetsofquestionnairesoneforlow-andmiddle-incomecountriesandoneforeSAsThesequestionnaireshaveallowedcountriesanddonorstoscoretheirprogressandWAShinputsaccordingtoobjectivecriteriaWhiletheresponsesarebasedonconsensusfrommultiplestakeholdersandaresubjecttovalidationitisacknowledgedthattheaccuracyofresponseswillshowvariabilityThustosomeextenttheresponsesshouldbeinterpretedasaself-assessmentofcountryanddonorprioritiesandthedatashouldbeusedwithcautionwhenmakingcomparisonsbetweencountriesandbetweendonorsTheGlAASmethodologyispresentedinAnnexA

Lackofrobustdataparticularlyonfinancialflowsisamajorconstrainttoprogress

Thereport

bull warnsofasignificantriskofslippageonthegainsmadeinextendingWAShservicesunlessmoreattentionisgiventomaintainingthoseservicesandassets

bull acknowledgesthatdespitetheseverefinancialcrisisfacedbymanyhigh-incomecountriesaidforsanitationanddrinking-watercontinuestorisewhiletargetingtobasicMDG-typeservicesisimproving

bull showsthatsomecountriesarereportinggoodprogresstowardsnationalWAShtargetsbuthighlightsthatforthemajorityofcountrieshumanandfinancialresourceconstraintsespeciallyforsanitationaresignificantlyimpedingprogress

ThefocusonenhancingaccountabilityisincreasinglystrongandisakeycomponentoftheSanitationandWaterforAll(SWA)partnershiptowhichmanyGlAASrespondentsbelongAccountabilityisbeingfurtherenhancedbytheincreasedattentionpaidtothehumanrighttoWaterandSanitationsincetherecognitionofthisrightbytheUnitedNations(UN)

3 1

Sections1and2ofthereportdescribethegrowingpoliticalwillforWAShimplementationamongreportingcountriesandtheincreasingeffortsofcountriestobeaccountableandtoplanandcoordinateeffectivelyKeyfindingsincludethefollowing

bull countriesreportrecentandsubstantivepoliticalcommitmentstoWAShincreasingfundingallocationsandincreasingleadershipandcoordinationamongimplementingagencies

bull ThemajorityofcountrieshaveestablishedtransparentWAShserviceprovisiontargetsandhaveputinplacesupportingpoliciesManycountriesaremonitoringagainstthesetargetsAccountabilitycanbeimprovedasmostcountriesdonotincludeconsumersinplanningandonlyhalfhaveestablishedregularreviewprocesses

bull DespiteimpressiveglobalgainsmostcountriesarefallingshortonmeetingtheirownnationalWAShcommitmentswith83and70ofcountriesreportedlyfallingsignificantlybehindthetrendsrequiredtomeettheirdefinednationalaccesstargetsforsanitationanddrinking-waterrespectively

bull Althoughtheimportantcontributionthathygienemakestohealthisclearlyrecognizednationaltargetshavegenerallynotbeenestablishedforhygienepromotionprogrammes

Section3presentsdataonfinancialflowsWhilethelimiteddatasubmittedprecludemakingdefinitivestatementsaboutglobalfinancialallocationscountriesreportinsufficientfinancingforWAShoverallwithparticularlyseriousshortfallsforsanitationKeyfindingsincludethefollowing

bull ManyofthegovernmentsreportinginadequatefundingallocationsforWAShalsopointtoapoorabsorptioncapacitymdashthatisdifficultiesinspendingthelimitedfundsthatarereceived

bull Drinking-watercontinuestoabsorbthemajorityofWAShfundingevenincountrieswitharelativelyhighdrinking-watersupplycoverageandarelativelylowsanitationcoverage

bull insufficientfundingforoperationandmaintenanceunderminesthesustainabilityofservicesinamajorway

Thisreportpresentschartsanddescriptivetabularsummariesfornumerousdrinking-waterandsanitationindicatorsandbenchmarksfinancialdatapresentedinthetablesorchartsareinamajorityofcasesfor2010forsomekeyindicatorsadashboardofmapsandfiguresisprovidedtopresentageographicalsummaryglobalsummarystatisticsandtrendschartsandtabularsummariesalsogenerallyindicatethenumberofresponsesthatwereconsideredintheanalysisorparticularquestionThisnumberdoesnotnecessarilyequalthetotalnumberofrespondentstothesurveyasnoteverycountryoreSAansweredallpartsofthequestionnairesandinmanycasesthedatawerecollectedfromanalreadyexistingsource(egtheoecD-crS)

bull fundsaredisproportionatelytargetedforextendingservicesinurbanareasevenincountrieswhereurbanareasarerelativelywellservedandruralareasareoff-track

bull Althoughdataonhouseholdfundingcontributionsarelimitedwhatinformationthereissuggeststhatthesearesignificantandcanmakeamajorcontributiontosustainingservices

bull TostrengthenthecollectionofWAShfinancialinformationaharmonizedmethodofdatamonitoringisneeded(onesuchmethodisproposedinAnnexA)

Section4examinestheadequacyofthehumanresourcebasetoimplementWAShinterventionsandhighlightsthegapsindataKeyfindingsincludethefollowing

bull onehalfofcountriesdidnotreportonhowmanyWAShstaffwereinplaceindicatingasignificantlackofinformationonhumanresources

bull Thereisinsufficientstaffinplacetooperateandmaintainsanitationanddrinking-waterinfrastructure

bull halfthecountriessurveyedreportedthatwomenmakeuplessthanatenthofprofessionalWAShstaff

bull lackofsupply-sidetechniciansandskilledlabourstandsoutasakeybarriertothesustainabilityofservices

Section5confirmsthattherighttowaterandsanitationisbeginningtobeacceptedbygovernmentsanddescribesthesuccessesandconstraintstoextendingWAShcoverageinanequitablewayKeyfindingsincludethefollowing

bull Nearly80ofcountriesrecognizetherighttowaterandover50therighttosanitation

bull Mostcountrieshavenotestablishedequitycriteriafortheallocationoffinancingforwaterandsanitation

Section6describespriority-settingtargetingofdevelopmentaidandthecoordinationandalignmentofeSAassistancewithcountryprogrammesKeyfindingsincludethefollowing

bull Despitetheeconomiccrisisaidforsanitationanddrinking-watercontinuestoriseThetotalamountofdevelopmentaidforsanitationandwaterincreasedby3from2008to2010toUS$78billionNon-concessionallendingforsanitationandwaterincreasedfromUS$25billionin2008toUS$44billionin2010

bull Aidforbasicsystemscomprised26ofaidforsanitationanddrinking-waterin2010anincreasefrom16in2008

bull only7ofaidisdirectedatmaintainingservices

bull Developmentaidforsanitationandwatertofragileandconflict-affectedstatesincreasedby50between2007and2010fromUS$560milliontoUS$840million

4

bull onlyhalfofdevelopmentaidforsanitationanddrinking-wateristargetedtotheMDGregionssub-SaharanAfricaSouthernAsiaandSouth-easternAsiawhere70oftheglobalunservedlive

bull SectorbudgetsupportfromdonorsforWAShislessthan5oftotalWAShaidopportunitiesexistforincreasingalignmentwithcountryprioritiesandstrengtheningnationalWAShsystemsthroughincreasingsectorbudgetsupportwherevertransparencyandaccountabilitymechanismsareinplace

Section7focusesonsanitationhygieneanddrinking-waterinschoolsandhealth-carefacilitiesreportingonaccesstoWAShservicesinthesepublicinstitutionsKeyfindingsincludethefollowing

bull halfthecountriesdidnotreportonaccesstoadequatesanitationinschoolsorhealth-carefacilitiessuggestingalackofmonitoringsystemsandcapacity

bull onaverage34ofprimaryschoolsand25ofruralhealth-carecentreslackimprovedsanitationfacilities

inresponsetothefindingthatthereisaseriouslackofrobustdataonin-countryfinancialflowstosanitationanddrinking-waterthisreportaddressesthesubjectingreaterdepthinAnnexBTheannexdescribestheworkthathasbeendonesofarondevelopingamethodologyfortrackingnationalfinancialflowsotherannexescontainthesurveymethodology(AnnexA)aglossary(Annexc)andcountryandeSAdata(AnnexesDanderespectively)aswellassupplementaryinformationondonorcountrycoordination(Annexf)

Basedontheevidenceemergingfromthisreportanumberofissuesstandoutasrequiringurgentattentionandactionby

bull NationalgovernmentsandcountryWAShstakeholdersto

continuetoimprovethestrengthandclarityofleadershipforWASh

strengthenthedevelopmentofrobustnationalplansforWAShserviceprovision

strengthensystem-widesupportofthedeliveryofWAShandlinkWAShservicestocoregovernmentsystemsforplanningandresourceallocation

focusonbuildinginstitutionalandhumanresourcecapacityforbothincreasingWAShservicestotheunservedandmaintainingexistingservicesbydirectingmoreresourcestooperationsandmaintenance

consideradoptingahuman-rightsbasedapproachtofocusattentiononthevulnerableandtoensurethattheyarenotexcludedfromthebenefitsofWAShservices

improvetargetingofinvestmentstothepoorandvulnerable

developandstrengthenmonitoringandestablishnationalWAShManagementinformationSystems

createandtrackspecificbudgetsforsanitationandwater

encouragemultistakeholderparticipationindecision-makingaroundWAShthroughconsultationwithusersandthroughregularreviews

bull externalsupportagenciesto

improvetargetingofaidtothepoorandvulnerableincludingtargetingoff-trackcountries

considerincreasingsectorbudgetsupportwherethisisexpectedtoleadtostrongersystemstodeliverservicesandincreasecoverage

considerdirectingmoreexternalfundingtosupportoperationandmaintenanceofexistingWAShservices

bull Allstakeholdersto

intensifyharmonizationandcollaborationamongnationallineagenciesdonorsandNGos

5

Contextitisclearthattherehavebeenremarkablegainsparticularlybysomecountriesinimprovingaccesstosanitationanddrinking-waterThe2012JMPprogressreport(UNicefWho2012)estimatesthat63oftheworldrsquospopulationhasaccesstoimprovedsanitation(figure1)and89oftheglobalpopulationnowusesimproveddrinking-watersources(figure2)

Sanitationanddrinking-waterareuniversallyacceptedasbeingessentialforhumanlifedignityandhumandevelopmenthoweversanitationanddrinking-waterissueshavenotinthepastreceivedthehigh-levelpoliticalattentionthattheydeserveAnumberofdonorsinternationalnongovernmentalorganizations(NGos)andUNagenciesinrecognitionofthiscametogethertoraisethepoliticalprofileofsanitationanddrinking-waterfollowingtheleadoftheUNhumanDevelopmentreport(UNDP2006)inhighlightingsomeoftheprincipalshortcomingswithintheinternationalarchitectureTheseincludethelackofasingleinternationalbodytospeakonbehalfofsanitationanddrinking-water

FIGUre1Percentageofpopulationusingimprovedsanitationfacilities(2010)

Source UNICEFWHO (2012)

FIGUre2Percentageofpopulationobtainingdrinking-waterfromanimprovedsource(2010)

Source UNICEFWHO (2012)

SanitationandWaterforAll

UsingtheevidencebaseestablishedbyUN-WaterGlAAStheSWApartnershipaimstoaddresscriticalbarrierstoachievinguniversalandsustainablesanitationanddrinking-waterThesebarriersincludeinsufficientpoliticalprioritizationweaksectorcapacitytodevelopandimplementeffectiveplansandstrategiesanduncoordinatedandinadequateinvestmentsintheseplansandstrategiesSWAaimstoprovideacommonvisionandasetofvaluesandprinciplesforatransparentaccountableandresults-orientedframeworkforactiontoaddresstheobstaclestoglobalprogress

eighty-onemembersmakeuptheSWApartnershipwhichisbasedonmutualtrustsupportandcommitmenttoprinciplesofaideffectivenessincludingnationalownershipofplansdonorharmonizationandmutualaccountability

TheSWAhighlevelMeetingheldeverytwoyearsbringstogetherministersoffinancefromdevelopingcountriesministersofdevelopmentcooperationfromdonorcountriesandhigh-levelrepresentativesfromdevelopmentbanksandotherdonorinstitutionstoaddressthelackofprioritygiventosanitationandwaterasadevelopmentinterventionthepoortargetingofaidinthesectorandtheneedforrobustplanningandinstitutionsThefirstSWAhighlevelMeetingheldinApril2010influencedsectorprogressandcatalysedactionatthecountrylevelinparticularparticipantsreportedthatthe2010highlevelMeetingstrengthenedrelationsbetweenWAShsectorministriesandfinanceministriestriggeredstrongersectorcoordinationinmanycountriescreatedacrucialcontextforadvocacyonsanitationencouragedpoliticalandfinancialdecision-makerstouseevidenceforbetterdecision-makingandraisedawarenessaboutsanitationwithinsectorandfinanceministries

ThecommitmentsmadeatthefirsthighlevelMeetingfocusedonSWArsquosthreekeypriorityareasmdashincreasedpoliticalprioritizationimprovedevidence-baseddecision-makingandstrengthenednationalplanningprocessesParticipantstabledover200specificcommitmentsandagreedtoreportonthemregularly

TheGlAASreportistheprimarymechanismforreportingontheprogressofcountriesinachievingthesecommitmentsandonsuccesseswithintheWAShsectorinovercomingobstaclestoprogress

6

TheresultistheSWAinitiativewithitscomponentofbiennialhighlevelMeetingsoftopdecision-makerssupportedbyGlAASastheglobalmonitoringreportthathighlightstheevidencedriversandblockagesaffectingprogressinincreasingsanitationanddrinking-watercoverageTheSWAinitiativealsoendeavourstolinkwithandstrengthenexistingnationalprocesses

AnsweringthequestionldquoWhatworkstoeffectivelyextendandsustainWAShserviceprovisionrdquoisbecomingevermoredifficultwiththerapidlychangingfinancialpoliticalandphysicalenvironmentTheregionalandglobalfinancialcriseshavecontributedtocreatingunpredictableandtightergovernmentanddonorbudgetsManycountrieshaveexperiencedoveralldevelopmentbutattheexpenseofgrowinginequitybetweentherichandthepoorThecontinuedtrendofpopulationgrowthandrapidurbanizationfurtherstrainsadeterioratingwaterandsanitationinfrastructureThecrisisofgrowing

waterscarcitycoupledwiththeothershort-andlong-termrisksposedbyclimatechangeisapotentialthreattohealthsecurityandequitableserviceprovision

ThecaseforevengreatereffortsisundeniableeveniftherateofprogresscitedintheJMPreport(UNicefWho2012)weretocontinueuntiltheendoftheMDGperioduniversalwaterandsanitationcoveragewouldstillbefaroffmdashin2015605millionpeoplewouldremainwithoutaccesstoanimproveddrinking-watersourceand24billionpeoplewouldbewithoutaccesstoimprovedsanitationfacilitiesGiventhisscenariobillionswillremainatriskofWASh-relateddiseasessuchasdiarrhoeawhichin2011killed2millionpeopleandcaused4billionepisodesofillness(figure3)

WithoutrapidprogressinWAShthegrowthofnationaleconomieswillcontinuetobeimpededevidencesuggeststhatlackofaccesstosafedrinking-waterandadequatesanitation

costscountriesbetween1and7oftheirannualgrossdomesticproduct(GDP)(WSP-Africa2012)

crucialasdiseasepreventionandeconomicgrowtharethebenefitsofinvestinginWAShgobeyondhealthandbeyondeconomicdevelopmentTheytouchonarangeofcriticalissuesthatcannoteasilybemeasuredTheseincludecontributingtoeveryindividualrsquospersonaldignityandcomfortsocialacceptancesecurityforwomenschoolattendanceespeciallyforgirlsandproductivityatschoolandwork

With2015fastapproachingpreparationsarealreadyinplacetofocusonuniversalaccesstowaterandsanitationinthepost-MDGperiodconsideringthevastresourcesthatthiscontinuingeffortwillrequireitisvitalthatwehaveanimprovedunderstandingofwhatisbeingdonebywhomitisbeingdoneandthecriticalinputsassociatedwithsuccessinordertobettertargetandmoreefficientlyusescarceresources

FIGUre3PercentageofdeathsattributabletoWASh-relateddiseaseorinjury

Source Pruumlss-Uumlstuumln et al (2008)

7

politicalwilland1 accountability

KeyMeSSAGeS

bullAllcountrieshavemadesomeformofpoliticalorfinancialcommitmenttosanitationanddrinking-watersince2010withthevastmajorityhavingestablishedtransparentWAShserviceprovisiontargets

bullDespiteimpressiveglobalgainsmostcountriesarefallingshortonmeetingtheirownnationalWAShcommitmentswith83and70ofcountriesreportedlyfallingsignificantlybehindthetrendsrequiredtomeettheirdefinednationalaccesstargetsforsanitationanddrinking-waterrespectively

bullinvestmentsinsanitationanddrinking-waterareincreasinglybeingscrutinizedwhiletransparencyisimprovingaccountabilityforresultsachievedremainsweak

1 PoliTicAlWillANDAccoUNTABiliTy

high-levelpoliticalcommitmentunderpinsalleffortstoaccelerateandsustainimprovementsinaccesstoadequateandsafedrinking-watersanitationandhygieneservicesSuccessfulimplementationofthiscommitmentrequiresasteadyfocusonthewaterandsanitationprioritiesadequateallocationofresourcesandtheestablishmentofaregularandtransparentmonitoringframeworktoensurethatallstakeholderscanbeheldaccountableagainsttheiragreedcommitmentsrolesandresponsibilitiesSuchresponsibilitiesincludeenforcingrelevantlegalframeworksensuringeffectiveregulatorymechanismsmaintainingandstrengtheninginstitutionalarrangementsandapplyingup-to-datetechnicalknowledgethroughbestpracticeTheyalldependultimatelyonpoliticalresolvetogivebalancedsupporttoallessentialelements

AllcountriesthatrespondedtotheGlAASquestionnairereportedthattheyhadmadesomeformofhigh-levelpoliticalorfinancialcommitmenttosanitationanddrinking-wateroften

attheministeriallevelsince2010SeventeenofthemmadecommitmentsattheSWAhighlevelMeetingin2010andmanyothersmadecommitmentssubsequentlyinresponsetonationalandinternationalinitiativesandeventsearlieratAfricaSaniiin2008inDurbanSouthAfricaforexampleministersbelongingtotheAfricanMinistersrsquocouncilonWatercommittedtothemeasurabletime-boundsanitationtargetsenshrinedintheeThekwiniDeclarationandmadeapledgeonbudgetlinesforsanitationandhygiene

ethekwiniDeclaration

TheeThekwiniDeclarationwassignedbyover30AfricangovernmentministersinDurbaninfebruary2008Thedeclarationrecognizedtheimportanceofsanitationandcommittedthesignatorygovernmentstoestablishingspecificpublicsectorbudgetallocationsforsanitationwiththeaimofspending05ofGDPonsanitationSource WSP-Africa (2008)

Inmanycasespoliticalwillhasnotyetcatalysedtheenablingenvironmentrequiredtosecureadequateprogressagainstnationalsanitationanddrinking-watertargets(table11)

tABLe11Meetingpoliticalcommitmentsprogresstowardsattainingsanitationanddrinking-waterobjectives(ofcountriesreportingattainmentofkeyurbanruralsanitationanddrinking-waterobjectives)

Regionalbreakdown Targetsinplace Policiesadopted Adequatefinance(perceived) Adequateoutputs1

NorthernAfricaEasternCentralandWesternAsiaandtheCaucasus

97 88 44 49

LatinAmericaandCaribbean 100 52 30 32

SouthernandSouth-easternAsiaandOceania

86 63 32 36

Sub-SaharanAfrica 94 73 9 20

TOTAL 93 70 22 30

Thepercentagesshownarebasedonprogressineachofthefourldquosub-sectorrdquoareasofWASHservices(urbansanitationruralsanitationurbandrinking-waterandruraldrinking-water)expressedasanaggregatefigureForexampleifacountryreportedadequatefinancingforurbanwatersupplybutnotfortheotherthreeldquosub-sectorsrdquotheaggregatescorewouldbeexpressedas25

1 Annualprogressat75ormoretomeettarget

Source 2011 GLAAS country survey (74 country respondents)

10

Nearlytwothirdsofcountriesrespondingtothe2011GlAASquestionnaireindicatedtheircommitmenttotrackingandpubliclyreportingonprogressmadeatinternationaleventssuchastheonesmentionedaboveThesefindingstakentogetherwiththereportedincreasesinexpenditureforwaterandsanitationbyseveralcountriesfrom2009to2011areevidenceofconcreteactionresultingfromnationalandinternationalWAShcommitmentsTheeffortsoftheSWApartnershiprunthroughthisconsistentlyandareaimedatcoordinatingleveragingandenhancingcommitments

The2012JMPprogressreport(UNicefWho2012)describesthesuccessofmanycountriesinreducingtheproportionofpeoplewithoutaccesstoimproveddrinking-watersourcesandtoimprovedsanitationfacilitiesAtthenationallevelprogressfrequentlyexceedsthatrequiredtomeettheMDGtargetsAnumberofcountriesfromlatinAmericaNorthernAfricaandWesternAsiareportthattheyareontrackinmeetingnationaltargetsandsurpassingtheJMPharmonizedglobalcriteriaforimprovedwaterandsanitationsuchasuniversalaccesstoapipedseweragesystem

Whenitcomestomeetingself-imposednationalwaterandsanitationtargets(asopposedtothegloballyagreedMDGtarget)howevermostcountriesreportthattheyarefallingshort83and70ofcountriesreportfallingsignificantly

behindthetrendsrequiredtomeetnationalaccesstargetsforsanitationanddrinking-waterrespectivelyAdditionallyonehalfofrespondingcountriesreportthattheyarenotontracktoachievetargetsdeclaredattheregionalorinternationallevel(egtheeThekwinigoalofallocating05ofGDPtosanitation)

AccountabilityisstrengthenedbyensuringthatnationalregionalandlocalplanningandreviewprocessesareopenandinclusiveinvolvingawiderangeofstakeholdersincludinglocalcommunitiesGlAASdatashowthatapproximatelyonehalfoftherespondingcountriesreportedtheexistenceofperiodicreviewsystemsandonly28ofcountrieshaveputinplaceandsystematicallyapplyproceduresforlisteningtoconsumerinput

inadditiontomakingsomeformofministerial-levelpoliticalorfinancialcommitmenttosanitationanddrinking-waterallcountriesparticipatinginGlAAShavetakenstepstoincreasetransparencybyallowingtheircommitmentsandactionstobeinthepublicdomainThisisevidencedbytheirindividualparticipationintheGlAASsurveyandtheincreasednumberofcountriesrespondingtothesurvey(Table12)itisalsoevidencedbytheireagernesstoattendtheSWAhighlevelMeeting

progresstowardsHighLevelMeetingcommitmentsrelatingtopoliticalwillandinternaladvocacy

Manyofthecommitmentsmadebyministersortheirrepresentativesatthe2010SWAhighlevelMeetingreflectedanincreasedpoliticalwillandaddressedraisingthepriorityofsanitationandwateratthenationallevelSeveraloftheircountriesalreadyhavereportedprogressThePresidentofliberiaforexamplehasbeenahigh-profileandcommittedproponentofwaterandsanitationprovidingleadershiptothedevelopmentofanSWAldquoWAShcompactrdquowhichshesignedinearly2012in2010thePresidentofBurkinafasopersonallylaunchedthenewsanitationandhygienecampaigninSenegalthegovernmenthastakenstepstoenhancetheimportanceofdrinking-waterandsanitationwithinthenewnationaleconomicandsocialpolicyThegovernmentofMongoliahaspromotedtheimportanceofdrinking-waterandsanitationamongministryofficialsanddecision-makersSeveralcountrieshavealsocommittedtomeetingtheircommitmentsmadeunderotherinitiativesforinstanceethiopiahasdevelopedaplantomeetitssanitationcommitmentsinlinewiththeeThekwiniDeclaration

tABLe12Developingcountriesparticipatinginthe2012GlAASreport1evidenceofincreasedaccountability(74respondents)

MDGregion Countriesparticipatingin2011GLAASsurvey2 Proportion()ofpopulationrepresentedin

theregion

EasternAsia Mongolia lt1

CentralAsiaandCaucasus azerbaijankyrgyzstantajikistanuzbekistan 18

LatinAmericaandCaribbean Bolivia (Plurinational state of) Brazilcolombiadominican republicel salvadorhaitiHondurasPanamaParaguay

50

NorthernAfrica egyptMorocco 68

Oceania fijisamoa 10

SouthernAsia afghanistanBangladeshBhutanIndiaIran (Islamic republic of)MaldivesNepalPakistansri lanka 100

South-easternAsia CambodiaIndonesiaLaoPeoplersquosDemocraticRepublicMyanmarPhilippinesThailandTimor-LesteVietNam

94

Sub-SaharanAfrica AngolaBeninBurkinaFasoBurundiCameroonCentralAfricanRepublicChadcongoCocirctedrsquoIvoireDemocraticRepublicoftheCongoequatorial guineaEthiopiagabongambiaGhanaguineaguinea-BissauKenyaLesotholiberiaMadagascarMalawiMaliMauritaniaMozambiqueNigernigeriaRwandaSenegalSierraLeoneSouthAfricaSouthSudanTogoUgandaZimbabwe

85

WesternAsia JordanlebanonOmanyemen 17

1 AdescriptionofthemethodologyemployedbyGlAASisfoundinAnnexAcountryresponseswerecoordinatedbygovernments2 TherearethirtyfournewrespondentcountriestoGlASSsurveythesearehighlightedinblue

11

overalldataindicatesthatdecision-makershavedemonstratedtheirgoodintentionstoimproveWAShservicesBecauseofanincreasedcommitmenttoaccountabilitycountriesrsquoWASh-relatedeffortsandoutputsarebetterunderstoodanddocumentedfromthisevidencehoweveritisclearthatavarietyofbarriersdiscussedlaterinthereportarecontinuingtoimpedethedeliveryoftangibleresultsifmoresubstantiveprogressistobemadeWAShdecision-makersneedtobecomemoreseriousandengagedinthefollow-uptotheircommitmentstodeliverresults

12

policiesplanning2 andcoordination

KeyMeSSAGeS

bullGloballyprogresshasbeenmadeintheadoptionofnationalpolicieswith63and77ofrespondingcountrieshavingadoptedandpublishedpoliciesforsanitationanddrinking-waterrespectivelyManycountrieshaveagreedandpublishedpoliciessincethelastGlAASreport

bullMostcountrieshaveestablishednationalsectorplanningandcoordinationprocessesbutmanyalsoreporthavinginadequateinformationanddataforeffectiveinvestmentplanningonlyonehalfofrespondingcountriesreportthattheirplanningprocessesarebasedonannualorbiennialreviewsandevenfewercountriesareinapositiontoperformtheirplanningbasedonreliabledatafromnationalinformationsystems

bullover90ofcountrieshavedecentralizedresponsibilityforwaterandsanitationbutoperationaldecentralizationhasbeenaccompaniedbyfiscaldecentralizationinonly40ofcountriessurveyedpotentiallyweakeningthecapacityoflocalgovernmenttoplananddeliverservices

bullcountriesareprogressivelyadoptingapreventiveldquowatersafetyplanningrdquoapproachtodrinking-waterqualitymanagement

bullDespiteaclearrecognitionoftheimportantcontributionthathygienemakestohealthnationaltargetshavegenerallynotbeenestablishedforhygienepromotionprogrammes

2PolicieSPlANNiNGANDcoorDiNATioN

21 PolicyADoPTioN

countriesrecognizetheimportanceofdevelopingnationalsanitationanddrinking-waterpoliciesthatestablishobjectivesdefinerolesresponsibilitiesandexpectationsandsetboundariesforgovernmentsandpartnerseffectiveandefficientservicedeliverycanbeparticularlydifficulttoachieveincountrieswheregovernment

departmentsoragenciesarenotguidedbyspecificsanitationanddrinking-waterpolicies

Globally63and77ofcountriesreportedpoliciesthathavebeenagreedandgazettedforsanitationanddrinking-waterrespectivelyThe2009ndash2011trendshowsimprovementcountriesthatrespondedtoboththe2009and2011GlAASsurveysshowstrongprogresswithanadditional

14countries(outof38commonrespondents)havingagreedandpublishedpoliciessince2009primarilyinAfricaSomecountriesnotedthatthepolicyimplementationwashinderedbyunpredictablefinancingandinadequatedisseminationofthepolicymessage

Urbanandruralsanitationpolicieshavebeenadoptedandpublishedin63ofrespondentcountriesupfrom40in2009demonstratingthatcountriesareprogressivelytacklingtheurgentneedtoaddresssanitationissuesDrinking-waterpolicyadoptionratesarehigherandshowasimilarpatternofprogress(Figure21)

Drinking-waterpolicyadoption2011

Sanitationpolicyadoption2011

Isthereasectorpolicyagreedandpublished

FIGUre21isthereasanitationandordrinking-watersectorpolicyagreedandpublished

Sources 2011 GLAAS country survey (74 country respondents) 2009ndash2010 CSO and GLAAS country survey1

policyadoption2011 trendfrom2009to2011(38countries)

forthe2010GlAASreport(Who2010)UN-WaterGlAASandtheWorldBankrsquosWaterandSanitationProgramcollaboratedtodevelopathree-partsurveyquestionnaireanddataconsultationprocessforcountriesintheAfricaregionThesecountryStatusoverviews(cSos)reportontheextenttowhichcountrieshaveputinplacetheinstitutionsandpoliciesneededtomeettheirwaterandsanitationtargetstheirfinancingrequirementsandsectorsustainabilityandincluderecommendationsonhoweachcountrycouldimproveperformanceresultsfromthe2009ndash2010cSoandGlAAScountrysurveyareusedforcomparativepurposesinsomeofthefiguresinthisreport

14

1

SANItAtIoNSustainedprogressinurbansanitationrequiresinfrastructuretokeepupwithgrowthandtheexistenceofsufficienttechnicalcapacityandfinancialresourcestomeetdemandforthecreationofsanitationfacilitiesandexcretaremovaltreatmentanddisposalAmajorityofrespondentcountriesreportedestablishingplansfortheexpansionofurbansanitationservicestogetherwithspecificpolicyprovisionstoaddresstheissueinslumsandinformalsettlementsDespitethismostcountriessubmittingdatatoGlAASindicatedthatannualoutputsaresignificantlylessthanwhatisneededtomeetnationalurbansanitationtargets

inruralsanitationonly20ofcountriesreportthatthesupplyofskilledlabourandtechniciansisadequatetoensureprogresshowevermostcountriesindicatethatgovernmentpoliciesexistorarebeingformulatedtodevelopthe

privatesectorandtofurtherdevelopsanitationproductsandservices

WAterSAFetyPoliciespromotingcontinuousvigilanceintheformofpreventiveriskmanagementwillcontributetoimprovingwaterqualityandreducingdiseaseThisvigilanceisoftenlackinghoweverinpartbecausewatersupplyoperatorsarefrequentlyoverwhelmedbytheiroperationalandfinancialchallengessuchthattheyareunabletoaddresstheirimportantpublichealthprotectionroleTheWhoGuidelinesforDrinking-waterQuality(Who2011)recommendwatersafetyplansaproactivemanagementapproachencompassingthewholewatersupplychainfromcatchmenttoconsumer

TheglobalmomentumtowardswatersafetyplanningissupportedbythefindingsfromtheGlAASreport(figure22)

Thelevelofprogresswithwatersafetyplansisillustratedinmoredetailinfigure22showingtheWhoregionsofSouth-eastAsiaandtheWesternPacificwherecertaincountrieshavemadenotableprogressofthecountriesencouragingwatersafetyplanning13outof24inSouth-eastAsiaandtheWesternPacificcurrentlyhaveapolicyorregulatoryrequirementonwatersafetyplanswhereasanadditional8countriesareplanningtoupdatetheirpoliciesandregulationstoincorporatethisapproach

Tobeeffectivewatersafetyplansneedtobecontinuallyreviewedandupdatedincludinginresponsetoexternalauditsspecifiedinregulationsinthisregardcountriesneedtotakesubstantiveadditionalactionsbeforethebenefitsofthewatersafetyplanningapproachcanberealized

Watersafetyplanningisgainingglobalmomentumwith81oftherespondentcountrieseitherencouragingorrequiringwatersafetyplansinpoliciesandregulationsorreportingpilotexperiences(Figure22)

FIGUre22isthereanationalpolicytodevelopandimplementwatersafetyplansorotherpreventiveriskmanagement

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

Isthereanationalpolicytodevelopandimplementwatersafetyplansorotherpreventiveriskmanagement

Isthereanationalpolicytodevelopandimplementwatersafetyplansorotherpreventiveriskmanagement

15

2PolicieSPlANNiNGANDcoorDiNATioN

HyGIeNeDespitewidespreadrecognitionoftheimportantcontributionofhygienetohealthhygienepromotionprogrammesarenotdrivenbytheestablishmentofnationaltargetsonly19outof74countries(26)havedefinedtargetsfornationalhygienepromotionindicatinganimportantpotentialforimprovementbysystematizingplanningandestablishinganaccountability

frameworkinstarkcontrasttothisoperationalgap90ofcountriesincludehygieneintheirhealthstrategies

DespitelowoverallratesofimplementationofprogrammesbasedonresearchonlocalknowledgeattitudesandperceptionsonhygieneGlAAScountryreportssuggestthathygieneprogrammesinformedbythis

typeofresearcharegrowinginnumberexperienceindicatesthatitisdifficulttopredictwhetherandforhowlonghygienebehaviourchangewilllastMoreovertherearefewstudieswhosefindingsconfirmthepersistenceofhygienebehaviourlongaftercessationofprogrammeimplementation

FewcountrieshaveestablishedtargetsforhygienepromotionNationalbehaviourchangeprogrammesarenotsufficientlyinformedbyassessmentsoflocalattitudesandarefrequentlylimitedtosmall-scaleimplementation(Figure23)

Arenationalbehaviourchangeprogrammesbasedonresearchandaretherehygienepromotiontargets

FIGUre23Arenationalbehaviourchangeprogrammesbasedonresearchandaretherehygienepromotiontargets

Source 2011 GLAAS country survey (74 country respondents)

16

22 PlANNiNGANDcoorDiNATioN

Anenablingframeworkforprogressinsanitationanddrinking-watermustsupportthetranslationofpoliciesintoactionimportantfactorsincludeleadershipcoordinationlocalcapacityeffectivemonitoringandencouragementofbroadparticipationtoensureaccountabilitycoordinationcanbechallenginginthecommonscenariowhereresponsibilitiesfordifferentaspectsofWASharefragmentedoveranumberofgovernmentagenciesthatdevoteonlyasmallshareoftheiroverallresourcestothisareaWhereoverallresponsibilityisunclearaccountabilityforperformanceistypicallyweakAgenciesmaynotnecessarilybeheldaccountableandissuesthatareperceivedtobeoflesserpriorityorevenmarginalinaspecificinstitutionalcontextwillhavedifficultyinsecuringadequatefinancialandhumanresourceseventhoughtheymaybeessentialcomponentsoftheoverallsanitationanddrinking-waterframework

The2011surveyindicatessomeprogressinovercomingthemajorobstaclesidentifiedbyGlAASrespondentcountriesin2009whichincludedthefollowing

bull Approachesusedfordevelopingpoliciesarenotcoherentandholisticwithineachministry

bull Agenciesareworkingindependentlyonspecificpolicyaspectsratherthanbeingguidedbyanoverallframework

bull leadinstitutionsarenotdefinedespeciallyforsanitation

bull Thereisnostrategicplanonhowtargetsfordrinking-waterandsanitationwillbemetorforthepromotionofhygiene

bull Thereislowcapacityatlocallevelsintermsofoversightandservicedelivery

eighty-fivepercentofcountriesidentifiedaleadgovernmentagencyforsanitationindicatingaclearimprovementoverthesituationin2009onemayspeculatethatthisprogressmayhavebeenlinkedto

Leadinstitutionsforsanitationaredefinedinover85ofrespondingcountriesAdditionallymorethanhalfofrespondingcountriesreportthatcoordinationmechanismsamongdrinking-waterinstitutionsarebothdefinedandoperational(Figure24)

Sanitationleadgovernmentagencyinplace2011

Institutionalleadandrolesdefined2011

Drinking-waterinstitutionalrolesclearlydefined2011

Isthereagovernmentleadagencyareinstitutionalrolesclearlydefined

trendfrom2009to2011(38countries)

FIGUre24isthereagovernmentagencywithaclearmandatetoleadandcoordinatepolicydevelopment(sanitation)Areinstitutionalrolesofruralandurbanplayersclearlydefinedandoperational(drinking-water)

Sources 2011 GLAAS country survey (74 country respondents) 2009ndash2010 CSO and GLAAS country survey

17

2PolicieSPlANNiNGANDcoorDiNATioN

risinginternationalattentiongiventosanitationsuchasthroughtheinternationalyearofSanitation(2008)Whileleadagencieshavebeenidentifiedcountriescommentthatpoorcoordinationstillexistsamongimplementingagenciesparticularlyforsanitationinmanycountriesgovernmentcoordinationstructureshavebeenestablishedatthenationallevelbutthisprocessoffirmingupcoordinationstillneedstotrickledowntoprovincialandlocallevelsalthoughadmittedlythebarrierstocoordinationmaybeloweratthoselevels

TheGlAASsurveydidnotaskcountriestoreportontheexistenceofadefinedleadgovernmentinstitutionfordrinking-watersimplybecausethisisconsideredestablishedpracticehoweveronehalfofthecountriessurveyedreportedthattheyhadaccomplishedthemoredifficulttaskofbothdefiningandoperationalizingtherolesofthemultipleinstitutionsresponsiblefordrinking-watersystemsandservices

Commitmentstobettercoordination

Theneedtostrengthenlinkagesbetweensectorsandimprovecoordinationwas

recognizedattheSWAhighlevelMeetingin2010andcountriesmadecommitments

specificallyrelatingtothisissueAngolahassinceheldaNationalinterministerial

Meeting(ministriesofwaterenvironmenthealtheducationterritorialadministration

andfinance)Angolaalsocommittedtostrengtheningaccountableinstitutionswhere

theyarelackingandismakingprogressonexertingstrongnationalleadershiptobring

coherencetothesectorsplansandstrategiesethiopiareportsmakingprogress

onitscommitmenttoimprovingtheWAShplanningandcoordinationprocessby

strengtheningnationalplansandpartnershipsBurkinafasohasalreadyestablished

theWaterandSanitationPartnershipframeworkthatitcommittedtocreateThis

frameworkwillimprovepartneranddonorcoordinationandisexpectedtoleadto

increasedfinancingofsanitationanddrinkingwaterwithinthenationalbudget

Ghanatranslatesstrongpoliciesintooutputsforwatersupply

SuccessfultranslationintooutputsneedsstrongpoliciestobeaccompaniedbyeffectiveimplementationarrangementsandadequatefinancingforexampleGhanahasexceededitsMDGtargetof77watersupplycoveragebyenablingover10millionpeopletogainaccesstodrinking-waterfromanimprovedsourcebetween1995and2010(WhoUNicef2012)itssuccesscanbeattributedinparttoeffectiveimplementationarrangementsthatareinplaceforruralandurbanwatersupplythroughthecommunityWaterandSanitationAgencyandtheGhanaWatercompanylimitedclarityonbudgetsthroughseparatelineitemsandanexistingregulatoryframework

forsanitationGhanapublishedaNationalenvironmentalSanitationActionPlanandinvestmentPlanin2010andhasadoptedcommunity-ledTotalSanitationasastrategyWhilehouseholdsareexpectedtoinvestinsanitationthereishowevernoclarityonfinancingforsanitationsoftware(iedemandgenerationandbehaviourchangeactivities)

Mostcountrieshaveestablishedplanningandcoordinationprocessesbuttheyarenotnecessarilysupportedbyadequateinformationanddata(table21)

tABLe2 1Planningcoordinationandmonitoringprocessesprogressonselectedindicators(ofcountriesthatreportedestablishmentofkeyurbanruralsanitationanddrinking-waterprocesses)

Regionalbreakdown Leadgovernmentagencyforsanitationinplace1

Institutionalrolesclearlydefinedandoperational

fordrinkingwater

Annualreviewusedforplanning

(waterandsanitation)

Investmentprogrammeagreedandpublished(waterandsanitation)

Usenationalinformationsystem

(waterandsanitation)

NorthernAfricaEasternCentralandWesternAsiaandtheCaucasus

78 68 63 93 51

LatinAmericaandCaribbean

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 Duetothedifferentlevelsofrigorforthequestionsongovernmentcoordinationsanitationappearstobedoingbetterthandrinking-waterhoweverthequestiononsanitationmerelyindicatestheexistenceofaleadagencywhereasthedrinking-waterquestionassessesthelevelofcoordinationamongkeyactorsSpecificallyforsanitationthequestionaskedwhethertherewasaldquogovernmentagencywithaclearmandatetoleadandcoordinatethepolicydevelopmentandplanningofinstitutionsrdquofordrinking-waterthequestionaskedwhethertheldquoinstitutionalrolesofruralandurbanplayers[nationalandlocalgovernmentutilitieswaterboardsregulatorsetc]areclearlydefinedandoperationalrdquo

Source 2011 GLAAS country survey (74 country respondents)

18

23 revieWSMoNiToriNGANDrePorTiNG

Thesystematicperformanceofperiodic(ieannualorbiennial)reviewstomonitorandevaluatetheperformanceofsanitationanddrinking-wateruptakeandservicesisincreasinglyusedbycountriesasabasisforplanningTheadoptionofthisapproachservestwopurposesfirsttoprovidegreaterstakeholderparticipationandjointownershipandsecondtoprovideameanstoholdgovernmentanddonorsaccountableforaccountableforacheivingexpectedresultsThisprocessisparticularlyimportantwheretherearealargenumberofactorsinsanitationanddrinking-watersinceitarticulatesandreiteratescommongoalsreducesduplicationandpromotesmutualaccountabilitySector-widereviewsthatareledandownedbynationalgovernmentandinvolveallmajorstakeholdersarekeytoimprovingWAShcoordinationandplanning

countriesthatrespondedtotheGlAASquestionnairesinboth2009and2011havemadestrongprogresswithanadditional14and9countries(outof38commonrespondents)havingestablishedperiodicreviewprocessesthatareusedforplanninginsanitationanddrinking-waterrespectivelysince2009

ethiopianministriesdefinecoordinationbutimplementationremainsweakatlowerlevelsof

government

inordertofacilitatetheintegratedimplementationofWAShinethiopiathethreeconcernedlineministriestheformerMinistryofWaterresourcestheMinistryofhealthandtheMinistryofeducationsignedaMemorandumofUnderstandingforjointcooperationin2006TheMemorandumofUnderstandinghasfosteredrobustcoordinationattheregionallevelhoweverldquotheWAShMoU[MemorandumofUnderstanding]hasonlyverypartiallybeentransferredtoloweradministrativelevelswiththeresultthattheimplementationoftheMoUisnotstronginlocal(Woreda)governmentsrdquo(Governmentofethiopia2011)

periodicsectorreviewsareincreasinglybeingusedinsanitationwith85ofcountriesreportingorganizingsuchreviewsandonehalfofcountriesreportingthattheiroutcomesareusedforsanitationplanning(Figure25)

FIGUre25isthereanannualorbiennialreviewofthesector

Sources 2011 GLAAS country survey (74 respondents) 2009ndash2010 CSO and GLAAS country survey

Sanitationannualbiennialreviewprocesses2011

Annualorbiennialreview2011

trendfrom2009to2011(38countries)

Drinking-waterannualbiennialreviewprocesses2011

Isthereanannualorbiennialreviewofthesector

19

2PolicieSPlANNiNGANDcoorDiNATioN

fourcountriesrespondedthattherewasnoprocessofreviewineithersanitationordrinking-waterreviewanddecision-makingprocessesneedtobeinformedbyreliablesectorinformationcomprehensivemonitoringonaroutinebasisisapracticethatmostsurveyedcountriesareintheprocessofdevelopingcountryrespondentsindicatethatcoordinatingthemonitoringprocessoftencarriedoutbyseveralentitiesatbothlocalandregionallevelsiscomplexandchallenginginadditioncountryrespondentsconfirmthatwhiletheremightbeeffectiveprojectorprogrammemonitoringsystemsreliablesector-wideinformationsystemsremaintobedeveloped

HighLevelMeetingcommitmentsforbettermonitoring

robustsectormonitoringincludingthemonitoringofpreviouscommitmentswasthesubjectofmanycommitmentsattheSWAhighlevelMeetingin2010Mauritaniacommittedtoincreasingfollow-upandtransparencyinthetechnicalandfinancialimplementationofwaterandsanitationprogrammesthroughsteeringcommitteesmonitoringandevaluationandauditsthecountryreportsthatthisisprogressingwellethiopiaisworkingtoachieveitscommitmenttoimprovenationalmonitoringandinformationmanagementsystemsbycreatingaWAShinventoryandstrengtheningthenationalmonitoringandinformationsystemsforhealthandwaterresourcesliberiacommittedtothedevelopmentofamonitoringandevaluationsystemfortheWAShsectorandreportsgoodprogress

Countriesreportthatonly42ofurbanruralsanitationanddrinking-watersectorsareinformedbyreliableinformationmonitoringsystems(Figure26)

Yes and used Under development No

42

42

16

FIGUre 26 is there a national information system used to informdecision-making

Source 2011 GLAAS country survey (74 country respondents)

JointSectorreviewinNepal

Nepalwherethereareanumberofstateandnon-stateactorsworkinginWAShhelditsfirstJointSectorreviewinMay2011TheJointSectorreviewdiscussedaspeciallycommissionedreportonthestatusofWAShinthecountryidentifiedandprioritizedthreetofourkeyactionsthataretobetakenbyalltherelevantstakeholdersintheyearaheadandagreedtoholdanotherJointSectorreviewin2012

Source Government of Nepal (2011)

Civilsocietyorganizationsproducejointperformancereportinethiopia

inkeepingwiththeprincipleofmutualaccountabilitythecivilsocietyorganizationsoperatinginethiopiaproducedanAnnualJointreportonWAShin2010Thisemanatedfromacommitmentmadeatamultistakeholderforumin2009thatWAShsectorcivilsocietyorganizationswouldproduceanannualperformancereportthatcouldbeincorporatedintotheNationalWAShreportproducedbytheNationalWAShcoordinationoffice

Source Government of Ethiopia (2011)

BurkinaFasoinformationsystemdetailsprocessandoutcomeindicators

Somecountrieshavemadegoodprogressinestablishingsector-wideinformationsystemsthatinformdecision-makingTheProgrammenationaldrsquoApprovisionnementeneaupotableetdrsquoAssainissementofBurkinafasopublishesanannualreportondetailedprocessandoutcomeindicatorsfordrinking-waterandsanitationbothurbanandruralTheseincludeaccesstowaterandsanitationproportionofwatersourcesthatarefunctioningcoverageofschoolshealthcentresandpublicspacesandgoodgovernanceindicatorssuchastheproportionofdrinking-waterprovisionsandtheproportionofpublictoiletsmanagedbydelegation

Source Government of Burkina Faso (2011)

20

24 DeceNTrAlizATioN

inmostdevelopingcountriesresponsibilitiesfordrinking-waterandsanitationservicesaredevolvedtothelocallevelWhendecentralizationiseffectiveitensuresthatservicesareappropriateforlocalneedsthatoperationandmaintenancerequirementsaremetandthatfacilitiescreatedaresustainedovertimeThisdoesnotimplythattheseservicescanoperatewithoutanysupportfromhigherlevelseffectivedecentralizationrequiresadequatetechnicalfinancialandhumanresourcessupporttolocalauthoritiesTheprincipleofsubsidiarityappliestheinitiativetoseeksupportshouldcomefromthelocallevelwheneverthechallengesfacedcannotbesolvedwiththetechnicalfinancialandhumanresourceslocallyavailableindependentregulationandqualitycontrolarefunctionsperformedatahigherlevel

over90ofcountriesindicatedthatservicedeliveryhasbeendecentralizedforsanitationanddrinking-watersupplyhoweverasshowninfigure27lessthanhalfhaveundertakenfullfiscaldecentralization

AsreportedrecentlybytheAfricanMinistersrsquocouncilonWater(AMcoW)ldquothemajorchallengestilltobeovercomeisthatofdecentralizationandthelocalmanagementofwatersupplyandsanitation(WSS)servicesAlllocalmanagementstakeholdersincludingthecontractingauthoritythecommune(localauthorities)theregionaltechnicaldepartmentsthatshouldsupportthemaswellasthewaterusersrsquoassociationsandthelocalprivatesectorsufferfromaseverelackofhumantechnicalandfinancialresourcesthatpreventsthemfromsuccessfullyundertakingtheirnewresponsibilitiesandensuringthatinvestmentissustainablerdquo(AMcoW2011)

only40ofcountriesthathavedecentralizedservicedeliveryhavedecentralizedfiscalresponsibilities(Figure27)

41

59

Operational and fiscal responsibilities Only operational decentralization

FIGUre27TowhatdegreehasdecentralizationofservicebeencarriedoutinsanitationNoteAsimilarproportionwasfoundfordrinking-water

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

DecentralizationofruralwaterservicedeliveryinIndia

in2010theindianPlanningcommissionperformedanevaluationstudyoftherajivGandhiDrinkingWaterMissiontheflagshipruralwaterprogrammeinindiaandfoundthatonly8ofthesurveyedhouseholdswerewillingtopayforoperationandmaintenanceTheyconsideredoperationandmaintenancetheresponsibilityoftheGramPanchayat(thevillagecommittee)howeveroveronehalfoftheGramPanchayatshaveexpressedtheirinabilitytotaketheresponsibilityofoperationandmaintenanceldquoinalargemajorityoftheGramPanchayats(50outof63)formalhand-overofoperationandmaintenanceoftheassetscreatedundertheMissionhasnotbeendonerdquo(Governmentofindia2010)

21

2PolicieSPlANNiNGANDcoorDiNATioN

25 locAlSTAKeholDerPArTiciPATioN

consultationwithinvolvementofandparticipationbylocalstakeholdersarecrucialtoensurethatpolicieslegalframeworksmonitoringreportsreformsbudgetsexpenditureprioritiesandresourceplansarereviewedandfullyownedbystakeholdersandthatusersreceivetheservicesthattheywantandarewillingtopayforconsultationcanbepromotedthroughvariousinstitutionalframeworksorprocessesatlocalnationalandregionallevelscountrieshaveattemptedtoinstitutionalizeparticipationthroughlocalwaterandsanitationcommitteesregisteredusergroupsandregulatorysystemsthatfacilitateconsumerfeedbackandldquoconsumervoicesrdquotobeheard

respondentssuggestthatsomecountrieshavelawspoliciesorplansforinformingconsultingwithandsupportingparticipationbycitizensbutthesefrequentlyarenotspecifictosanitationanddrinking-water

Asfigure28suggestsprocedurestosupportlocalstakeholderparticipationinplanningbudgetingandimplementingprogrammeshavenotbeensystematicallyappliedinamajorityofrespondingcountriesover70ofcountriesindicatedthateithertherearenoproceduresforlocalstakeholderparticipationorproceduresarenotsystematicallyimplementedrespondentssuggestthatthemechanismsthatdopromotepublicengagementonsanitationanddrinking-waterspecificallyarenotuniformlyimplementedalthoughthetrendisimprovingStrengtheningparticipatoryprocesseswillensurethatplannedinvestmentsareappropriateforthecommunityleadtogreaterlocalsupportofdecision-makingprocessesoutputsandrecurrentinvestmentneedsandimprovesustainabilityofsanitationandwaterservicescomparingthetrendsfordrinking-waterandsanitationitseemsthatpursuingcommunityengagementintheplanningandimplementationprocessesfordrinking-watermaybeeithereasierormoreattractivethandoingthesameforsanitation

Localstakeholderparticipationinplanningbudgetingandimplementingprogrammeshasimprovedsince2009withmorecountrieshavingestablishedsystematicprocessestofacilitatestakeholderparticipationbutsystematicapplicationisstilllowoverall(Figure28)

Drinking-waterproceduresforstakeholderparticipation2011

Sanitationproceduresforstakeholderparticipation2011

trendfrom2009to2011(38countries)

Arethereproceduresforinformingconsultingampsupportingparticipationbyindividualscommunity

FIGUre 28 Are there procedures for informing consulting and supportingparticipationbyindividualscommunity

Sources 2011 GLAAS country survey (74 respondents) 2009ndash2010 CSO and GLAAS country survey

Stakeholderparticipation2011

22

26 iMPlicATioNSforThefUTUre

ThissectionshowsthattheWAShsectorisbecomingmorecoherentwithgreaterfocusonsanitationandthatprogressisbeingmadeonmanyoftheldquoeasierrdquoimprovementssuchasthoserelatedtodemonstratingcommitmentthroughthesettingoftargetsprogressivelyadoptingWAShpoliciesandimprovingcoordinationincludingbyengagingmorestakeholdersinplanninghoweverthissectionalsoshowslimitedprogressonmanyofthemoreldquodifficultrdquoissuessuchassuccessfullyimplementingpoliciesdevelopingeffectiveandcoherentplanningandmonitoringsystemsandeffectivelysupportingthelocallevelinthedeliveryofservices

TacklingthedifficultissueswillrequirecontinuedstrengthandclarityofleadershipwithdefinedrolesandresponsibilitiesPlanningprocessescouldbedramaticallyimprovediftheycouldrespondtodatamadeavailablethroughmanagementinformationsystemsinthisregardWAShservicedeliverycouldundoubtedlybenefitfromastrengthenedldquowholesystemsrdquoapproachwhichwouldentailinclusionofWAShincoregovernmentsystemsforplanningandresourceallocation

23

2 Financing3

KeyMeSSAGeS

bullcentralgovernmentcontinuestobeamajorsourceoffundingforwaterandsanitationalthoughmanylow-andmiddle-incomecountriesremaindependentonexternalaidexternalfundingforWAShamountedtomorethan1ofGDPinsevendevelopingcountries

bullexistinglevelsofhouseholdandprivateinvestmentarepoorlyunderstoodbutavailabledatasuggestthattheyaresignificantsourcesoffinancingandcanmakemajorcontributionstosupportingoperationandmaintenanceofservices

bullThemajorityofcountriesreportthatsectorinformationsystemsforfinancialplanningandreportingareinadequate

bullDatasuggestthatfundsspentonoperationandmaintenanceareinsufficientAmajorityofcountriesindicatethatruralwatersupplyprogrammesarenoteffectiveduetolackoffundingwhereasonethirdofcountriesreportthaturbanutilitieslackrevenuetofundoperationandmaintenance

bullfundinglevelsforWASharereportedtoremaininsufficientespeciallyforsanitationDrinking-watercontinuestoabsorbthemajorityofWAShfundingevenincountrieswitharelativelyhighdrinking-watersupplycoverageandrelativelylowsanitationcoverage

bullMostcountriescouldnotreporthowmuchtheyspendonhygieneandforthosethatdiditwasonlyabout2ofWAShexpenditure

bullThebreakdownofexpenditureforWAShinruralandurbanareasappearsonlyweaklycorrelatedwithneeds

bulllongprocurementprocessesandheavyadministrativeburdensmeanthatmanycountriesstruggletoefficientlydisbursethelimitedfundsthatarecommittedAbsorptionofdomesticcapitalcommitmentsishigherthanthatofdonorcommitmentsbutappearstobedeclining

bullTostrengthenthecollectionofWAShfinancialinformationaharmonizedmethodofdatamonitoringisneeded(onesuchmethodisproposedinAnnexB)

3 fiNANciNG

extendingandsustainingwaterandsanitationprogrammesandinfrastructurerequireamongotherthingsadequatefundingandsoundfinancialmanagementTheseincludeinvestmentplanningsecuringfundsforproposedbudgetsmakingefficientandtimelydisbursementsandmonitoringoutcomesPreviousanalyseshaveshownthatglobalspendingisfarlessthanwhatisrequiredtomeettheMDGs(huttonampBartram2008)andanalysisofregionalspendinginAfricaforexampleshowsthatexpenditureisonequarterofwhatisrequiredfordrinking-waterservicesalone(fosterampBricentildeo-Garmendia2010)inadequatefundingforsanitationanddrinking-waterinfrastructureandforitslong-termoperationandmaintenancewasthemostfrequentlycitedobstaclebyGlAASsurveyrespondents

31 SoUrceSoffUNDiNGANDhoWMUchiSBeiNGSPeNT

fundingforwaterandsanitationisrequiredfornewcapitalinvestmentandforrecurrentexpensesofoperations(operationalexpenditure)capitalmaintenance(long-termrenewalsandrehabilitationusuallyrecoveredasanannualldquodepreciationrdquocharge)andanycostsofcapital(interestpaymentsonloansandanyrequireddividendreturnstoequityproviders)fundingforthesewaterandsanitationcostscancomefromthreemainsourcescommonlyreferredtoastheldquo3TsrdquoofWAShldquotariffsrdquowhicharefundscontributedbyusersofWAShservices(andalsoincludingthevalueoflabourandmaterialinvestmentsofhouseholdsmanagingtheirownwatersupply)ldquotaxesrdquowhichrefertofundsoriginatingfromdomestictaxesthatarechannelledtothesectorbythecentralregionalandlocalgovernmentsandldquotransfersrdquowhichrefertofundsfrominternationaldonorsandcharitablefoundationsTransfersincludegrantsandconcessionalloanssuchasthosegivenbytheWorldBankwhichincludeagrantelementintheformofasubsidizedinterestrateoragraceperiodTheldquo3TsrdquoarediscussedinAnnexBaspecialGlAASthematicsectionthatreviewsthestateoftheevidenceonWAShfinancialflowsandproposesamethodologytoencourageandharmonizecountrymonitoring

ofthe74countriesparticipatinginGlAAS providinghalfofthereportedUS$198only17submitteddataonsourcesof billioninfinancialflows(figure31)fundingandjust4wereabletoprovidefiguresonthecontributionsmadeby Thesecondanalysiscoveredallofthehouseholdthroughthepaymentof ldquo3TrdquosourcesoffundingmdashtariffsfromtariffsTable31showsthesehousehold householdstaxesandtransfersmdashbutcontributionsrangingfrom30to61of

wasnecessarilylimitedtoonlythefourtotalreportedsanitationanddrinking-watercountriesthatwereabletosubmitthisfundingfromallsourcescombiningcapitalfulldatasetThisanalysisindicatesthatinvestmentandrecurrentcostsThesehouseholdcontributionsaccountforalimiteddataconfirmfindingsinprevious

reports(WorldBank2008oecD2009a) significantshareofinvestmentinthesefourindicatingthathouseholdcontributions countriesaccountingfor44offundingcompriseasignificantportionoffinance ascomparedwithnationalgovernmentforsanitationanddrinking-water whichcontributedonly18ofthereported

US$101billionwithinwaterandsanitationTwoanalyseswereperformedtodetermine finance(Table31)relativecontributionsoffinancingfromvarioussourcestosanitationanddrinking-

ThesedataconfirmtheimportanceofwaterThefirstanalysiswasconfined

financialcontributionsfromhouseholdtoassessingthefinancialdataontaxestariffsandself-supplyparticularlyandtransfersfromthe17respondentforrecurrentexpenditureandcapitalcountriesThisanalysisshowsthatcentral

governmentremainsthemajorsource expenditurefornon-networkedservicesofinvestmentinsanitationanddrinking- andtheneedtomonitortheseinthefuturewaterinmostofthecountriessurveyed

HouseholdfundingforWASHthroughtariffsandself-supplyisgenerallynotmonitoredLimiteddatasuggestthathouseholdfundingcontributesasignificantshareoftheoverallWASHfinancing(table31)

tABLe31contributionofhouseholdtariffs(andcostsassociatedwithself-supply)

Country ContributionofhouseholdtariffstototalWASHfunding

Contributionofhouseholdtariffstototal

operationalexpenditure1

Iran(IslamicRepublicof) 61 100

Bangladesh 36 87

Thailand 32 Datanotavailable

Lesotho 30 82

1 Progressivelyincreasingtheproportionofoperationalexpenditurefundedthroughhouseholdtariffsto100allowsforsustainablerecoveryofcostsassociatedwithoperationandminormaintenanceovertimethecombinationoftariffsandtaxationneedstofundoperationalexpenditurepluslong-termcapitalmaintenanceandanyinterestcostsofloans

Source 2011 GLAAS country survey

CentralgovernmentbudgetallocationanddisbursementarethemajorsourceoffinancingforrespondentcountriesHouseholdcontributionsarepoorlyunderstoodbutcouldbeequallyifnotmoresignificant(Figure31)

FIGUre31Sourcesoffinancingforsanitationanddrinking-water

Source 2011 GLAAS country survey

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-waterexcludinghouseholds(17countriesUS$198billion)

Sourcesoffundingforsanitationanddrinking-waterinclusiveofhouseholdtariffandself-supply(4countriesUS$101billion)

26

exterNALSUpportinmanyrespondentcountriesexternaldevelopmentaidremainsamajorsourceoffinancingforsanitationanddrinking-water(Table32)mostlikelyforcapitalinvestmentinthesecasesstrongcoordinationamongdonorsandalignmentwithWAShinvestmentprioritiesareessentialGlAASdataindicatethatcoordinationmechanismsaremorelikelytobeinplaceforcountrieswithmultipledonors

Asdiscussedfurtherinsection6overUS$89billionindevelopmentaidwasdirectedtosanitationanddrinking-water

in2009MajorrecipientcountriesintermsofaidamountsincludechinaindiaindonesiaPeruTurkeytheUnitedrepublicofTanzaniaandvietNamcomprisingoverUS$15billioninannualsanitationandwateraid(2008ndash2009average)oDAtomiddle-incomecountriessuchaschina1indiaandTurkeyisprimarilycomposedofloansthathaveagrantelementofatleast25Sanitationanddrinking-wateraidcomprisedover1ofGDPforsevencountriesasshowninTable33b

Section6providesfurtherdetailsonexternalfinancialsupportforWASh

externalsupportcanbeamajorsourceoffinancingforsomecountrieshighlightingtheneedforstrongdonorcoordinationandalignmentwithsectorinvestmentpriorities(table32)

tABLe32respondentcountriesreportinggreaterthan25donorfinance

Country Donorfinance(asofgovernmentfinance)

Majordonors2 Numberofdonors Sectorwideapproachorothersectoralframeworkimplementedforwaterandsanitation

Investmentplanimplemented

Madagascar 26 WorldBankAfricanDevelopmentBankEU 12 Yes Yes

Honduras 39 SpainJapanWorldBank 14 Beingdefined Underpreparation

Kenya 41 GermanyWorldBankFrance 24 Yes Underpreparation

Afghanistan 46 WorldBankUSAGermany 13 Beingdefined Ruralwatersupply

Yemen 46 WorldBankGermanyNetherlands 12 Yes Yes

Bangladesh 63 AsianDevelopmentBankJapanWorldBank 19 Drinking-wateronly Yes

Lesotho 67 IrelandWorldBankUSA 9 Drinking-wateronly Urbanruralsupply

EUEuropeanUnionUSAUnitedStatesofAmerica

Sources 2011 GLAAS country survey OECD (2012)

ManydevelopingcountriesremaindependentonexternalaidforWASHItaccountsformorethan1ofGDpinsevendevelopingcountriesonlyoneAfricancountryisatopWASHaidrecipient(table33)

tABLe33Topaidrecipientsforsanitationandwateraidin2008ndash2009

a)TopWAShaidrecipientsbydollaramount(oDA) b)TopWAShaidrecipientsbyofGDP(oDA)

Country Averagedonordisbursementforsanitationanddrinkingwater

2008 2009(US$million)

DonorfinancingforWASH(asofGDP)

China 296 001

VietNam 274 029

India 252 002

Turkey 167 003

UnitedRepublicofTanzania 161 077

Indonesia 157 003

Peru 139 011

Country Averagedonordisbursementforsanitationanddrinkingwater

2008 2009(US$million)

DonorfinancingforWASH(asofGDP)

Timor-Leste 11 194

Samoa 9 180

Burundi 17 131

Nicaragua 74 120

Lesotho 21 118

Liberia 10 115

Haiti 69 105

Sources World Bank (2011) OECD (2012)

1 inadditiontoanaverageannualaidofUS$296millionchinareceivedanaverageannualamountofUS$332millioninnon-concessionallendingforwaterandsanitationin2008ndash20092 DataderivedfromoecDwiththeexceptionofBangladesh

27

3 fiNANciNG

32AllocATioNoffUNDiNGWhATiSMoNeyBeiNGSPeNToN

onemeasureusedtogaugepoliticalcommitmentandpriorityistheamountofpublicfundsexpendedinsanitationanddrinking-waterassessedasatrendorcomparedwithspendinginothersectorsforexamplethe2008eThekwiniDeclarationsignatoriessetatargetofspending05ofGDPonsanitationinthe2011GlAAScountrysurveyalimitednumber(13outof74)ofrespondentcountriesreportedtotalsanitationanddrinking-waterexpendituresonlyfromgovernmentandexternalfundingsources(multilateralandbilateraldonorsandcommerciallenders)forrespondingcountrieswithsufficientdatatheseexpenditureswerecomparedwithGDPAmedianannualexpenditureforsanitationanddrinking-watercoveringtaxes(domesticgovernment)andtransfers(donors)butexcludinghouseholdexpenditureswas073ofGDP

Increasingbudgetallocationstosanitationanddrinking-water

Alargeproportionofthecommitmentsmadeatthe2010SWAhighlevelMeetingrelatedtoincreasingtheallocationstowaterandsanitationfromdevelopingcountriesrsquoownbudgetsMorethan20specificcommitmentsweremadeby12countriesinthisrespectAfewstandoutbecausetheyweresignificantlyinfluencedbythehighlevelMeetingprocessandbecausethecountriesreporteitherhavingfulfilledthecommitmentorthattheyaremakinggoodprogressGhanamadeprogressonincreasingitsallocationsforwaterandsanitationinits2011budgetcreatingabudgetlineinwhichspecificallocationsweremadeforactivitiesrelatedtothecountryrsquos2010highlevelMeetingcommitmentsTimorlestereportsprogressonincreasinggovernmentinvestmentintheWAShgoingfromUS$2millionin2009toUS$112millionin2010andthentoUS$35millionin2011

Governmentexpenditure(fromtaxesandtransfers)onsanitationanddrinking-waterrangedfrom037to35ofGDp(Figure32)

Lesotho Honduras

Kenya Egypt

Thailand Nepal

Yemen Iran (Islamic Republic of)

Panama Colombia

Madagascar Bangladesh

Pakistan

351 116

111 092

080 080

073 069

046 045 042

038 037

00 10 20 30 40 Government-coordinated expenditure on WASH as a of GDP

FIGUre32Publicspending(fromfundsobtainedthroughdomestictaxesandexternal transfers) on sanitation and drinking-water as a percentage of GDP(2010data)

NoteNotallcountriesreportedcontributionsfromregionalandlocalgovernments(ieegyptKenyaandyemen)

Sources 2011 GLAAS country survey World Bank (2012)

Summarydatafromrespondentcountriesindicatethatmediangovernmentexpenditureonsanitationanddrinking-waterisonethirdofthatforhealthandonesixthofthatforeducation(table34)

tABLe34GovernmentexpenditureonhealtheducationandWASh

Country Governmentexpenditureonhealth(ofGDP)1

Governmentexpenditureoneducation(ofGDP)

Governmentexpenditureonsanitationanddrinkingwater

(ofGDP)

Bangladesh 11 242 04

Colombia 54 47 05

Egypt3 19 382 09

Honduras 46 mdash 12

India 13 mdash 02

Iran(IslamicRepublicof)

23 47 07

Kenya3 21 691 11

Lesotho 84 mdash 35

Madagascar 27 32 04

Nepal 17 47 08

Panama 61 382 05

Thailand 37 41 08

Yemen3 14 mdash 07

Minimum 11 32 02

Maximum 84 140 35

Median 23 55 07

1 2010data2 2008data3 Notallcountriesreportedcontributionsfromregionalandlocalgovernments

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

28

CApItALexpeNDItUreCoMpAreDWItHreCUrreNtoperAtIoNANDMAINteNANCeexpeNDItUreAsnotedpreviouslyrespondentcountriesindicatethatthereareinsufficientresourcestoattainMDGandcountrytargetsAssuchitisimportantthatlimitedfinancialresourcesbecarefullybalancedbetweennewinvestmenttoprovideservicetotheunservedandrecurrentexpendituretosustainexistinginvestmentsAscoveragelevelsincreasecapitalassetsincreaseasdoestheneedforrevenuetocoverrecurrentcostsforhumanresourcesandforpartsandsuppliestooperateandensurethelong-termmaintenanceofexistingsystemshoweverasshowninfigure33a31ofWAShfundsexpendedin11respondentcountriesweredirectedtowardsoperationandmaintenanceGiventhatmostcountriesreportthatoperationandmaintenanceprogrammesforruralwatersupplyareinadequateandthaturbanutilitiesfrequentlylacksufficientrevenuetocoveroperationandmaintenancecosts(seesection37)thisraisesquestionsastowhetherexistingfundingforoperationandmaintenanceissufficienttosustainWAShsystemsMoreoverascitedin

thepreviousGlAASreport75oftheestimatedfinancingneedsforsanitationanddrinking-waterconsistofrecurrentoperationalandmaintenancecostsforexistingservices(huttonampBartram2008)

SANItAtIoNCoMpAreDWItHDrINKING-WAterexpeNDItUreAreviewofexpenditurebreakdownscanindicatepotentialissuesofhowfinancialresourcesaretargetedThe2010GlAASreportindicatedthatsanitationcomprisesapproximatelyonefifthofthefinancingdevotedtosanitationanddrinking-watercombinedThe13countriesthatwereabletoprovidedataforthisreportindicatedthat27oftotalWAShfundswerespentonsanitation(figure33b)Accordingtoglobalestimatesthesesame13countrieshaveapproximately990millionpeoplewhodonothaveaccesstoimprovedsanitationcomparedwith190millionpeoplewhodonothaveaccesstoanimprovedsourceofdrinking-waterinotherwordsunimprovedsanitationwhichrepresents84ofthetotalWAShunservedinthesecountriesreceivesonly27ofthetotalWAShfunding

UrBANCoMpAreDWItHrUrALexpeNDItUreSimilarlytheurbanversusruralpiechartinfigure33cindicatesthatfor10respondentcountries75ofexpenditureistargetedaturbansettingshoweverthesesame10countrieshaveapproximately44millionand129millioninurbanandruralpopulationsrespectivelywhodonothaveaccesstoimprovedsanitationordrinking-waterfromanimprovedsourcePeoplewithoutaccesstoimprovedsanitationordrinking-waterfromanimprovedsourceinruralareascomprise75oftheunservedbutbenefitfromonly25oftheexpendituresforsanitationanddrinking-water

HyGIeNeproMotIoNexpenditureforhygieneeducationandpromotionwasprovidedbysevenrespondentcountriesTheamountspentonhygieneeducationandpromotionprogrammesacrosstheserespondentsrangedfrom03to82oftotalreportedpublicexpenditureinWAShAfghanistanBangladeshandKenyaeachreportedover4oftotalWAShexpenditureforhygieneeducationandpromotion

Limitedsanitationanddrinking-waterexpendituredataprecludemakingglobalstatementsconcerningfinancialallocationsderivedfromtaxesandtransfersbuthintathowexpendituresaretargeted(Figure33)

a)capitalversusoperationandmaintenanceexpenditure(11countriesUS$126billion)

b)Sanitationversusdrinking-waterexpenditure(13countriesUS$127billion)

c)Urbanversusruralexpenditure(10countriesUS$76billion)d)hygienepromotionversusotherWAShexpenditure

(7countriesUS$51billion)

FIGUre33Breakdownsofexpendituresacrossdifferentcategories

Source 2011 GLAAS country survey

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

Fundingoperationandmaintenanceinruralwater

supply

fundingandtechnicalsupportforoperationandmaintenanceofruralwatersupplyareclearlynotadequate47outof70countriesreportthatmaintenanceprogrammesdonotexistorarelimitedineffectivenessorscopeGlAASfindingsindicateavarietyofcontributingfactorsincludinganinadequatesupplychainofsparepartsandout-of-dateornon-existentinventoriesofruralwaterpointsTheadequacyoffundingtosustainurbanwatersupplyoperationsisdiscussedattheendofthissection

33 USeofcoMMiTTeDfUNDS

efficientandtimelyreleaseofcommittedfundsisanotherkeyaspectofaneffectivefinancingsystemlowannualdisbursementratesofallocatedbudgetsduetolongprocurementprocessesandheavyadministrativeburdenswerecitedbymanycountryrespondentsasconstraintstoreachingsanitationanddrinking-waterplanningtargets(figure34)

UseofaidcanbeimprovedbybettercoordinationamongdonorsandaligningwithcountryprocessesAsanexamplesectorharmonizationhasbeenimprovedinethiopiabythethreelargestofficialdevelopmentpartnersmdashtheWorldBanktheUnitedKingdomDepartmentforinternationalDevelopmentandtheAfricanDevelopmentBankmdashwhichhaveallharmonizedunderasinglefinancingmodalitychannelledthroughtheMinistryoffinanceandeconomicDevelopmentMeanwhilemostotherwatersectorofficialdevelopmentpartnersmdashalthoughstilloperatinginprojectmodemdashhaveadoptedtheemergingsector-wideapproachreplacingseparateindividualprojectmissionsandproject-basedfieldvisitswithbiannualJointTechnicalreviewsandanannualWAShMultistakeholderforum

Averageabsorptionratesofcentralgovernmentcapitalcommitmentsarelowandshowadecliningtrend(Figure34)

FIGUre34Whatisthepercentageofofficialdomesticcapitalcommitmentsutilized

Source 2011 GLAAS country survey (74 respondents) 2009ndash2010 CSO and GLAAS country survey

Drinking-waterabsorptionofcommitteddomesticfunds2011

Sanitationabsorptionofcommitteddomesticfunds2011

trendfrom2009to2011(38countries)

Whatisthepercentageofdomesticcapitalcommitmentsutilized

Absorptionratesndashdomesticcommitments2011

30

AnanalysiswasundertakentoidentifycountrieshavinghighorlowcapacitytouseorabsorbfundsagainsttheirWAShfundingneedsTodothisafinancialldquoabsorptioncapacityrdquoindexwascreatedwhichamalgamatedcountryresponsesoninvestmentprogrammesdomesticanddonorabsorptioncapacityandwhetherfundinglevelsforlocalgovernmentsandoperatingentitieswereinlinewithdecentralizationpoliciesThisindexwascomparedwithcountryresponsesonthesufficiencyoffundingTheresultsconfirmpreviousevidence(WaterAid2011b)suggestingthatthosecountriesingreatestneedandthatalsolackthecapacitytoabsorbandspendfundseffectivelyarehinderedbyfundersthatarereluctanttoinvestmdashthuscreatingaviciouscycleThissuggeststhatimprovementsininvestmentplanningandfinancialprocurementcouldmakeapositivedifferencetowardsimprovingfundingsufficiencyandcreatingavirtuouscycleresultsforurbandrinking-waterareshowninfigure36

theUnitedrepublicoftanzaniaidentifiesfactorsforpoor

utilizationofaid

ApublicexpenditurereviewofthewaterandsanitationsectorintheUnitedrepublicofTanzaniain2009(vandenBergetal2009)identifiedthelackofpredictabilityofdonordisbursementsasamajorreasonforpoorutilizationofaidldquoUnpredictabilityislinkedtothefollowingfactors(i)theplanningandimplementationofdonorfundingisnotalignedwiththegovernmentrsquosbudgetcalendarespeciallyifthegovernmentanddonorcountriesworkwithdifferentfinancialyears(ii)theuseofparallelsystemsthatmakeithardtoobtainfullinformationontheexpectedassistanceflowsand(iii)theseasonalityinprojectimplementationrdquoTheseinefficienciesarefurtherexacerbatedbythefragmentationofdonorfundingwhichresultsinhightransactioncostsfordonorsandgovernmentalike

Averageabsorptionratesofdonorcapitalcommitmentsareevenlowerthandomesticcapitalabsorptionrates(Figure35)

FIGUre35Whatisthepercentageofdonorcapitalcommitmentsutilized

Sources 2011 GLAAS country survey (74 respondents) 2009ndash2010 CSA and GLAAS country survey

Drinking-waterabsorptionofcommitteddonorfunds2011

Sanitationabsorptionofcommitteddonorfunds2011

trendfrom2009to2011(38countries)

Whatisthepercentageofdonorcapitalcommitmentsutilized

Absorptionratesndashdonorcommitments2011

31

3 fiNANciNG

Keyobservationsassociatedwithfinancialabsorption

ArecentWaterAidreport(WaterAid2011a)highlightskeyobservationsassociatedwithfinancialabsorptioncommontoinfrastructuresectors

bull highabsorptionratesappeartobeagoodindicatoroftheoverallhealthandefficiencyofthesector

bull comparisonofWAShwithothersectorssuggeststhatgenericissuessuchasthequalityofpublicfinancialmanagementorprogressondecentralizationhaveanimpactacrossallbasicservicesectors

bull capitalbudgetsaremorelikelythanrecurrentbudgetstobeunderspentsotherelativelycapital-intensivenatureofWAShplacesitatgreaterrisktoabsorptionconstraintsprocurementprocessesmayalsohavecontributedtoWASh-specificabsorptionproblems

bull DonorfundsaremuchmoresusceptiblethannationalfundstodelayandunderspendingWiththemajorityofdonorfundsallocatedtocapitalbudgetsthisoverlapswiththepreviousbulletbuttheevidenceshowsthatdonorprocurementandreportingrequirementsaretooburdensomeonalready-strainedgovernmentcapacity

bull Thechallengesforeffectiveabsorptionaregreateracrossallsectorsinfragilestates

Manyofthesamerespondentcountriesthatindicatealackoffinancingasaconstraintmaynothaveaninvestmentprogrammeinplaceorhavelowusageratesfordomesticandexternaldonorcommitments(Figure36)

Inde

x of

cap

acity

to in

vest

and

abs

orb

fund

s

Low

M

ediu

mH

igh Ethiopia

Kyrgyzstan

Angola Cameroon Indonesia Mongolia Rwanda Thailand

Uzbekistan Zimbabwe

Azerbaijan Bhutan

Iran (Islamic Republic of) Morocco

Nepal Panama

South Africa Sri Lanka

Bangladesh Central African Republic Benin

Chad FijiEl Salvador

Gambia Lebanon Egypt Guinea Mali Ghana Jordan

Lao Peoplersquos Democratic Republic Madagascar

Mozambique Niger

Kenya Lesotho

Philippines TajikistanSenegal

South Sudan Timor-Leste Viet Nam

Cocircte drsquoIvoire Democratic Republic of the Congo

Dominican Republic Guinea-Bissau

Haiti

Cambodia Equatorial Guinea

Myanmar

Bolivia (Plurinational State of) Paraguay

Honduras Mauritania

Sierra Leone Togo

Countries where low capacity to spend funds and high funding lt50 of funds needed 50ndash75 gt75 of funds

needs cause of concern of funds needed needed

Sufficiency of funds to meet MDG target

FIGUre36Sufficiencyoffundsversusinvestmentandabsorptioncapacity(urbandrinking-water)

Noteindexbasedonatotalscoreforfourquestionsincluding1)isaninvestmentprogrammeimplemented2)Percentageofdonorcapitalcommitmentused3)Percentageofdomesticcapitalcommitmentused4)isfundnginlinewithdecentralizationpoliciesThisanalysissimilartoothersinthisreportisbasedonself-reportedcountrydata

Source 2011 GLAAS country survey (57 respondents)

32

34 fiNANciAlMoNiToriNGANDTrANSPAreNcyhoWcANWeTrAcKWhATiSBeiNGSPeNT

comprehensivemonitoringofbudgetsandexpenditureatdifferentlevelsofgovernmentandfromallsourcesofrevenuecaninformresourcetargetingitprovidesabetterunderstandingofrelativeabsorptionratesandtheeffectivenessofpoliciesandprogrammesandcanprovideinsightintothecost-effectivenessofapproachesusedtoreachWAShtargetsSeveralrespondentcountriesindicatedthatlackofamonitoringframeworkandpost-projectfinancialassessmentsconstrainedfinancialplanning

Transparentbudgetsandpublicationoffinancialstatementsenablestakeholderstoidentifyprioritiesfundingsourcesandpotentialfundinggapsfigure38highlightshowrespondentcountriesareprogressingintermsofbudgettransparencyandcomprehensiveness

furtherdiscussionoffinancinginthisreport(ieAnnexB)willfocusonthedevelopmentofastandardmethodologyfortrackingfinancialflowstosanitationanddrinking-wateratnationallevelsTheabilitytotrackfinancialflowscanhelpgovernmentsindecision-makingandmakethebusinesscaseforincreasinginvestmentsinWAShasawhole

over60ofcountrieseitherhavenofinancialinformationmanagementsystemsinplaceoruseonethatprovidesonlypartialinformation(Figure37)

FIGUre 37 is there a financial information management system to trackinvestments and expenditures in drinking-water sanitation and hygienepromotionatanationallevel

Source 2011 GLAAS country survey (74 respondents)

Useoffinancialsystemsinruralareas

Isthereafinancialinformationmanagementsystemtotrackinvestmentsandexpendituresindrinking-watersanitationandhygienepromotionatanationallevel

Consolidatedbudgetandexpenditureinformationonsanitationisreportedlyavailableforonly40ofcountryrespondents(Figure38)

Required by national policy or regulation

Urban utilities have audited accounts and balance sheet Not requested for sanitation

Donor amp domestic expenditure

Expenditures vs budget reported in consolidated format

Yes all government levels

Budget structure allows separate sectors to be identified

gt75 of funds on budget

Budgets reflect both domestic Drinking-water and donor investment Sanitation

0 20 40 60 80 100 of responding countries

FIGUre38comprehensivenessoffinancialstatementsandtransparency

Source 2011 GLAAS country survey (74 respondents)

33

3 fiNANciNG

35 WAShiNveSTMeNTProGrAMMeSDocoUNTrieSKNoWhoWMUchTheyWillNeeDToSPeNDiNfUTUre

investmentprogrammeshelptodefineandprioritizecapitalneedsmatchexpectedresourceswithcostsofinfrastructureandprogrammesandimproveintergovernmentalcoordinationpredictabilityandtransparencyofbudgetingandexpenditureManyrespondentcountriescitethedevelopmentorimplementationofinvestmentprogrammesassignificantachievementsinrecentyearsTheseprogrammescanalsobelinkedtoastrategicfinancialplanningprocessthatanswersquestionssuchaswho(eguserstaxpayersdonors)shouldpayforwhat(ieoperatingcapitalexpenseswatersanitationruralurbanperiurbanareas)andwhatshouldbethefutureservicelevelThestrategicfinancialplanningprocessdetermineshowmuchmoneyisneededandwhereitwouldcomefrom(oecD2009b)

ldquoTheplannedmid-termexpenditureforsanitationdevelopmentof2010ndash2014increasesaroundfourtimescomparedtosanitationbudgetintheperiodof2005ndash2009rdquomdashIndonesia 2011 GLAAS country survey response

WASHinvestmentprogrammingmaybeimprovinggloballymdash62ofrespondentcountrieshaveestablisheddrinking-waterinvestmentprogrammesand40haveestablishedsanitationinvestmentprogrammes(Figure39)

FIGUre39isthereaninvestmentprogrammethatisagreedandpublished

Sources 2011 GLAAS country survey (74 respondents) 2009ndash2010 CSO and GLAAS country survey

Drinking-waterinvestmentprogrammes2011

Sanitationinvestmentprogrammes2011

trendfrom2009to2011(38countries)

Isthereaninvestmentprogrammethatisagreedandpublished

Statusofinvestmentprogrammes2011

34

36 ADeQUAcyoffiNANce

The2010GlAASreport(Who2010)indicatedthatfewcountrieshadsufficientfinancialresourcestoachievetheirreportedtargetsinfactonly10countrieswerereportedtohavemorethan75ofthefundsneededforsanitationMorerecentdatacollectedinthe2011GlAAScountrysurveysuggestthatdomesticbudgetallocationsforsanitationanddrinking-waterhavebeenincreasingforsomecountriesduetothedevelopmentofinvestmentplansandstrongerpoliticalcommitmenthowevermostrespondentcountriesstillreportashortageofadequatefinancialflowstomeettargetsandthatbudgets

frequentlyfallshortofspendingagreedininvestmentplans

Asevidencethatexpendituresareincreasingforsanitationanddrinking-waterfivecountriesthatreportedinboththe2009and2011GlAAScountrysurveyswerecomparedasshowninTable35fouroutofthefivecountriesindicatedincreasesinexpenditurestothesector

ldquoAStrategicenvironmentalSanitationinvestmentPlaniscurrentlybeforecabinetpendingapprovalThiswillcontributesignificantlytoimprovedsanitationfinancingmdashincreasedandpredictablefundingaswellasbettertargetingofthefundsrdquomdash Ghana 2011 GLAAS country survey response

tABLe35comparisonofexpendituresforsanitationanddrinking-water(2008ndash2010)

Country Sanitationanddrinkingwaterexpenditure(US$million)

2008 2010

BurkinaFaso 258 159

Kenya 286 355

Lesotho 33 118

Madagascar 13 107

Nepal 77 128

Sources 2011 GLAAS country survey 2009ndash2010 CSO and GLAAS country survey

Whilefinancialresourcesforsanitationanddrinking-waterhaveincreasedinsomecountriestotalfundingisreportedtoremaininadequateespeciallyforsanitation(Figure310)

Sanitationadequacyoffinancing2011

ArefinancialflowssufficienttomeetMDGtargets

Drinking-wateradequacyoffinancing2011

trendfrom2009to2011(38countries)Adequacyoffinancing2011

FIGUre310ArefinancialflowssufficienttomeetMDGtargets

Sources 2011 GLAAS country survey (74 respondents) 2009ndash2010 CSO and GLAAS country survey

35

3 fiNANciNG

37ADeQUAcyofreveNUeToSUSTAiNUrBANWATerSUPPlyoPerATioNS

GlAAScountryrespondentsreportedthatutilitieswerenotevenabletorecoveroperationandminormaintenancecoststhroughuserfeesletalonethecriticalcostsoflong-termcapitalmaintenanceManyrespondentcountriescommentedonexistinginfrastructurebeinginapoorstateofrepairoftenasaresultofalackoffundsforpreventiveandcorrectivemaintenancefordrinking-waterthiscanresultinapoorlevelofservicepoorwaterqualityorhighnon-revenuewaterWithtimedegradationoftheinfrastructurewillprogressandcanrapidlyresultinaneedformorecostlymajorassetreplacement

Threepolicyorimplementationaspectsofurbanwatermanagementthatmaypositivelyinfluencerevenuegenerationinclude

bull conductingtariffreviewsandperformingadjustmentsaccordinglymdashoverhalfofcountriesindicatethaturbantariffsarenotreviewedornotadjusteduponreview

bull Decision-makingauthoritymdashoverhalfofcountriesindicatethaturbanutilitiesdonothavedecision-makingauthoritywithrespecttoinvestmentplanning

bull Achievingreductionsinnon-revenuewatermdashoverthreequartersofcountriesindicatethatnon-revenuewaterismorethan20ofwaterproduced

onethirdofcountriesindicatethatrevenuescoverlessthan80ofoperatingcostsforurbanutilities(Figure311)

Non-revenuewaterreductionforefficientmanagementofurbannetworks

Unbilledwaterproducedbyautilitymdashnon-revenuewatermdashtogetherwithotherindicatorssuchaslossesperconnectionorlossesperkilometrecanbeanindicatoroftheldquohealthrdquoofawaterutilityThenon-revenuewaterindicatedbyrespondentstothe2011GlAAScountrysurveycorrespondstotheaveragefigureof31forutilitiesworldwidequotedbytheinternationalBenchmarkingNetworkforWaterandSanitationUtilities(vandenBergampDanilenko2011)Areductionofnon-revenuewatercanalsohelptogeneratefinanceforcapitalmaintenanceandfurtherinvestmentaswellasreducethestrainonscarcewaterresources

FIGUre311Areoperationandminormaintenancecostsforutilitiescoveredbyuserfees

Source GLAAS 2011 country survey (66 country respondents)

34

24

42

Operating ratio greater than 12

Operating ratio between 08 and 12

Operating ratio less than 08

38 iMPlicATioNSforThefUTUre

ThissectiondescribesthesourcesvolumeandtargetingoffundingforWAShThelimiteddatasubmittedsuggestthathouseholdscentralgovernmentandexternaldonorsallcontributesignificantlytoWAShfundingThedataindicatethatfundingisnotnecessarilytargetedtothoseinneedthattheWAShsectorfrequentlyhasdifficultyabsorbingfundingandthatallocationsmaynotbesufficienttosupportsustainable

operationandmaintenanceThesectionoverwhelminglyhighlightsalackofrobustinformationonWAShfinancingitconfirmsthatfinancialdataaregenerallynoteffectivelytrackedandthusnotavailabletoinformdecision-makingStrengtheningthemonitoringoffinancialflowsThroughamethodolgythatensuresharmonizationcomparabilityandconsistencyisurgentandrequiredAproposedmethodologyispresentedinAnnexB

LiberiaCompact

inlate2010followingsuccessfulparticipationatthefirstSWAhighlevelMeetingtheGovernmentofliberiaactivelyengagedSWApartnerstomobilizeresourcesinsupportofliberiarsquosWAShsectorinApril2011theSWApartnershipundertooktosupportnational-levelwaterandsanitationplanninginliberiawithajointPartnerMissionTheMissiontookplaceundertheleadershipoftheGovernmentofliberiaincludingparticipationbyPresidentellenJohnsonSirleafandseveralministersitsetinmotionaprocesstostrengthenplanningandbothmultiministerialandmultidonorcoordinationTheMissionengagedliberia-basedandexternalSWApartnersincludingtheGovernmentofGhana(asGhanahadrecentlycreatedacompactofitsown)theDutchdevelopmentagency(Directorate-Generalforinternationalcooperation)theUnitedStatesAgencyforinternationalDevelopmenttheAfricanDevelopmentBankcivilsocietypartnersWaterAidtheWorldBankrsquosWaterandSanitationProgramUNicefandtheUnitedNationsDevelopmentProgramme(UNDP)TheMissionresultedinatwo-yearcompactformalizinganagreementamongtheministriesdevelopmentpartnersandcivilsocietyorganizationssettingoutactionsinthekeyareasofinstitutionalreformserviceprovisionsectormonitoringandfinancingTheMissiondemonstratedhowinternationalsupportcanbetranslatedintonational-levelactionmdashincreasinglocalownershipimprovingcoordinationandimportantlymakingtheWAShsectormoreldquoinvestmentreadyrdquotobothfinanceministriesanddevelopmentpartnersinacountrywherewatercoverageandsanitationcoverageareestimatedtobeonly73and18respectivelytheMissionandtheresultingWAShcompactareseenascriticalstepsindeliveringsustainableandequitableaccess

36

23 HumanHumanresources44 resources

KeyMeSSAGeS

bullonehalfofcountriesdidnotreportonhowmanyWAShstaffwereinplaceindicatingasignificantlackofinformationonhumanresources

bullonly40ofrespondingcountriesreportedsufficienthumanresourcestooperateandmaintainurbandrinking-watersystemsandlessthan20fordrinking-watersystemsinruralareas

bullTherewasaperceivedacuteshortageofextensionstaffforsanitationandhygienepromotion

bullWomenmakeuplessthan10oftheprofessionalormanagerialwaterandsanitationstaffinhalfofthecountriesthatrespondedtothesurvey

bulllackofadequatefundingandlackoftechniciansandskilledlabourarecommonlyreportedbarrierstoachievingsustainability

4 hUMANreSoUrceS

operatingandmaintainingsanitationanddrinking-watersystemsanddeliveringsanitationanddrinking-waterservicesrequireadiverserangeofpeoplewithavarietyoftrainingexperienceandskillsincludingmanagersplannersengineerslaboratorytechniciansmicrobiologistsmasonsplumbersandhygienepromotersWhatmakessanitationanddrinking-waterperhapsmorecomplexstillistheinvolvementofabroadrangeofgovernmentbodies(frequentlytwoorthreeministriesatthenationallevelfurthermultipliedatlowerlevelsofadministration)ThisinstitutionalinfrastructureiscomplementedbyparastatalauthoritiesandnongovernmentalentitiesincludingtheprivatesectorandcivilsocietyorganizationsthataredirectlyinvolvedinplanningdesignandimplementationThehumanresourcesavailabletoensurethatadequatesanitationanddrinking-waterservicesaredeliveredandsustainedarethereforeanaggregateofthehumanresourcecapacityofallthesedifferentinstitutionscoordinationamongthedifferentorganizationsisessentialwhenitcomestooverallhumanresourceplanningforsanitationanddrinking-water

Thehealthsectorplaysavitalroleinpromotingsanitationandhygieneinmanycountriesaswellasinmonitoringthesafetyofdrinking-watersuppliedtousersinadditiontheeducationandhealthsectorsneedtoensurethatdrinking-waterandsanitationfacilitiesareprovidedandmaintainedintheirschoolsclinicsandhospitals

inthiscomplexanddiverseinstitutionallandscapeitisadauntingtasktodeterminetheroleofeachorganizationandtomapthehumanresourcecapacityandrequirementstodelivertheservicesneededThereforeitshouldcomeasnosurprisethatsomecountrieshadproblemsreportingtoGlAASonhumanresourceissuesThatsaidmanycountriessuggestedthattheircapacitytomeettheMDGtargetswascriticallyhamperedbyalackofhumanresources

41 ADeQUAcyofhUMANreSoUrceDATA

Nearlyonehalfofthecountriessurveyedwereunabletoanswerthequestiononhowmanystafftheyhadinplaceforeitherdrinking-waterorsanitationin2011ofthosethatwereabletorespondtheanswersvariedwidelyforexamplecertaincountriesreportedhavingfewerthan10staff

workingondrinking-wateratthecentrallevelwhereasothercountriesreportedstaffnumbersinthethousandsorhigherWhilethishighlightssomeapparentserioushumanresourceshortagesinwaterandsanitationthevariationmayalsocastdoubtsonthereliabilityofavailablecountrydataonlyonethirdofrespondingcountrieswereabletoindicateanticipatedstaffinglevelsorprojectedstaffingneedsfor2016

Assessinghumanresourcecapacity

ldquoMindtheGaprdquoastudyfundedbytheUnitedKingdomDepartmentforinternationalDevelopmentandledbytheinternationalWaterAssociationcommencedin2008andpilotedthefirstmethodofitskindforsanitationanddrinking-watertocollectdataonhumanresourcegaps(skills)andshortages(numberofworkers)atthenationallevelinitialconclusionsindicatethat

bull Decentralizationisoftennotaccompaniedbythenecessarytransferofhumanandfinancialresources

bull Graduateslackpracticalexperienceinpartduetoinadequatecoordinationbetweeneducationalinstitutesandemployers

bull PrivatecompaniesNGosanddonoragenciestendtoattractthemostskilledlabourwiththehighestqualificationsbutthereisalsostrongcompetitionfromcutting-edgeindustriessuchasthetelecomindustryandmarketingcompanies

bull lowsalarieslackofbenefitsandpoorworkingconditionsinthepublicsectorespeciallyforthoseworkinginremoteareasmakeitdifficulttoattractandretaingoodstaff

followingthisinitialstudyinfivecountriestheinternationalWaterAssociationwiththeassistanceoftheAustralianAgencyforinternationalDevelopmentandtheUnitedStatesAgencyforinternationalDevelopmentiscarryingoutsimilarassessmentsofhumanresourcecapacityinafurther10countrieswithcertainadjustmentsofthemethodtoobtainevenmorerobustandreliabledata(iWA2011)

ethiopiarsquosHealthextensionprogramme

ThehealthextensionProgrammeinethiopiawaslaunchedin2003inresponsetoalackoftrainedhealthworkersWomenareselectedwhohavemorethan10yearsofformaleducationandwhowanttoworkintheircommunitieshealthextensionworkersaregiventrainingonfamilyhealthpreventionandcontrolofcommunicablediseaseshygieneandenvironmentalsanitationandhealtheducationandcommunicationBy2009therewere30000healthworkersThesuccessofthisprogrammeisaresultofinvestmentintrainingbydonorswidespreadacceptancewithincommunitiesandinvestmentininformationsystemsonfamilyhealthdemographicdataanduseofservices

38

42 SUfficieNcyofSTAffiNG

Somecountriesthatreportedonwaterandsanitationstaffinglevelsprovidedastaffingfigureoffewerthan1000fortheentirecountry(egcoveringcentralandlocalstaff)Whileacknowledgingthattheseestimatesmaybeinaccuratetheyneverthelesspointtoamassivegapinavailabledrinking-watersanitationandhygienestaffoftenintheverycountriesthataremostseriouslyoff-tracktomeettheMDGtargetsforexamplefewcountriesreportedhavingsufficientstaffinplacetomeettheirneedsforhygienepromotion

Humanresourcecommitments

AspartoftheSWAinitiativeanumberoffirmcommitmentsrelatingtoidentifyingandaddressinghumanresourcecapacitygapsweremadebyseveralcountriesatthe2010highlevelMeetingsomewerereaffirmationsofexistinginitiativesforexampleinTimorlestethegovernmentisimplementingextensivetrainingprogrammestobuildhumanresourcecapacityAngolahasalsoreconfirmeditsintentiontoaddresshumanresourcecapacitygapsatalllevelsaswellasestablishingaprofessionaltrainingcentreforthewaterandsanitationsectorSomecountriesweresignificantlyinfluencedbythemessagesconveyedatthehighlevelMeetingMauritaniaforexamplecommittedtohireandtrainsufficientstaffindecentralizedhydraulicsandsanitationservicesandreportsgoodprogressinthisregard

furtheronly40ofcountriesreported Staffingisalsoaconcerninruralhavingsufficientstafftomeetthe sanitationwherelessthan20ofoperationandmaintenanceneedsof respondentcountriesconsiderthetheirurbandrinking-watersystems supplyofskilledlabourandtechniciansforruraldrinking-watersystemsthe adequatelydevelopedtomeettheirsituationwasworsewithlessthan20 needs(figure42)ofcountriesreportingsufficientstafftooperateandmaintaintheirsystems(figure41)evenwhereruralschemesaredesignedtobehandedovertocommunitiessomedegreeofoversightandsupportbytechnicallyqualifiedpeopleisrequiredWithoutthemsystemsareboundtomalfunctionandcommunitieshavenochoicebuttoreturntoaccessingunimprovedwatersources

Countriesreportinsufficientstafftooperateandmaintainurbanandruraldrinking-watersystems(Figure41)

FIGUre41 is theresufficientstaff tooperateandmaintainurbanand ruraldrinking-watersystems

Source 2011 GLAAS country survey (67 country responses)

Yes sufficient to meet demand

Yes but insufficient to meet demand

No

Num

ber o

f cou

ntrie

s Urban drinking-water Rural drinking-water

27

40

2 11

51

7

0

10

20

30

40

50

60

Lessthan20ofrespondentcountriesconsiderthesupplyofskilledlabourandtechniciansadequatelydevelopedtomeetneedsinruralsanitation(Figure42)

FIGUre 42 Are there sufficient supply-side artisanstechnicians to meetneedsinruralsanitation

Source 2011 GLAAS country survey (73 country respondents)

18

68

14

Capacity well developed

Capacity under development

None

39

4 hUMANreSoUrceS

43 STAffiNceNTiveSANDcoNTiNUiNGeDUcATioN

countriesreporthavinginsufficientincentivesfordrinking-watersanitationandhygienestaffStrengtheningmotivationcanbefosteredbyanumberoffactorsincludingcreatingopportunitiestodevelopskillsandincreaseexperienceAlthoughmanycountriesreportthatsuitablein-countryeducationandtraininginstitutionsdoexisttheyalsoreportthatthereareinsufficientcoursesavailabletomeettheneedsoftheexistingstaffMappingoftraininginstitutionsthatofferappropriatecourseswouldbeanimportantfirststepinstrengtheninghumanresourcecapacityacrosstheregionsThepossibleroleofnationalinstitutionsforpublicadministrationandmanagementneedstobeexploredastheseusuallyprovidetrainingforcivilservantsirrespectiveofthesectorinwhichtheyworktheycanthereforecontributetoovercomingthefragmentationofthehumanresourcebaseandoftheinstitutionalenvironmentinwhichpeopleoperate

44 GeNDer

GiventhecentralrolethatwomenplayincontributingtoimprovingaccesstoWAShcountrieswereaskedtoreportontheproportionoffemalestaffforsanitation(includingbothprofessionalandskilledworkerssuchashygienepromoters)andfordrinking-water(professionalworkersonly)inthestaffingforbothsanitationanddrinking-waterwomenareaclearminorityhalfoftheGlAASrespondentcountriesreportedthatwomenmakeuplessthan10oftheprofessionalmanagerialstaff

45 BArrierSiMPeDiNGDeveloPMeNTofhUMANreSoUrceS

countrysurveyrespondentswereaskedtoidentifythemostcriticalfactoraffectingtheadequacyofhumanresourcelevelsindrinking-waterandsanitationatseverallevelsofgovernmentandforbothprofessionalsandtechnicalskilledworkersAcrosstheboardinsufficientbudgettohireandretainstaffwasviewedasthemostlimitingfactoraffectinghumanresources(figure44)Theresponsesalsoindicatethatthelackofqualifiedapplicantsplaysalargerroleinstaffingatthelocalandregionallevelsthanatthenationalorutilitylevel

Inmostcountriesthereareopportunitiesforcontinuingeducationandtrainingbuttheopportunitiesareinsufficienttomeettheneedsofthestaff(Figure43)

Yes sufficient to meet demand

Yes but insufficient to meet demand

None

Sanitation Drinking-water

8

48

14 7

58

7

0 10 20 30 40 50 60 70

Num

ber o

f cou

ntrie

s

FIGUre43istherecontinuingeducationprovidedforstaff

Source 2011 GLAAS country survey (72 country responses)

Sanitation Drinking-water

Inadequatebudgetisthereasonmostfrequentlycitedforalackofstaff(Figure44)

Sanitation Drinking-water

50 45 40 35 30 25 20 15 10 5 0

Not enough qualified

applicants

Inadequate budgets

Work context constraints

Other barriers No barrier

o

f res

pons

es(a

ll po

sts

and

gove

rnm

ent l

evel

s)

FIGUre44Mostprevalentreasonsforstaffshortagescitedbycountries

Source 2011 GLAAS country survey (65 country respondents)

Sanitation Drinking-water

40

46 hUMANreSoUrcePlANNiNG

Anumberofcountrieshavealreadydevelopedhumanresourcestrategiesfordeliveringsanitationanddrinking-waterserviceswhereasanevengreaternumberaredevelopingtheirhumanresourcestrategiesAminorityofcountrieshavenospecifichumanresourcestrategyforsanitationanddrinking-water(figure45)SeveralrespondentcountriesinthelatinAmericaandcaribbeanregionpointedtotheformulationofahumanresourcestrategyandtoplanningaspriorityareasindicatingthatalackoftargetsprogrammesandspecificpoliciesforhumanresourcemanagementareobstaclestoattractingandretainingqualifiedpersonnelforsanitationanddrinking-water

ldquolargelyduetothelackofprogrammesinthemediumandlongtermthethreespheres(federalStateandMunicipal)ofgovernmentpoliciesforhumanresourcesarestillprecariousirregularandunsystematicrdquomdash 2011 GLAAS country response from Latin America and Caribbean region

Mostcountrieseitherhaveoraredevelopinghumanresourcestrategiesforsanitationanddrinking-water(Figure45)

Sanitationhumanresources2011

Arehumanresources(Hr)addressedinnationalstrategies

YesandHRprogrammesdevelopedforbothurbanandrural

YesandHRprogrammesdevelopedforurbanorrural

HRprogrammesunderdevelopment

HRprogrammesunderdevelopmentforurbanorrural

No

Notasurveyparticipant

Datanotavailable

Notapplicable

Humanresources(Hr)2011

Sanitation384032 Drinking-water

3035

2625 21

182015 81050

YesandHRprogrammes YesbutHRprogrammes Noimplemented underdevelopment

trendfrom2009to2011(38countries)

Drinking-water

Sanitation

2009 2011

2009 2011

0 10 20 30 40 50 60 70 80 90 100

of countries that have addressed human resources in national strategy

FIGUre45Arehumanresourceshraddressedinnationalstrategies

Source 2011 GLAAS country survey (74 country respondents)

Drinking-waterhumanresources2011

Num

bero

fcou

ntrie

s

41

4 hUMANreSoUrceS

47 iMPlicATioNSforThefUTUre

ThissectionshowsthatsignificantlygreatereffortsarerequiredtoassesshumanresourcecapacitygapsandneedsThisisasignificantchallengegiventhecomplexitiesofhumanresourceplanningThisplanningincludingthedevelopmentofpostdescriptionsrequiresanappreciationofthosecompetenciesandskillsneededforthedeliveryofservicesnowandinthefutureitdemandsanunderstanding

oftheadequacyofsecondaryandtertiaryeducationalinstitutionstorespondtosocietalneedsitalsorequiresawarenessofthedemandforskilledstaffbytheprivatesectorTacklingthisalreadydifficulttaskisimpededbytheexistingpaucityofdataonhumanresourceswithinthevariousorganizationsresponsibleforplanningdesigningandimplementingWAShsystemsandservicesfurtherstudyisalsorequiredtounderstandtheimpactofaninsufficienthumanresourcebaseonthecapacityofcountriestoabsorbandusefunds

UN-WaterGlAASwillworkwithrelevantpartnerstodevelopasuitablemethodthatultimatelywillenablecountriestoassessthedemandforappropriatelyskilledpeopleAtthesametimegovernmentswillneedtoensurethattherightinstitutionalenvironmentandcareerdevelopmentincentivesareinplacefortheseopportunitiestobeseizedinorderbothtoincreaseWAShservicestotheunservedandtomaintainexistingservices

42

equity5

KeyMeSSAGeS

bullNearly80ofcountriesrecognizetherighttowaterandjustoveronehalftherighttosanitationProgressiverealizationoftheserightscanoccurascountriesrecognizetheirlegalobligationtosetoutandimplementpoliciesandprogrammesthatensureequalitypublicparticipationandaccountability

bullotherimportantaspectsofrealizingtherightstowaterandsanitationincludetargetingresourcestounservedpopulationsandensuringthattheseresourcesareutilizedeffectivelyandfairlywithoutdiscriminationhoweverjustoneinfivecountriesconsistentlyapplyequitycriteriainfundingallocationsforsanitationwhereasonethirdapplyequitycriteriatodrinking-waterinvestments

bullover60ofcountrieshavedefinedequitycriteriabutmostreportthattheyarenotsystematicallymonitored

bulloverhalf(57)ofcountriesindicatethatserviceprovidersreportperformancetotheircustomers

bullStrengtheningparticipatoryprocessesthroughwhichcommunitiesaremadeawareoftheirrightscanleadtogreaterownershipmoreinvolvementinoperationandmaintenanceandimprovedsustainabilityofsanitationandwaterservices

5 eQUiTy

inequitybetweenandwithincommunitiesinallocationofresourcesandthecorrespondingoutputsremainsaseriouschallengeforexamplelocalpoliticsmayinfluenceresourceallocationsinsuchawaythatcommunitieswithsufficientwaterandsanitationreceivemorefundingforwaterandsanitationthanthosewithoutequityandnon-discriminationcanbepromotedbytargetingresourcestothosefacingsignificantlimitationsinindependentlyaccessingWAShsuchaswomenpeoplewithdisabilitieschildrenorthechronicallyill

51 hUMANriGhTSToWATerANDSANiTATioN

GovernmentsthathaverecognizedtherightstowaterandsanitationthroughinternationaltreatiesandornationallegislationareobligedtoestablishastrategyorplanofactiontoensurethattherightsarerealizedGovernmentsneedtotaketheleadwiththesupportofallrelevantstakeholdersintakingconcretestepstoprogressivelyrealizeuniversalaccesstowaterandsanitationThisimpliesdevelopingandimplementingstrategiestoprioritizeprovisionofservicestothosewithoutaccessmdashoftenpoorvulnerableandmarginalizedgroups

reCoGNItIoNoFtHerIGHtStoWAterANDSANItAtIoNNearly80ofrespondentcountriesindicatethattherighttowaterisfullyrecognizedinpolicyorlegislation(figure51)andover50fullyrecognizetherighttosanitation(figure52)Whilecountrieshavecitedtherecognitionoftheserightsasamajoraccomplishmenttranslationofthesestatedrightsintoconcreteorexplicitequityandnon-discriminationprovisionsandpro-poorpoliciesandstrategiesappearstobeinitsearlystages

Nearly80ofrespondentcountriesindicatethattherighttowaterisfullyrecognizedinpolicyorlaw(Figure51)

FIGUre51istherighttowaterexplicitlyrecognizedinpolicyorlaw

Source 2011 GLAAS country survey (74 country respondents)

Istherighttowaterexplicitlyrecognizedinpolicyorlaw

over50ofrespondentcountriesindicatethattherighttosanitationisfullyrecognizedinpolicyorlaw(Figure52)

FIGUre52istherighttosanitationexplicitlyrecognizedinpolicyorlaw

Source 2011 GLAAS country survey (74 country respondents)

Istherighttosanitationexplicitlyrecognizedinpolicyorlaw

Internationalmilestones

in2002theUnitedNationscommitteeoneconomicSocialandculturalrightsaffirmedthatwaterwasahumanrightinitsGeneralcommentNo15whichstipulatesthattherighttowaterentitleseveryonetosufficientsafeacceptablephysicallyaccessibleandaffordablewaterforpersonalanddomesticuses(UNeconomicandSocialcouncil2002)in2010theUNGeneralAssembly(2010)andtheUNhumanrightscouncil(2010)adoptedresolutionsrecognizingsafeandcleandrinking-waterandsanitationasbasichumanrights

ldquoThehumanrighttosafedrinkingwaterandsanitationisderivedfromtherighttoanadequatestandardoflivingandinextricablyrelatedtotherighttothehighestattainablestandardofphysicalandmentalhealthaswellastherighttolifeandhumandignityrdquomdashUN Human Rights Council (2010)

44

CoMpLAINtMeCHANISMSANDLeGALreMeDIeSWhenacountryrecognizestherightstowaterandsanitationitisboundbythreetypesofobligationstorespecttoprotectandtofulfilthosehumanrightsfirststatesmustrefrainfrominterferingdirectlyorindirectlywiththeenjoymentoftherightstowaterandsanitationSecondstateshaveanobligationtopreventthirdpartiesfrominterferingwiththeenjoymentoftherightsAndthirdstateshavetoadoptthenecessarymeasuresdirectedtowardsthefullrealizationoftherightstowaterandsanitationinamajorityofcountrieswheretherightstowaterandsanitation

arerecognizedcitizencomplaintmechanisms1andthepossibilitytojudiciallyclaimtheserightsareinplaceforinstance70ofrespondentcountriesthatrecognizetherighttowaterhaveindicatedthatthisrightcanbeclaimedinadomesticcourtand75indicatethateffectivecomplaintmechanismsexistforthosewhohaveunsatisfactoryaccesscountriesindicatethatuseofthesemechanismsisstilllimitedhoweverlikelybecausetherightsapproachisrelativelyrecentandthereisaconsequentlackofawarenessamongthepopulationandcivilsociety

CaseexampleIndigenouscommunityinBotswanasuccessfullyclaimslegalrighttowater

litigationcanoftenleadtoredressforindividualvictimswhilealsobringinggreaterlegalcertaintytoclaimsontherightstowaterandsanitationThisisofparticularimportanceincaseswherewateraccessmaybetiedtolandownershipforinstanceinJanuary2011thefinaljudgementwasdeliveredonalawsuitbroughtbyrepresentativesofagroupoftheBasarwaindigenouscommunitylivinginthecentralKalahariGamereserveinBotswanaunderthecountryrsquosWaterActtoenforcetheirrighttowaterThecommunityfounditselfinthepositionoflawfullyresidinginthereservebutnotbeingallowedtomakeuseoftheexistingboreholefortheirwaterneedsThecommunitysufferedfromthelackofaccesstowaternothavingsufficientwaterforpersonalhygieneandotherpersonalanddomesticusesleadingtoseriousconsequencesfortheirhealthThecourtnotedthatthecorrectinterpretationoftheWaterActallowedanyoneoccupyinglandtodrillboreholesfordomesticusewithoutaspecificwaterrightAdditionallyinformedbyGeneralcommentNo15ofthecommitteeoneconomicSocialandculturalrights(UNeconomicandSocialcouncil2002)andthe2010resolutionsoftheUNGeneralAssembly(2010)andtheUNhumanrightscouncil(2010)ontherightstowaterandsanitationthecourtupheldtheBasarwasrsquoclaimthatdeprivationofwatercanamounttodegradingtreatmentunderthecountryrsquosconstitution

twenty-threecountriesindicatethattherighttowaterandorsanitationhasbeenclaimedinadomesticcourt(Figure53)

12

32 28

16

33

21

0 5

10 15 20 25 30 35

Yes and claims filed Yes but no claims filed No

Num

ber o

f cou

ntrie

s

Sanitation Drinking-water

FIGUre53canpeopleclaimtheirhumanrighttosanitationanddrinking-waterinadomesticcourt

Source 2011 GLAAS country survey (72 country respondents)

Informingcitizensoftheirrightsandmechanismstolodge

complaintsinKenya

A2010pilotstudyledbytheUNDPinKenyarsquosBondoDistrict(APSconsultantsundatedUNDP2010)helpedspreadawarenessoftherighttogainregularaccesstosafeaccessiblesufficientandaffordablewaterbutalsoabouttheirresponsibilitiesPeoplewereinformedoftheirrightsandofamechanismtolodgecomplaintsspecificallyconcerningwatercorruptionandvandalismoneofthemainlessonslearntwasthatcommunitieshavenotbeensituatedaskeystakeholdersintheplanningdesignandimplementationofWAShprojectsasaresulttheirparticipationintheseprocesseshasbeenverylimitedTheprojecthighlightedthatwhererightsholdershadbeenpartofthedecision-makingtheyhadastrongersenseofownershipandweremoreinvolvedinoperationandmaintenancetoensuresustainabilityofthewatersupply

ldquocivilsocietyisnotawareofthehumanrighttodrinking-waterrdquomdashDemocratic Republic of the Congo 2011 GLAAS country survey response

1complaintmechanismscanbeusedbycitizenstovoicetheirconcernsregardingthelackofservicethequalityofthewaterandbillingandtariffissuestoreportvandalismblockagesandspillsetcWhiletheexistenceofcomplaintmechanismsiscitedasstandardgoodutilitypracticeitisalsoacriticalaspectinaparticipatoryapproachsetforthinthehumanrightsframework

45

5 eQUiTy

proGreSStoWArDSreALIzAtIoNTocreateanenvironmentconducivetotherealizationoftherightstowaterandsanitationcountriesareexpectedtoembracebasicprinciplesof1)non-discriminationandequality2)meaningfulparticipationindecision-makingandempowermentand3)accountabilityandtransparencyThroughtheGlAASquestionnairecountryrespondentswereabletoreportonalimitednumberofelementslinkedtotherealizationoftherightstowaterandsanitation

figure54showsthepercentageofrespondentcountriesthathaveappliedkeynon-discriminationorequityprovisionsinnationalstrategyandfundingdecisionsincludingwhethertheseprovisionsincludemarginalizedorvulnerablepopulationsThechartalsoshowswheretherearedefinedproceduresforlocalparticipationandthetransparencyofbudgetingandutilityperformancereporting

pUBLICreportINGoNperForMANCeToimproveaccountabilityandincreasetransparencywaterutilitiesare

progressivelyrecognizingthevalueofmeasuringandpubliclyreportingontheperformanceofservicesmdashonarangeofoperationalfinancialandtariffindicatorsPublicrecordsofperformanceallowforbenchmarkingwhichcreatesincentivestocontinuouslyimproveservicesMoreovercomparisonofcurrentperformancewithhistoricalperformanceorwithnationalorinternationalstandardsisexpectedtotriggerinternalreformsintermsofpolicy-makingandmonitoringbetterresourceplanningbetteraccountingauditingandprocurementandbetterperformance

Implementationofelementsassociatedwithrealizingtherightstowaterandsanitationremain

0 20 40

Drinking-water regulator Specific plans for serving the urban poor

Utility reporting of performance Specific provisions to address women Monitoring and action on affordability Equity criteria for funding allocations

Specific provisions for slums and informal settlements Specific provisions for people with disabilities

Defined procedures to support citizen participation Transparency of budgets

More than 25 of budget allocated to poor communities Equity criteria and targets for unserved

limited(Figure54)

Drinking-water

Sanitation

60 80 100 of responding countries

FIGUre54Progressonequityparticipationandaccountabilityelements (ofcountrieswithelementsorprovisionsappliedorimplemented)

Source 2011 GLAAS country survey (64 country respondents)

overhalf(57)ofcountriesreportthatserviceprovidersreportperformancetotheircustomers(Figure55)

8

31 31

20 24

28

0 5

10 15 20 25 30 35

Yes required by policy or regulation

Yes but done voluntarily or not systematically

No

Num

ber o

f cou

ntrie

s

Sanitation Drinking-water

FIGUre55Doutilitiesreporttheirperformanceresultstotheircustomersintheirannualreportorinbills

Source 2011 GLAAS country survey (72 country respondents)

enforcingbuildingcodesinGhanatoincreaseaccesstosanitation

Themajorityoflow-incometenantsinGhanalackaccesstosanitationfacilitiesintheirhomesdespiterequirementsthathousesincludealatrinemdashbuildingcodesandby-lawshavebeeninexistencesince1948Developersoftenmodifyplanstoexcludetoiletsinordertomaximizethenumberofroomstheycanrentout

46

52 USeofeQUiTycriTeriAToAllocATereSoUrceS

consistentuseofcriteriatoallocateresourcestounservedanddisadvantagedpopulationsisakeytooltoimprovetheequitableallocationofresourcesBudgetallocationoftentendstofavoururbanareaswhichresultsininequitableoutcomesbetweenruralandurbanareas

Inclusivewaterandsanitation

ldquoPersonswithdisabilitiesincludethosewhohavelong-termphysicalmentalintellectualorsensoryimpairmentswhichininteractionwithvariousbarriersmayhindertheirfullandeffectiveparticipationinsocietyonanequalbasiswithothersrdquomdashConvention on the Rights of Persons with Disshyabilities (UN General Assembly 2006)

MostdisabledpeoplelivewithoutaccesstoinclusivewaterandsanitationfacilitieswhichcanexacerbateimpairmentsandpovertyStigmaanddiscriminationcanalsoresultinthedenialofaccesstosanitationanddrinking-watermakingthedisabledevenmorevulnerableinGlAASanumberofcountrieshavewaterandsanitationpoliciesthatrefertopeoplewithdisabilitieshoweverforthemostpartconsiderationofpeoplewithdisabilitiestendstobeincludedonlyintheprojectsofNGos

onefifthandonethirdofcountrieshaveconsistentlyappliedequitycriteriainfundingallocationsforsanitationanddrinking-waterrespectively(Figure56)

Sanitationuseofequitycriteria2011

Drinking-wateruseofequitycriteria2011

Arethereagreedcriteriausedtoallocatefundingequitablytocommunitiesandaretheybeingapplied

Yesandconsistentlyappliedforbothurbanandrural

Yesandconsistentlyappliedforurbanorrural

Yesforurbanandruralbutnotconsistentlyapplied

Yesforeitherurbanorruralbutnotconsistentlyapplied

Noforbothurbanandrural

Notasurveyparticipant

Datanotavailable

Notapplicable

Useofequitycriteria2011Sanitation Drinking-water35 30 29 2730

25

Num

ber o

f cou

ntrie

s

13

25

19

Yes and they are applied Yes but not applied No

WaterAidanditspartnersinMadagascarhavemadethedrinking-watersupplysanitationandhygienefacilitiesinstalledmoreaccessibleThe

20 15 10 5 0remodifieddesignshavemadethe

waterandsanitationfacilitieseasierto consistently consistently useandmoreaccessibleformanyinthecommunitiesincludingchildren trendfrom2009to2011(38countries)olderpeoplethosewhoareillandpregnantwomen

2009

2009

2011

2011

0 10 20 30 40 50 60 70 80 90 100

of countries using equity criteria in funding allocation

Source Randrianarisoa (2010) Drinking-water

Sanitation

FIGUre 56 have criteria been agreed to allocate funding equitably tocommunitiesandaretheybeingapplied

Source 2011 GLAAS country survey (74 country respondents)

47

5 eQUiTy

53PerioDicASSeSSMeNTofeQUiTyPolicieS

PeriodicassessmentsbycivilsocietyandgovernmentsofhowresourcesarebeingallocatedcanhelptoensurethatpoorpeoplegettheirfairshareofpublicspendingonservicesSuchassessmentshelptoincreasecitizensrsquoparticipationespeciallythatofexcludedsocialgroupsintheformulationandimplementationofsanitationanddrinking-waterpoliciesandcanoftendelivermoreeffectiveandequitableresultsWheretherearediscrepanciesbetweenpolicystatementsandactualdeliverycivilsocietyorganizationsplayakeyroleinscrutinizingbudgetsanddemandingmoreequitableresourceallocationforwatersupplymdashsometimesresultinginimprovementsinpublicspendingonservicesusedbypoorpeopleandensuringthatpublicspendingactuallyreachesandbenefitspoorpeoplecivilsocietyorganizationshavealsoplayedaroleinstrengtheningroutinemonitoringsystemsofWAShthroughmappingruralwatersupplyandusingthedatatochallengethisinequitableresourceallocationthuscontributingtostrengtheneddemocracyandimprovedaccountability

Womenrsquosparticipationisencouragedindecision-makingatthecommunitylevelandisoftenprescribedinnationalwaterandsanitationpolicyandimplementingstrategieshoweverwomenstillfaceobstaclestoparticipatingindecision-makingThekeychallengeistotranslatepolicyandaffirmativeactionintoaprocessinwhichwomenrsquosparticipation(aspublicservantsandserviceprovidersaswellasconsumers)ismeaningfulnotjustsymbolic

onthewholetheimpactofequitypoliciesforvulnerableandmarginalizedgroupstendsnottobemeasuredtoseeiftheyhaveinfactresultedingreateraccesscountriesconfirmthatthereisalackofbothquantitativeandqualitativeevidenceonequityandinclusionissuesinWASh

54 iMPlicATioNSforThefUTUre

ThissectionshowsthatwhilemostcountrieshaverecognizedtherightstowaterandtoalesserextentsanitationgreatereffortsarerequiredtoprogressivelyrealizetheserightsTheseincludeestablishingandmonitoringtheimpactofpoliciesthatpromoteequityandnon-discriminationpublicparticipationandaccountabilityaswellasimprovedtargetingofthepoorandthevulnerablewithincountriesThisimpliesencouragingmultistakeholderparticipationindecision-makingthroughconsultationwithusersandthroughregularWAShreviewsinvolvementoflocalcommunitieswilllikelynotonlyimproveequitableoutcomesbutduetoincreasedownershipoveroperationandmaintenancealsopromotesustainedbenefitsforthoseusingexistingWAShserviceshowtoscaleupinclusionandequityissueshowtodesignservicesthataresuitableforeveryoneandhowtoholdserviceproviderstoaccountforthisallremainoutstandingissuesthatneedfocusedattention

Commitmentstoimprovetargetingtothepoorandvulnerable

AttheSWAhighlevelMeetingin2010manycountriesmadecommitmentsrelatedtoimprovingtargetingofthepoorandvulnerableManyrelatedthistotheuseofdataandevidencetoidentifygroupsinneedAngolaethiopiaandTimorlestecommittedtousingaccessandcoveragedatatoensurethatallocationsoffundsreachedtheunservedallhavereportedprogressindoingthisAngolahassinceestablishedaninformationsystemforwaterandsanitationtoprovidereliabledataforplanningbudgetingandevaluatingimplementationTimorlesteintroducedawaterinformationsystemcalledSistemainformasaunBeetomonitoraccesstoimprovedwatersourcesthisisusedtotargetunservedpopulationsespeciallyinruralareaswheresignificantdisparitiesexistTheinformationisalsousedtotargetvulnerablehouseholdsinthedevelopmentofdistrictplansThesystemhasbeenexpandedtoincludeaccesstoimprovedsanitationfacilitiesSenegalcommittedtostrengtheningitsexistingpro-poorpolicylikewisedonorsmadecommitmentstolinkidentifiedgapswithaidallocationsandreportgoodprogressTheUnitedKingdomisusingcoveragedatatohelpdeterminethetypeofsupportthatthepoorestcountriesneedTheAfricanDevelopmentBankisrespondingtotheevidenceofgapsinAfricabyfocusingonruralareaswhilealsomaintainingsupportforperiurbanareassmallandmedium-sizedtownsandurbansanitation

opportunitiesexistformoreinvolvementofcivilsocietyinassessingtheapplicationofequitycriteria(Figure57)

12 16

41

15 23

33

0

10

20

30

40

50

Yes both government and civil society

Yes but only government

No

Num

ber o

f cou

ntrie

s

Sanitation Drinking-water

FIGUre57Dogovernmentandcivilsocietyorganizationsperiodicallyassessandanalysewhetherequitycriteriasetbygovernmenthavebeenapplied infunding

Source 2011 GLAAS country survey (74 country respondents)

48

quity5 eexternal66 support

KeyMeSSAGeS

bullDespitetheglobalfinancialcrisisthetotalamountofdevelopmentaidforsanitationanddrinking-waterincreasedby3from2008to2010toUS$78billionNon-concessionallendingforsanitationandwaterincreasedfromUS$25billionin2008toUS$44billionin2010

bullonly7ofsanitationanddrinking-wateraidisdirectedatthemaintenanceofsystemsandservices

bullDevelopmentaidforsanitationanddrinking-watertofragileandconflict-affectedstatesincreasedby50fromUS$560millionin2007toUS$840millionin2010andincreasedfromalowof5oftotalWAShaidin2004to11oftotalWAShaidin2010

bullonlyhalfofsanitationanddrinking-wateraidistargetedatregionswhere70oftheglobalunservedlivethesub-SaharanAfricaSouthernAsiaandSouth-easternAsiaMDGregions

bullAidforbasicsystemscomprised26ofaidforsanitationandwaterin2010anincreasefrom16in2008

bullopportunitiesexistforincreasingalignmentwithcountryprioritiesthroughsectorbudgetsupportwhichiscurrentlyusedforlessthan5ofWAShdisbursements

6 exTerNAlSUPPorT

DespitethedeepglobalfinancialcrisiseSAsremaincommittedtosupportingcountriesintheirquesttohelpgovernmentsachievetheMDGsThiscommitmenthasbeenthekeyargumentforring-fencingpartsoftheaidbudgetsingeneralandforsanitationanddrinking-waterinparticularThecommitmentisfurtherreflectedinagraduallyrisingaidbudgetgloballydrivenbythestrongpushfromtheeuropeanUnion(eU)anumberofbilateralagenciesandinternationalfinancinginstitutions

eSAshaveanequallystrongdesiretoensurethatthecommitmentsmadetranslateintoresultsthatcanbemeasuredThispushbyanumberofeSAstoenhancetheaccountabilityagendaemergesasmoreeSAsareinthespotlightfromtheirownelectoratesorconstituenciesTheaddedpressuretoattributesuccesstoanindividualeSArsquosprogrammeorprojectmayreduceuseofflexiblecountry-ledfundingmechanismssuchasgeneralbudgetsupportorsectorbudgetsupporteSAsincreasinglydemandthattherecipientcountriesreportinmoredetailhowaidhasbeenusedandhowtherecipientcountriesthemselvesreporttotheirownconstituenciesThisincreasedopennessisreflectedintheinternationalAidTransparencyinitiativewhichgrewoutofthehighlevelforaonAideffectivenessthatstartedinromein2002andsubsequentlytookplaceinParisin2005inAccrain2008andmostrecentlyinBusanin2011inBusanparticipantsrecognizedtheheavyburdenplacedondevelopingcountriesbytheincreaseinthenumberofdonorsthatprovideaidtorecipientcountriesupfromanaverageoftwodonorsperreceivingcountryin1960to28donorsin2006fiveguidingprinciplesemergedfromthesehighlevelforalocalownershipalignmentofdevelopmentprogrammesaroundacountryrsquosdevelopmentstrategyharmonizationofpracticestoreducetransactioncostsavoidanceoffragmentedeffortsandthecreationofresultsframeworks

Areliableandaccessibledatabaseofinformationisnecessarygiventheemphasisonincreasedaccountabilityandtransparencyandontheneedtodemonstrateresultscomparedwithothersectorshoweverinparticularhealthandeducationthe

sanitationanddrinking-watersectorslackbasicinformationsuchaswhatdifferentinterventionscosthowmuchgovernmentstheprivatesectorandhouseholdsinvestinsanitationanddrinking-waterandspendonmaintainingandimprovingthefacilitiestheyhavewhathumanresourcesareavailabletosanitationanddrinking-waterandwhathumanresourcegapsneedtobefilled

TheworldiscomingunderincreasedpressuresfromtheeffectsofpopulationgrowthincreasedwealthandconsumptionpatternsbringaddedpressuresonwaterresourcesandwaterusagebyhouseholdsWhileglobalizationbringspeopleclosertogetheritalsobringsconflictsfromremoteplacesclosertothedonorcountriescountriessufferingfromfragilityandconflictareincreasinglybecomingthefocusofattentionforexternalsupportrecognizingthatthesecountrieshavethepotentialtoundotheresultsofconcerteddevelopmenteffortsandreversemanyofthegainsofthelasttwodecadesinreducingglobalpoverty

61 TArGeTiNGofAiDSecTorS

AidcommitmentsfromdonorsreportingtotheoecD-crStotalledUS$164billionin2010(US$163billionatconstant2009prices)upfromUS$160billionin2008mdashanincreaseof25comparing2008and2010aidcommitmentsforwaterandsanitationincreasedfromUS$75billiontoUS$78billiona32increase

itisnotablethat2009appearstobeanexceptionalyearwhenaidcommitmentsforwaterandsanitationincreased17fromthepreviousyearlargelyduetoaone-yearincreaseofUS$11billioninaidcommitmentsfromJapan

Developmentaidcommitmentstosanitationanddrinking-waterwerelowerthanthoseformostsocialsectorsincludinghealthandeducationandlowerthanthoseforgovernmentandcivilsocietytransportandstorageenergyandagriculture

Aidcommitmentstowaterandsanitationremainedat47(US$78billion)oftotalreporteddevelopmentaidin2010(Figure61)

Government and civil society Transport and storage

Multisectoral cross-cutting Education

Energy Humanitarian aid

HIVAIDS reproductive health Agriculture forestry and fisheries

Health Water and sanitation

Administrative cost of donors General environmental protection

Other social infrastructure Actions relating to debt

General budget support Refugees

Banking and financial services Industry mining and construction

Business services Food aid

Trade policies regulations tourism Reconstruction relief and rehabilitation Disaster prevention and preparedness

Communications Unspecified

Other commodity assistance

0 2 4 6 8 10 12 14 16 18 20

Commitments 2010 (US$ billion)

FIGUre 61 Sanitationanddrinking-wateraidcommitments in relation toallotheroDAcommitments2010

Source OECD (2012)

50

BycomparisontheUS$133billioncommittedtoeducationrepresents80oftotaldevelopmentaidandtheUS$195billioncommittedforhealthpopulationreproductivehealthandhumanimmunodeficiencyvirusacquiredimmunodeficiencysyndrome(hivAiDS)represents119ofaidfromdonorsreportingtooecD(figure62)Thisrelativelyhighproportionofaidforhealthandeducationismirroredintheresponsestothe2011GlAASeSAsurveyinwhichboththesesectorswerefrequentlycitedasbeingatornearthetopoftheirprioritieswhereassanitationanddrinking-waterwerefrequentlycitedasbeinginthetoponethirdoftheirprioritiesThiscomparativeanalysisisnottosuggestthatdevelopmentaidshouldbeshiftedfromothersectorstowaterandsanitationhoweveritisintendedtoprovideinsightintothetrendsandprioritiesofeSAsoverall

62 exTerNAlfiNANciNGfloWS

externaldevelopmentassistancetosanitationanddrinking-waterisprovidedbycountriesmultilateralorganizationsNGosandprivatefoundationsAidisprovidedthrougharangeoffundingchannelsandforvariouspurposesincludinggeneralbudgetsupportandsectorbudgetsupportaswellastoprojectsdirectlyforinfrastructuredevelopmentplanningtrainingadvocacyeducationandmonitoringfinancialaidcanbeintheformofgrantsconcessionalloansorcreditsandmaycoverthemajorityofnational(governmentandexternalbutnotincludinghousehold)spendingonsanitationanddrinking-watermdashinsomecountriesnear90

Aidfordrinking-waterandsanitationhasrisenslowlyasapercentageoftotaldevelopmentaidsincethelowpointof2002butisstillsignificantlybelowaidforsocialsectorssuchashealthandeducation(Figure62)

13

12

11

10

9

8

7

6

5

4

3

2

1

0

Sanitation and water

Aid

com

mitm

ents

as

a

of t

otal

OD

A c

omm

itmen

ts Education Health population HIVAIDS US$ 195 billion

US$ 133 billion

US$ 78 billion

1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010

FIGUre62TrendsinaidforwaterandsanitationeducationandhealthpopulationhivAiDSasapercentageoftotaloDAcommitments1995ndash2010

Source OECD (2012)

51

6 exTerNAlSUPPorT

thetotalamountofdevelopmentaidforsanitationanddrinking-waterincreasedtooverUS$78billionin2010fromUS$75billionin2008Non-concessionallendingincreasedfromUS$25billionin2008toUS$44billionin2010(figure6364)

AIDCoMMItMeNtS amountedtomorethanUS$78billion figure63showsthegeographical(2008ndash2010AverAGe) (asreportedtooecD-crS)ofthis distributionofUS$78billioninannualin2010thegrantandloanaid amountUS$36billionwasintheform averagecommitmentsmadefrom2008commitmentsofbilateralandmultilateral ofgrantswhereasUS$42billionwas to2010(in2009constantUSdollars)eSAstosanitationanddrinking-water intheformofconcessionaloDAloans

FIGUre63commitmentspercapitamadetosanitationanddrinking-water2008ndash2010average

Source OECD (2012)

AIDDISBUrSeMeNtS(2010) multilateralagenciesTheirtotalexternal of10fromtheUS$56billionreportedDisbursementdataareavailable aiddisbursementsforsanitationand in2009foroecDDevelopmentAssistance drinking-wateramountedtoUS$62committeemembersandseveral billionin2010(figure64)anincrease

FIGUre64Disbursementspercapitamadetosanitationanddrinking-water2010

Source OECD (2012)

52

NoN-CoNCeSSIoNALLoANCoMMItMeNtS(2010)Non-concessionalloancommitments(ieldquootherofficialflowsrdquonotclassifiedasoDA)comprisedUS$44billionincommitmentsforwaterandsanitationin2010Thisrepresentsa78increaseinnon-concessionalloancommitmentssince2008ThisincreaseisreflectedinthedoublingofloandisbursementsforwaterandsanitationfromUS$16billiontoUS$34billionfrom2009to2010

rAtIooFDISBUrSeMeNtStoCoMMItMeNtSWaterandsanitationdevelopmentaidcommitmentsanddisbursementsamountedtoUS$78billionandUS$62billionrespectivelyin2010Thisrepresentsadisbursementtocommitmentratioof08forfundsin2010whichishigherthanthelong-termaverageof071lowcapacitytospendthefundscommittedbydonorswasreportedasanissuebycountriesinthe2011GlAAScountrysurvey

Thisdifferencebetweencommitmentsanddisbursementscanbeseenmoreclearlyfromfigure65wheretheratiosarecomparedovertwofive-yearperiods2006ndash2010fordisbursementsand2005ndash2009forcommitmentstheone-yeartimelagallowingforprojectprogrammeadministrationtobeputinplaceitcanbeseenthatbothhealthandeducationdisbursenearly100ofthecommitmentsmadewhereaswaterandsanitationdisbursementisnear70ofthecommitmentsmadeThisisprimarilyduetothefocusonhighercapitalexpenditureasaproportionofdisbursementsinwaterandsanitationprogrammescomparedwiththeemphasisonrecurrentexpenditureinhealthandeducationinfrastructuresectorssuchastransportandconstructionaresimilartowaterandsanitationintheirdisbursementtocommitmentratioswhereastheagricultureforestryandfisheriessectorissignificantlyhigheratover85

theratioofdevelopmentaiddisbursedversuscommittedisapproximately071forwaterandsanitationwhichislowcomparedwiththoseforhealthandeducationbutcomparablewiththoseforinfrastructuresectors(Figure65)

FIGUre65ratioofdisbursements (2006ndash2010) tocommitments (2005ndash2009)forsanitationandwater

Source OECD (2012)

Education

Health

HIVAIDS reproductive health

Government and civil society

Agriculture forestry and fisheries

Energy

Industry mining and construction

Transport and storage

Water and sanitation

00 02 04 06 08 10

Disbursement (2006ndash2010) to commitment (2005ndash2009) ratio

Donorcommitments

The2010SWAhighlevelMeetingwasaforumatwhichmanydonorsmadepublicstatementsrelatingtotheirplanstoincreasefundingcommitmentstowaterandsanitationTheAsianDevelopmentBankannouncedthatitexpectedfundingcommitmentstoincreasefrom85in2003ndash2007toabout17for2008ndash2010andtodoubleinvestmentintheWAShsectortoUS$10billionduring2006ndash2010BothofthesetargetshavesincebeenachievedTheAfricanDevelopmentBankstatedthatitplanstoincreaseannualfundingfromUS$460millionin2009tooverUS$1billionby2013Germanystatedthatbecauseitrecognizesthechallengesinsub-SaharanAfricaitplannedtodoubletheresourcesmadeavailablethroughtheGermanfederalMinistryforeconomiccooperationandDevelopmentbetween2008and2010andin2012itreportedthatthiscommitmenthasbeenmetThecommitmenttothewatersectorinAfricadoubledwithanincreasefromeuro149millionin2008uptoalmosteuro300millionin2010Theeuropeancommissionrepeateditscommitmentofeuro200millionwiththeobjectiveofhelpingtoachievetheMDGsandcontributetoimprovingwatergovernanceandtothesustainabledevelopmentofhydraulicinfrastructureJapanreiterateditsgrantandtechnicalassistanceofyen30billionforwaterandsanitationinAfricancountriesforfiveyearsbetween2008and2012SeveraldonorsmadestatementsrelatingspecificallytocatchinguponsanitationSwitzerlandannouncedthatapproximately45ofitsWAShexpenditure(3ofitstotaloDA)isspentonsanitationandtheNetherlandsandGermanystatedthat31and40respectivelyoftheirdevelopmentassistancebudgetsforWAShareallocatedtosanitation

53

6 exTerNAlSUPPorT

63 PrioriTiziNGcoUNTrieSANDreGioNS

eSAsuseanumberofcriteriatoselectcountriestowhichtoallocatedevelopmentaidtosanitationanddrinking-waterrecognizedneedsbasedonpovertylevelsandonsanitationanddrinking-wateraccessandusedatainfluencethedecisionsofalltheeSAswithoutexceptionasdoestheactualeSApresenceintheparticularcountryTheinfluenceofqualityofthegovernanceorreformeffortsorthenumberofdonorsworkinginaparticularsectorislesscertaineSAsareparticularlyinfluencedbywhetheracountryisafragileorconflict-affectedstate(withthesecountriesbeingapriorityformanydonors)converselythepresenceofahumanrightsframeworkforsanitationanddrinking-waterthusfarseemstohavelimitedinfluenceonthedecisionastowhethertosupportaparticularrecipient(figure66)

LoW-INCoMepopULAtIoNSTheworldrsquospoorarenolongerstrictlyconfinedtolow-incomecountriesWitheSAsprioritizingpoorpeopleknowinghowtoreachthemisimportantWhilethemajorityofpoorpeopleusedtoliveinlow-incomecountriesmdash20yearsago93oftheworldrsquospoorlivedinlow-incomecountriesmdashdevelopmentinanumberofthesecountrieshasmovedthemintothemiddle-incomecountrycategoryandthreequartersoftheworldrsquos13billionpoornowliveinmiddle-incomecountries(Sumner2010)AtthesametimerecentworkbytheWorldBankunderlinestheneedforstrongleadershipandconcertednationalandinternationaleffortsinfragileandconflict-affectedstateswheremanyofthepoorestpeopleliveandthesecountrieshavebecomeanincreasedfocusformanyeSAs(WorldBank2011)

FrAGILeANDCoNFLICt-AFFeCteDStAteSfragileandconflict-affectedcountriesarefurthestawayfromachievingtheMDGsmdashnolow-incomefragileorconflict-affectedcountryhasyettoachieveasingleMDG(WorldBank2011)ingeneral30ofoDAisspentinfragileandconflict-affectedcontexts(oecD2011a)butforwaterand

sanitationthefigurewasonly11in December2011anumberofcountries2010(upfromalowof5in2004) andinternationalorganizationsTherearemanycurrentinitiativesto endorsedanagreementonanewglobalincreaseattentiontothesecountries directionforengagementwithfragileforinstanceatthefourthhighlevel statesforumonAideffectivenessinBusanrepublicofKoreainNovember

Multiplefactorsinfluencedonoraidprioritization(Figure66)

Need (poverty)

Established in-country presence

Need (coverage)

Relevance and significance of contribution

Fragile or conflict-affected state

Strategic dialogue with country

Strong sector plans and budgets

Published targets for coverage or spending

Quality of governance or reform efforts

Limited donor presence

Human rights framework for WASH

0 20 40 60 80

of ESAs using criteria

FIGUre66PercentageofeSAsusingcriteria toselectpriorityrecipientcountriesregions

Source 2011 GLAAS ESA survey

Developmentaidforsanitationanddrinking-watertofragileandconflict-affectedstatesincreasedby50fromUS$560milliontoUS$840millionfrom2007to2010(Figure67)

FIGUre67Trends insanitationandwateraidcommitments for fragileorconflict-affectedstates2004ndash2010

Source OECD (2012)

0

200

400

600

800

1000

1200

2004 2005 2006 2007 2008 2009 2010

Aid

com

mitm

ent (

US

$ m

illio

ns c

onst

ant 2

009

$US

)

Fragile or conflicted-affected states

Represents 5 of water and sanitation aid in 2004

Represents11 of water and sanitation aid in 2010

54

reGIoNALtArGetINGSeventypercentoftheworldrsquospopulationwithoutsustainableaccesstobasicsanitationandsafedrinking-waterliveinthesub-SaharanAfricaSouthernAsiaorSouth-easternAsiaMDGregionsin2010sub-SaharanAfricareceivedthemostaidforsanitationanddrinking-waterofanyregioninabsolutetermsfollowedbytheSouthernAsiaandWesternAsiaregions

reLAtIoNSHIpBetWeeNAIDALLoCAtIoNSANDWAterANDSANItAtIoNCoverAGeTodeterminetherelationshipbetweendonoraidtargetingandcoveragerecipientaid(averagecommitmentsfrom2008ndash2010reportedtooecD)percapitaiscomparedwithaveragecoveragelevelforsanitationanddrinking-waterforeachaidrecipientcountryTwelvecountrieswithlessthan50averagecoveragewerefoundto

receivelessthanthemedianaidpercapitaamountofUS$280ifcountrycoveragelevelisanimportantfactorfordonorswhenselectingprioritycountriesitwouldbeexpectedthatmoreofthesecountrieswouldreceivehigheraidlevels

Half(50)ofsanitationanddrinking-wateraidistargetedtothesub-SaharanAfricaSouthernAsiaandSouth-easternAsiaMDGregionsthosepartsoftheworldwhere70oftheunservedlive(Figure68)

FIGUre68SanitationandwateraidcommitmentsbyMDGregion2010

Sources 2011 GLAAS ESA survey OECD (2012)

g7+countries

in2010agroupofsevenoftheworldrsquosmostfragilestatesformedtheg7+Thegrouphasgrownto19statesandnowincludescountriesacrossAsiaAfricaandthePacificrepresenting350millionpeoplegloballyParticipatingcountriesintheg7+areAfghanistanBurundithecentralAfricanrepublicchadcocirctedrsquoivoiretheDemocraticrepublicofthecongoethiopiaGuineaGuinea-BissauhaitiliberiaNepalPapuaNewGuineaSierraleoneSolomonislandsSomaliaSouthSudanTimor-lesteandTogoTheg7+meetsregularlywithintheframeworkoftheinternationalDialogueonPeacebuildingandStatebuildinghighontheagendaofreformsbeingpromotedbytheg7+arestrengtheningdemocraticprocessesimprovementsinsecurityandbetterresourceandrevenuemanagement(verhoevenampfonseca2012)

Manycountrieswithlowcoveragelevelsreceivelowlevelsofwaterandsanitationaidpercapita(Figure69)

55

$001

$010

$100

$1000

$10000

0 10 20 30 40 50 60 70 80 90 100

Least developed countries Other low-income countries Lower middle income countries Upper middle income countries

Niger DRC

Somalia

Madagascar

Chad

Ethiopia

Guinea

Nigeria

Togo

Congo

Afghanistan

Guinea-Bissau

Median aid per capita = US$ 280

Average coverage (sanitation and drinking-water) percentage 2010

Don

or a

id c

omm

itmen

ts p

er c

apita

200

8ndash20

10 a

vera

ge

FIGUre69Donoraid(averageannualcommitment2008ndash2010constant2009$US)percapitaversusaveragecoverageincountries

DrcDemocraticrepublicofthecongo

Sources OECD (2012) UNICEFWHO (2012)

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

UNshyWater monitors and reports on the state utilization and management of the worldrsquos freshwater resources and on the situation of sanitation through a series of interconnected and complementary publications that together provide a comprehenshysive picture and individually provide a more inshydepth 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 UNshyWater 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 UNshyWater It provides a global update on the policy frameworks institutional arrangeshyments human resource base and international and national finance streams in support of sanitation and drinkingshywater It is a substantive input into the activities of Sanitation and Water for All (SWA)

The progress report of the WHOUNICEF Joint Monitoring Programme for Water Supply and Sanitation (JMP) is produced every two years The JMP is affilishyated with UNshyWater 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 drinkingshywater 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 proshyduced by UNshyWater 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 wwwunwaterorgdocumentshtml

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)

ForewordWiththe2015targetdatefortheMillenniumDevelopmentGoals(MDG)clearlyonthehorizonthis2012editionoftheUN-WaterGlobalAnalysisandAssessmentofSanitationandDrinking-Water(GlAAS)contributesimportantlytotheimplementationoftheUN-Waterstrategyofdeliveringstrongmessagesonwaterthathelpshapethepost-2015sustainabledevelopmentlandscapeitspublicationistimelyinthelead-uptothenextkeyeventinthisprocesstherio+20UnitedNationsconferenceonSustainableDevelopment

UN-WatertheUnitedNationsinter-agencycoordinationmechanismforallfreshwaterndashrelatedissueshasdrinking-waterandsanitationamongitsfocusareasWhileprogresstowardstheMillenniumDevelopmentGoal(MDG)target7cisregularlymonitoredbytheWhoUNicefJointMonitoringProgrammeforWaterSupplyandSanitation(JMP)theUN-WaterGlAASbuildsontheseresultsandanalysestheunderlyingreasonsforsuccessmdashorlackofit

initsrelativelyshortlifeUN-WaterGlAAShasearneditsplaceinthewatermonitoringandreportinglandscapeandisincreasinglyusedasthebasisformoreinformeddecision-makingThiscamefromtherecognitionthatthescarcityofinformationonnationalsanitationanddrinking-waterndashrelatedpoliciesfinancingandhumanresourceswasamajorbarriertoprogressitalsoresultsfromthedearthofexactknowledgeconcerningthestatusofandtrendsindevelopmentassistance

inearlyMarch2012theJMPannouncedthatsignificantprogressonimprovedaccesstodrinking-waterhadbeenachievedThisencouragingnewscomeshoweverwithamessageofcautionmanyarestillunserveddisparitiesaregreatandthemonitoringofkeyattributessuchaswaterqualityremainschallengingMoreovertheestimated780

millionpeoplestillunservedareincreasinglyhardtoreachandtheMDGtargetforsanitationisnotontracktherearecurrently25billionpeoplewithnoaccesstoimprovedsanitation

This2012UN-WaterGlAASprovidesfurtherreasonforvigilancemdashresourcesareneithertargetednorapparentlysufficienttosustainroutineoperationandmaintenancerequirementsThusthereisaseriousriskofslippingbackwardsongainsalreadymadeTheanalysisemergingfromUN-WaterGlAASalsohelpstoidentifythereasonsbehindthedisparitiesinaccesstosanitationanddrinking-wateramongdifferentregionscommunitiesandincomegroupsthathavebeenidentifiedbytheJMP

BasedontheevidenceemergingfromUN-WaterGlAASthereareanumberofachievableimmediatestepsthatcountriesexternalsupportagenciesandotherstakeholderscanundertaketocontinueextendingsanitationanddrinking-waterprovisioningwhilesustainingservicesalreadyinplaceTheseimmediatestepsarehighlightedinthisreporttogetherwithanumberofareasthatwarrantin-depthstudiesachallengethatUN-WaterGlAASisreadytotakeup

MichelJarraudchairUN-Water

IV

AcknowledgementsUN-WaterandWhogratefullyacknowledgethefinancial ThepreparationofthisreportinvolvedcontributionsfromsupportprovidedbytheDepartmentforinternational hundredsofindividualsrepresentingallregionsoftheworldDevelopmentUnitedKingdomtheSwissAgencyfor UN-WaterandWhowouldliketoextendtheirgratitudetoallDevelopmentandcooperationtheDirectorate-General thoseindividualsandorganizationsthatcontributedtotheforinternationalcooperationtheNetherlandsandthe developmentofthisreportmdashespeciallythoseindividualswhoGovernmentofKuwait submittedinformationfromcountriesandexternalsupport

agenciesAfulllistingofindividualswhocontributedtothisreportandtheiraffiliationsisgiveninAnnexG

Acronymsandabbreviations3Ts tariffstaxesandtransfersADB AsianDevelopmentBankADf AsianDevelopmentfundAsianDevelopmentBankAfD AgencefranccedilaisedeDeacuteveloppementAfDB AfricanDevelopmentBankAfDf AfricanDevelopmentfundAfricanDevelopmentBankAfeSD ArabfundforeconomicandSocialDevelopmentAMcoW AfricanMinistersrsquocouncilonWatercSo countryStatusoverview(WorldBankWaterandSanitationProgram)eBrD europeanBankforreconstructionandDevelopmenteSA externalsupportagencyeU europeanUnionGDP grossdomesticproductGlAAS GlobalAnalysisandAssessmentofSanitationandDrinking-water(formerlyGlobalAnnualAssessmentof

SanitationandDrinking-water)GoAlWaSh GovernanceAdvocacyandleadershipforWaterSanitationandhygiene(UnitedNationsDevelopmentProgramme)hivAiDS humanimmunodeficiencyvirusacquiredimmunodeficiencysyndromehr humanresourcesiDA internationalDevelopmentAssociationWorldBankiDB inter-AmericanDevelopmentBankifrc internationalfederationofredcrossandredcrescentSocietiesiSic internationalStandardindustrialclassificationJMP WhoUNicefJointMonitoringProgrammeforWaterSupplyandSanitationlDc leastdevelopedcountryMDG MillenniumDevelopmentGoalNDP nationaldevelopmentplanNGo nongovernmentalorganizationoampM operationandmaintenanceoDA officialdevelopmentassistanceoecD organisationforeconomicco-operationandDevelopmentoecD-crS oecDcreditorreportingSystemofiD oPecfundforinternationalDevelopmentoPec organizationofPetroleumexportingcountriesPrSP povertyreductionstrategypaperSeeA-Water SystemofenvironmentaleconomicAccountingforWaterSWA SanitationandWaterforAllTicADiv fourthTokyointernationalconferenceonAfricanDevelopmentUN UnitedNationsUNDP UnitedNationsDevelopmentProgrammeUNicef UnitedNationschildrenrsquosfundUSA UnitedStatesofAmericaWASh watersanitationandhygieneWho WorldhealthorganizationWSP-Africa WaterandSanitationProgramWorldBankWSP watersafetyplan

V

31 Sourcesoffundingandhowmuchisbeingspent2632 Allocationoffundingwhatismoneybeingspenton2833 Useofcommittedfunds 3035 WAShinvestmentprogrammesdocountriesknowhowmuchtheywillneedtospendinfuture3436 Adequacyoffinance3538 implicationsforthefuture 36

4 humanresources37

41 Adequacyofhumanresourcedata3842 Sufficiencyofstaffing3943 Staffincentivesandcontinuingeducation4044 Gender4045 Barriersimpedingdevelopmentofhumanresources4046 humanresourceplanning4147 implicationsforthefuture 42

5 equity43

51 humanrightstowaterandsanitation4453 Periodicassessmentofequitypolicies 4854 implicationsforthefuture 48

tableofcontentsforewordiv

Acknowledgementsv

Acronymsandabbreviationsv

executivesummary3

context6

1 Politicalwillandaccountability9

2 Policiesplanningandcoordination13

21 Policyadoption1422 Planningandcoordination1723 reviewsmonitoringandreporting1924 Decentralization2125 localstakeholderparticipation2226 implicationsforthefuture 23

3 financing25

1

6 externalsupport49

61 Targetingofaidsectors 5062 externalfinancingflows5163 Prioritizingcountriesandregions5464 Aidallocationbreakdowns5665 Alignmentandcoordination5966 futuretargets6167 fundingchannels6168 implicationsforthefuture 62

7 Specialfocusonwatersanitationandhygieneinschoolsandhealth-carefacilities63

71 Sanitationandhygieneinschools6472 Watersanitationandhygieneinhealth-carefacilities6673 implicationsforthefuture 67

references68

AnnexAMethodology71

AnnexBTrackingnationalfinancialflowstoWASh74

AnnexcGlossary82

AnnexDSummaryofresponsesto2011GlAAScountrysurvey85

AnnexeSummaryofresponsesto2011GlAASexternalsupportagencysurvey95

AnnexfSupplementaryinformationondonorcountrycoordination97

AnnexGlistofcontributors99

2

executivesummarytheobjectiveoftheUN-WaterGlobalAnalysisandAssessmentofSanitationandDrinking-Water(GLAAS)istomonitortheinputsrequiredtoextendandsustainwatersanitationandhygiene(WASH)systemsandservicesThisincludesthecomponentsoftheldquoenablingenvironmentrdquodocumentinggovernmentpolicyandinstitutionalframeworksthevolumesourcesandtargetingofinvestmentthesufficiencyofhumanresourcesprioritiesandgapswithrespecttoexternalassistanceandtheinfluenceofthesefactorsonperformanceAmorechallengingsecondarygoalistoanalysethefactorsassociatedwithprogressorlackthereofinordertoidentifydriversandbottleneckstoidentifyknowledgegapstoassessstrengthsandweaknessestoidentifychallengesprioritiesandsuccessesandtofacilitatebenchmarkingacrosscountries

Thissecond1UN-WaterGlAASreportpresentsdatareceivedfrom74developingcountriescoveringalltheMillenniumDevelopmentGoal(MDG)regionsandfrom24externalsupportagencies(eSAs)representingapproximately90ofofficialdevelopmentassistance(oDA)forsanitationanddrinking-water

TherehavebeenremarkablegainsinWAShThe2012progressreportoftheWorldhealthorganization(Who)UnitedNationschildrenrsquosfund(UNicef)JointMonitoringProgrammeforWaterSupplyandSanitation(JMP)announcedthattheMDGtargetfordrinking-waterwasmetin2010theproportionofpeoplewithoutaccesstoimproveddrinking-watersourceshadbeenmorethanhalved(from24to11)since1990howevertheprogressreportalsonotedthatthebenefitsareveryunevenlydistributed

MajorgainshavebeenmadewiththeMDGdrinking-watertargetbeingmetin2010mdashbutchallengesremaintoreducedisparitiesandtoincreasesanitationcoverage

forexampleonlylimitedprogressisevidentintheincreaseofaccesstodrinking-wateramongthepoorestinsub-SaharanAfricaortosanitationamongthepoorestinSouthAsiaMorethanthreequartersofthosewholackaccesstosafedrinking-waterandbasicsanitationliveinruralareas

Thefactthatbetween1990and2010over2billionpeoplegainedaccesstoimprovedwatersourcesand18billionpeoplegainedaccesstoimprovedsanitationfacilitiesdemonstrateswhatcountriescanachievewithsustainedcommitmentadequateresourcesandeffectiveimplementationapproachesTheseresultsalsopointtotheachievementsmadebydevelopmentpartnersthathaveprovidedexternalsupportring-fencingofbilateralsupportforwaterandsanitationatcurrenttimesoffinancialcrisisstemsdirectlyfromthehigh-levelcommitmentsmadein

ThefirstGlAASreportwaspublishedin2010afteraldquoproofofconceptrdquowaspilotedin2008

theMillenniumDeclarationPoliticalwillandcommitmenttoactionevidence-basedplanningandpolicy-makingandsufficienthumanandfinancialresourcesarehoweverkeytosustainedsuccess

Asthisreportshowsinmanycountriespoliciesandprogrammeshavefartoolittleemphasisonensuringadequatefinancialandhumanresourcestobothsustaintheexistinginfrastructureandexpandaccesstosanitationdrinking-waterandhygieneservicesThedangerofslippageagainsttheMDGtargetisarealone

Focusingoneffectivelymanagingassetstosustainservicescanbeasimportantasfocusingonnewinfrastructure

The2012GlAASreportdrawsonthelatestinformationincludingdatafromtheorganisationforeconomicco-operationandDevelopment(oecD)creditorreportingSystem(crS)anddatagatheredthroughtwosetsofquestionnairesoneforlow-andmiddle-incomecountriesandoneforeSAsThesequestionnaireshaveallowedcountriesanddonorstoscoretheirprogressandWAShinputsaccordingtoobjectivecriteriaWhiletheresponsesarebasedonconsensusfrommultiplestakeholdersandaresubjecttovalidationitisacknowledgedthattheaccuracyofresponseswillshowvariabilityThustosomeextenttheresponsesshouldbeinterpretedasaself-assessmentofcountryanddonorprioritiesandthedatashouldbeusedwithcautionwhenmakingcomparisonsbetweencountriesandbetweendonorsTheGlAASmethodologyispresentedinAnnexA

Lackofrobustdataparticularlyonfinancialflowsisamajorconstrainttoprogress

Thereport

bull warnsofasignificantriskofslippageonthegainsmadeinextendingWAShservicesunlessmoreattentionisgiventomaintainingthoseservicesandassets

bull acknowledgesthatdespitetheseverefinancialcrisisfacedbymanyhigh-incomecountriesaidforsanitationanddrinking-watercontinuestorisewhiletargetingtobasicMDG-typeservicesisimproving

bull showsthatsomecountriesarereportinggoodprogresstowardsnationalWAShtargetsbuthighlightsthatforthemajorityofcountrieshumanandfinancialresourceconstraintsespeciallyforsanitationaresignificantlyimpedingprogress

ThefocusonenhancingaccountabilityisincreasinglystrongandisakeycomponentoftheSanitationandWaterforAll(SWA)partnershiptowhichmanyGlAASrespondentsbelongAccountabilityisbeingfurtherenhancedbytheincreasedattentionpaidtothehumanrighttoWaterandSanitationsincetherecognitionofthisrightbytheUnitedNations(UN)

3 1

Sections1and2ofthereportdescribethegrowingpoliticalwillforWAShimplementationamongreportingcountriesandtheincreasingeffortsofcountriestobeaccountableandtoplanandcoordinateeffectivelyKeyfindingsincludethefollowing

bull countriesreportrecentandsubstantivepoliticalcommitmentstoWAShincreasingfundingallocationsandincreasingleadershipandcoordinationamongimplementingagencies

bull ThemajorityofcountrieshaveestablishedtransparentWAShserviceprovisiontargetsandhaveputinplacesupportingpoliciesManycountriesaremonitoringagainstthesetargetsAccountabilitycanbeimprovedasmostcountriesdonotincludeconsumersinplanningandonlyhalfhaveestablishedregularreviewprocesses

bull DespiteimpressiveglobalgainsmostcountriesarefallingshortonmeetingtheirownnationalWAShcommitmentswith83and70ofcountriesreportedlyfallingsignificantlybehindthetrendsrequiredtomeettheirdefinednationalaccesstargetsforsanitationanddrinking-waterrespectively

bull Althoughtheimportantcontributionthathygienemakestohealthisclearlyrecognizednationaltargetshavegenerallynotbeenestablishedforhygienepromotionprogrammes

Section3presentsdataonfinancialflowsWhilethelimiteddatasubmittedprecludemakingdefinitivestatementsaboutglobalfinancialallocationscountriesreportinsufficientfinancingforWAShoverallwithparticularlyseriousshortfallsforsanitationKeyfindingsincludethefollowing

bull ManyofthegovernmentsreportinginadequatefundingallocationsforWAShalsopointtoapoorabsorptioncapacitymdashthatisdifficultiesinspendingthelimitedfundsthatarereceived

bull Drinking-watercontinuestoabsorbthemajorityofWAShfundingevenincountrieswitharelativelyhighdrinking-watersupplycoverageandarelativelylowsanitationcoverage

bull insufficientfundingforoperationandmaintenanceunderminesthesustainabilityofservicesinamajorway

Thisreportpresentschartsanddescriptivetabularsummariesfornumerousdrinking-waterandsanitationindicatorsandbenchmarksfinancialdatapresentedinthetablesorchartsareinamajorityofcasesfor2010forsomekeyindicatorsadashboardofmapsandfiguresisprovidedtopresentageographicalsummaryglobalsummarystatisticsandtrendschartsandtabularsummariesalsogenerallyindicatethenumberofresponsesthatwereconsideredintheanalysisorparticularquestionThisnumberdoesnotnecessarilyequalthetotalnumberofrespondentstothesurveyasnoteverycountryoreSAansweredallpartsofthequestionnairesandinmanycasesthedatawerecollectedfromanalreadyexistingsource(egtheoecD-crS)

bull fundsaredisproportionatelytargetedforextendingservicesinurbanareasevenincountrieswhereurbanareasarerelativelywellservedandruralareasareoff-track

bull Althoughdataonhouseholdfundingcontributionsarelimitedwhatinformationthereissuggeststhatthesearesignificantandcanmakeamajorcontributiontosustainingservices

bull TostrengthenthecollectionofWAShfinancialinformationaharmonizedmethodofdatamonitoringisneeded(onesuchmethodisproposedinAnnexA)

Section4examinestheadequacyofthehumanresourcebasetoimplementWAShinterventionsandhighlightsthegapsindataKeyfindingsincludethefollowing

bull onehalfofcountriesdidnotreportonhowmanyWAShstaffwereinplaceindicatingasignificantlackofinformationonhumanresources

bull Thereisinsufficientstaffinplacetooperateandmaintainsanitationanddrinking-waterinfrastructure

bull halfthecountriessurveyedreportedthatwomenmakeuplessthanatenthofprofessionalWAShstaff

bull lackofsupply-sidetechniciansandskilledlabourstandsoutasakeybarriertothesustainabilityofservices

Section5confirmsthattherighttowaterandsanitationisbeginningtobeacceptedbygovernmentsanddescribesthesuccessesandconstraintstoextendingWAShcoverageinanequitablewayKeyfindingsincludethefollowing

bull Nearly80ofcountriesrecognizetherighttowaterandover50therighttosanitation

bull Mostcountrieshavenotestablishedequitycriteriafortheallocationoffinancingforwaterandsanitation

Section6describespriority-settingtargetingofdevelopmentaidandthecoordinationandalignmentofeSAassistancewithcountryprogrammesKeyfindingsincludethefollowing

bull Despitetheeconomiccrisisaidforsanitationanddrinking-watercontinuestoriseThetotalamountofdevelopmentaidforsanitationandwaterincreasedby3from2008to2010toUS$78billionNon-concessionallendingforsanitationandwaterincreasedfromUS$25billionin2008toUS$44billionin2010

bull Aidforbasicsystemscomprised26ofaidforsanitationanddrinking-waterin2010anincreasefrom16in2008

bull only7ofaidisdirectedatmaintainingservices

bull Developmentaidforsanitationandwatertofragileandconflict-affectedstatesincreasedby50between2007and2010fromUS$560milliontoUS$840million

4

bull onlyhalfofdevelopmentaidforsanitationanddrinking-wateristargetedtotheMDGregionssub-SaharanAfricaSouthernAsiaandSouth-easternAsiawhere70oftheglobalunservedlive

bull SectorbudgetsupportfromdonorsforWAShislessthan5oftotalWAShaidopportunitiesexistforincreasingalignmentwithcountryprioritiesandstrengtheningnationalWAShsystemsthroughincreasingsectorbudgetsupportwherevertransparencyandaccountabilitymechanismsareinplace

Section7focusesonsanitationhygieneanddrinking-waterinschoolsandhealth-carefacilitiesreportingonaccesstoWAShservicesinthesepublicinstitutionsKeyfindingsincludethefollowing

bull halfthecountriesdidnotreportonaccesstoadequatesanitationinschoolsorhealth-carefacilitiessuggestingalackofmonitoringsystemsandcapacity

bull onaverage34ofprimaryschoolsand25ofruralhealth-carecentreslackimprovedsanitationfacilities

inresponsetothefindingthatthereisaseriouslackofrobustdataonin-countryfinancialflowstosanitationanddrinking-waterthisreportaddressesthesubjectingreaterdepthinAnnexBTheannexdescribestheworkthathasbeendonesofarondevelopingamethodologyfortrackingnationalfinancialflowsotherannexescontainthesurveymethodology(AnnexA)aglossary(Annexc)andcountryandeSAdata(AnnexesDanderespectively)aswellassupplementaryinformationondonorcountrycoordination(Annexf)

Basedontheevidenceemergingfromthisreportanumberofissuesstandoutasrequiringurgentattentionandactionby

bull NationalgovernmentsandcountryWAShstakeholdersto

continuetoimprovethestrengthandclarityofleadershipforWASh

strengthenthedevelopmentofrobustnationalplansforWAShserviceprovision

strengthensystem-widesupportofthedeliveryofWAShandlinkWAShservicestocoregovernmentsystemsforplanningandresourceallocation

focusonbuildinginstitutionalandhumanresourcecapacityforbothincreasingWAShservicestotheunservedandmaintainingexistingservicesbydirectingmoreresourcestooperationsandmaintenance

consideradoptingahuman-rightsbasedapproachtofocusattentiononthevulnerableandtoensurethattheyarenotexcludedfromthebenefitsofWAShservices

improvetargetingofinvestmentstothepoorandvulnerable

developandstrengthenmonitoringandestablishnationalWAShManagementinformationSystems

createandtrackspecificbudgetsforsanitationandwater

encouragemultistakeholderparticipationindecision-makingaroundWAShthroughconsultationwithusersandthroughregularreviews

bull externalsupportagenciesto

improvetargetingofaidtothepoorandvulnerableincludingtargetingoff-trackcountries

considerincreasingsectorbudgetsupportwherethisisexpectedtoleadtostrongersystemstodeliverservicesandincreasecoverage

considerdirectingmoreexternalfundingtosupportoperationandmaintenanceofexistingWAShservices

bull Allstakeholdersto

intensifyharmonizationandcollaborationamongnationallineagenciesdonorsandNGos

5

Contextitisclearthattherehavebeenremarkablegainsparticularlybysomecountriesinimprovingaccesstosanitationanddrinking-waterThe2012JMPprogressreport(UNicefWho2012)estimatesthat63oftheworldrsquospopulationhasaccesstoimprovedsanitation(figure1)and89oftheglobalpopulationnowusesimproveddrinking-watersources(figure2)

Sanitationanddrinking-waterareuniversallyacceptedasbeingessentialforhumanlifedignityandhumandevelopmenthoweversanitationanddrinking-waterissueshavenotinthepastreceivedthehigh-levelpoliticalattentionthattheydeserveAnumberofdonorsinternationalnongovernmentalorganizations(NGos)andUNagenciesinrecognitionofthiscametogethertoraisethepoliticalprofileofsanitationanddrinking-waterfollowingtheleadoftheUNhumanDevelopmentreport(UNDP2006)inhighlightingsomeoftheprincipalshortcomingswithintheinternationalarchitectureTheseincludethelackofasingleinternationalbodytospeakonbehalfofsanitationanddrinking-water

FIGUre1Percentageofpopulationusingimprovedsanitationfacilities(2010)

Source UNICEFWHO (2012)

FIGUre2Percentageofpopulationobtainingdrinking-waterfromanimprovedsource(2010)

Source UNICEFWHO (2012)

SanitationandWaterforAll

UsingtheevidencebaseestablishedbyUN-WaterGlAAStheSWApartnershipaimstoaddresscriticalbarrierstoachievinguniversalandsustainablesanitationanddrinking-waterThesebarriersincludeinsufficientpoliticalprioritizationweaksectorcapacitytodevelopandimplementeffectiveplansandstrategiesanduncoordinatedandinadequateinvestmentsintheseplansandstrategiesSWAaimstoprovideacommonvisionandasetofvaluesandprinciplesforatransparentaccountableandresults-orientedframeworkforactiontoaddresstheobstaclestoglobalprogress

eighty-onemembersmakeuptheSWApartnershipwhichisbasedonmutualtrustsupportandcommitmenttoprinciplesofaideffectivenessincludingnationalownershipofplansdonorharmonizationandmutualaccountability

TheSWAhighlevelMeetingheldeverytwoyearsbringstogetherministersoffinancefromdevelopingcountriesministersofdevelopmentcooperationfromdonorcountriesandhigh-levelrepresentativesfromdevelopmentbanksandotherdonorinstitutionstoaddressthelackofprioritygiventosanitationandwaterasadevelopmentinterventionthepoortargetingofaidinthesectorandtheneedforrobustplanningandinstitutionsThefirstSWAhighlevelMeetingheldinApril2010influencedsectorprogressandcatalysedactionatthecountrylevelinparticularparticipantsreportedthatthe2010highlevelMeetingstrengthenedrelationsbetweenWAShsectorministriesandfinanceministriestriggeredstrongersectorcoordinationinmanycountriescreatedacrucialcontextforadvocacyonsanitationencouragedpoliticalandfinancialdecision-makerstouseevidenceforbetterdecision-makingandraisedawarenessaboutsanitationwithinsectorandfinanceministries

ThecommitmentsmadeatthefirsthighlevelMeetingfocusedonSWArsquosthreekeypriorityareasmdashincreasedpoliticalprioritizationimprovedevidence-baseddecision-makingandstrengthenednationalplanningprocessesParticipantstabledover200specificcommitmentsandagreedtoreportonthemregularly

TheGlAASreportistheprimarymechanismforreportingontheprogressofcountriesinachievingthesecommitmentsandonsuccesseswithintheWAShsectorinovercomingobstaclestoprogress

6

TheresultistheSWAinitiativewithitscomponentofbiennialhighlevelMeetingsoftopdecision-makerssupportedbyGlAASastheglobalmonitoringreportthathighlightstheevidencedriversandblockagesaffectingprogressinincreasingsanitationanddrinking-watercoverageTheSWAinitiativealsoendeavourstolinkwithandstrengthenexistingnationalprocesses

AnsweringthequestionldquoWhatworkstoeffectivelyextendandsustainWAShserviceprovisionrdquoisbecomingevermoredifficultwiththerapidlychangingfinancialpoliticalandphysicalenvironmentTheregionalandglobalfinancialcriseshavecontributedtocreatingunpredictableandtightergovernmentanddonorbudgetsManycountrieshaveexperiencedoveralldevelopmentbutattheexpenseofgrowinginequitybetweentherichandthepoorThecontinuedtrendofpopulationgrowthandrapidurbanizationfurtherstrainsadeterioratingwaterandsanitationinfrastructureThecrisisofgrowing

waterscarcitycoupledwiththeothershort-andlong-termrisksposedbyclimatechangeisapotentialthreattohealthsecurityandequitableserviceprovision

ThecaseforevengreatereffortsisundeniableeveniftherateofprogresscitedintheJMPreport(UNicefWho2012)weretocontinueuntiltheendoftheMDGperioduniversalwaterandsanitationcoveragewouldstillbefaroffmdashin2015605millionpeoplewouldremainwithoutaccesstoanimproveddrinking-watersourceand24billionpeoplewouldbewithoutaccesstoimprovedsanitationfacilitiesGiventhisscenariobillionswillremainatriskofWASh-relateddiseasessuchasdiarrhoeawhichin2011killed2millionpeopleandcaused4billionepisodesofillness(figure3)

WithoutrapidprogressinWAShthegrowthofnationaleconomieswillcontinuetobeimpededevidencesuggeststhatlackofaccesstosafedrinking-waterandadequatesanitation

costscountriesbetween1and7oftheirannualgrossdomesticproduct(GDP)(WSP-Africa2012)

crucialasdiseasepreventionandeconomicgrowtharethebenefitsofinvestinginWAShgobeyondhealthandbeyondeconomicdevelopmentTheytouchonarangeofcriticalissuesthatcannoteasilybemeasuredTheseincludecontributingtoeveryindividualrsquospersonaldignityandcomfortsocialacceptancesecurityforwomenschoolattendanceespeciallyforgirlsandproductivityatschoolandwork

With2015fastapproachingpreparationsarealreadyinplacetofocusonuniversalaccesstowaterandsanitationinthepost-MDGperiodconsideringthevastresourcesthatthiscontinuingeffortwillrequireitisvitalthatwehaveanimprovedunderstandingofwhatisbeingdonebywhomitisbeingdoneandthecriticalinputsassociatedwithsuccessinordertobettertargetandmoreefficientlyusescarceresources

FIGUre3PercentageofdeathsattributabletoWASh-relateddiseaseorinjury

Source Pruumlss-Uumlstuumln et al (2008)

7

politicalwilland1 accountability

KeyMeSSAGeS

bullAllcountrieshavemadesomeformofpoliticalorfinancialcommitmenttosanitationanddrinking-watersince2010withthevastmajorityhavingestablishedtransparentWAShserviceprovisiontargets

bullDespiteimpressiveglobalgainsmostcountriesarefallingshortonmeetingtheirownnationalWAShcommitmentswith83and70ofcountriesreportedlyfallingsignificantlybehindthetrendsrequiredtomeettheirdefinednationalaccesstargetsforsanitationanddrinking-waterrespectively

bullinvestmentsinsanitationanddrinking-waterareincreasinglybeingscrutinizedwhiletransparencyisimprovingaccountabilityforresultsachievedremainsweak

1 PoliTicAlWillANDAccoUNTABiliTy

high-levelpoliticalcommitmentunderpinsalleffortstoaccelerateandsustainimprovementsinaccesstoadequateandsafedrinking-watersanitationandhygieneservicesSuccessfulimplementationofthiscommitmentrequiresasteadyfocusonthewaterandsanitationprioritiesadequateallocationofresourcesandtheestablishmentofaregularandtransparentmonitoringframeworktoensurethatallstakeholderscanbeheldaccountableagainsttheiragreedcommitmentsrolesandresponsibilitiesSuchresponsibilitiesincludeenforcingrelevantlegalframeworksensuringeffectiveregulatorymechanismsmaintainingandstrengtheninginstitutionalarrangementsandapplyingup-to-datetechnicalknowledgethroughbestpracticeTheyalldependultimatelyonpoliticalresolvetogivebalancedsupporttoallessentialelements

AllcountriesthatrespondedtotheGlAASquestionnairereportedthattheyhadmadesomeformofhigh-levelpoliticalorfinancialcommitmenttosanitationanddrinking-wateroften

attheministeriallevelsince2010SeventeenofthemmadecommitmentsattheSWAhighlevelMeetingin2010andmanyothersmadecommitmentssubsequentlyinresponsetonationalandinternationalinitiativesandeventsearlieratAfricaSaniiin2008inDurbanSouthAfricaforexampleministersbelongingtotheAfricanMinistersrsquocouncilonWatercommittedtothemeasurabletime-boundsanitationtargetsenshrinedintheeThekwiniDeclarationandmadeapledgeonbudgetlinesforsanitationandhygiene

ethekwiniDeclaration

TheeThekwiniDeclarationwassignedbyover30AfricangovernmentministersinDurbaninfebruary2008Thedeclarationrecognizedtheimportanceofsanitationandcommittedthesignatorygovernmentstoestablishingspecificpublicsectorbudgetallocationsforsanitationwiththeaimofspending05ofGDPonsanitationSource WSP-Africa (2008)

Inmanycasespoliticalwillhasnotyetcatalysedtheenablingenvironmentrequiredtosecureadequateprogressagainstnationalsanitationanddrinking-watertargets(table11)

tABLe11Meetingpoliticalcommitmentsprogresstowardsattainingsanitationanddrinking-waterobjectives(ofcountriesreportingattainmentofkeyurbanruralsanitationanddrinking-waterobjectives)

Regionalbreakdown Targetsinplace Policiesadopted Adequatefinance(perceived) Adequateoutputs1

NorthernAfricaEasternCentralandWesternAsiaandtheCaucasus

97 88 44 49

LatinAmericaandCaribbean 100 52 30 32

SouthernandSouth-easternAsiaandOceania

86 63 32 36

Sub-SaharanAfrica 94 73 9 20

TOTAL 93 70 22 30

Thepercentagesshownarebasedonprogressineachofthefourldquosub-sectorrdquoareasofWASHservices(urbansanitationruralsanitationurbandrinking-waterandruraldrinking-water)expressedasanaggregatefigureForexampleifacountryreportedadequatefinancingforurbanwatersupplybutnotfortheotherthreeldquosub-sectorsrdquotheaggregatescorewouldbeexpressedas25

1 Annualprogressat75ormoretomeettarget

Source 2011 GLAAS country survey (74 country respondents)

10

Nearlytwothirdsofcountriesrespondingtothe2011GlAASquestionnaireindicatedtheircommitmenttotrackingandpubliclyreportingonprogressmadeatinternationaleventssuchastheonesmentionedaboveThesefindingstakentogetherwiththereportedincreasesinexpenditureforwaterandsanitationbyseveralcountriesfrom2009to2011areevidenceofconcreteactionresultingfromnationalandinternationalWAShcommitmentsTheeffortsoftheSWApartnershiprunthroughthisconsistentlyandareaimedatcoordinatingleveragingandenhancingcommitments

The2012JMPprogressreport(UNicefWho2012)describesthesuccessofmanycountriesinreducingtheproportionofpeoplewithoutaccesstoimproveddrinking-watersourcesandtoimprovedsanitationfacilitiesAtthenationallevelprogressfrequentlyexceedsthatrequiredtomeettheMDGtargetsAnumberofcountriesfromlatinAmericaNorthernAfricaandWesternAsiareportthattheyareontrackinmeetingnationaltargetsandsurpassingtheJMPharmonizedglobalcriteriaforimprovedwaterandsanitationsuchasuniversalaccesstoapipedseweragesystem

Whenitcomestomeetingself-imposednationalwaterandsanitationtargets(asopposedtothegloballyagreedMDGtarget)howevermostcountriesreportthattheyarefallingshort83and70ofcountriesreportfallingsignificantly

behindthetrendsrequiredtomeetnationalaccesstargetsforsanitationanddrinking-waterrespectivelyAdditionallyonehalfofrespondingcountriesreportthattheyarenotontracktoachievetargetsdeclaredattheregionalorinternationallevel(egtheeThekwinigoalofallocating05ofGDPtosanitation)

AccountabilityisstrengthenedbyensuringthatnationalregionalandlocalplanningandreviewprocessesareopenandinclusiveinvolvingawiderangeofstakeholdersincludinglocalcommunitiesGlAASdatashowthatapproximatelyonehalfoftherespondingcountriesreportedtheexistenceofperiodicreviewsystemsandonly28ofcountrieshaveputinplaceandsystematicallyapplyproceduresforlisteningtoconsumerinput

inadditiontomakingsomeformofministerial-levelpoliticalorfinancialcommitmenttosanitationanddrinking-waterallcountriesparticipatinginGlAAShavetakenstepstoincreasetransparencybyallowingtheircommitmentsandactionstobeinthepublicdomainThisisevidencedbytheirindividualparticipationintheGlAASsurveyandtheincreasednumberofcountriesrespondingtothesurvey(Table12)itisalsoevidencedbytheireagernesstoattendtheSWAhighlevelMeeting

progresstowardsHighLevelMeetingcommitmentsrelatingtopoliticalwillandinternaladvocacy

Manyofthecommitmentsmadebyministersortheirrepresentativesatthe2010SWAhighlevelMeetingreflectedanincreasedpoliticalwillandaddressedraisingthepriorityofsanitationandwateratthenationallevelSeveraloftheircountriesalreadyhavereportedprogressThePresidentofliberiaforexamplehasbeenahigh-profileandcommittedproponentofwaterandsanitationprovidingleadershiptothedevelopmentofanSWAldquoWAShcompactrdquowhichshesignedinearly2012in2010thePresidentofBurkinafasopersonallylaunchedthenewsanitationandhygienecampaigninSenegalthegovernmenthastakenstepstoenhancetheimportanceofdrinking-waterandsanitationwithinthenewnationaleconomicandsocialpolicyThegovernmentofMongoliahaspromotedtheimportanceofdrinking-waterandsanitationamongministryofficialsanddecision-makersSeveralcountrieshavealsocommittedtomeetingtheircommitmentsmadeunderotherinitiativesforinstanceethiopiahasdevelopedaplantomeetitssanitationcommitmentsinlinewiththeeThekwiniDeclaration

tABLe12Developingcountriesparticipatinginthe2012GlAASreport1evidenceofincreasedaccountability(74respondents)

MDGregion Countriesparticipatingin2011GLAASsurvey2 Proportion()ofpopulationrepresentedin

theregion

EasternAsia Mongolia lt1

CentralAsiaandCaucasus azerbaijankyrgyzstantajikistanuzbekistan 18

LatinAmericaandCaribbean Bolivia (Plurinational state of) Brazilcolombiadominican republicel salvadorhaitiHondurasPanamaParaguay

50

NorthernAfrica egyptMorocco 68

Oceania fijisamoa 10

SouthernAsia afghanistanBangladeshBhutanIndiaIran (Islamic republic of)MaldivesNepalPakistansri lanka 100

South-easternAsia CambodiaIndonesiaLaoPeoplersquosDemocraticRepublicMyanmarPhilippinesThailandTimor-LesteVietNam

94

Sub-SaharanAfrica AngolaBeninBurkinaFasoBurundiCameroonCentralAfricanRepublicChadcongoCocirctedrsquoIvoireDemocraticRepublicoftheCongoequatorial guineaEthiopiagabongambiaGhanaguineaguinea-BissauKenyaLesotholiberiaMadagascarMalawiMaliMauritaniaMozambiqueNigernigeriaRwandaSenegalSierraLeoneSouthAfricaSouthSudanTogoUgandaZimbabwe

85

WesternAsia JordanlebanonOmanyemen 17

1 AdescriptionofthemethodologyemployedbyGlAASisfoundinAnnexAcountryresponseswerecoordinatedbygovernments2 TherearethirtyfournewrespondentcountriestoGlASSsurveythesearehighlightedinblue

11

overalldataindicatesthatdecision-makershavedemonstratedtheirgoodintentionstoimproveWAShservicesBecauseofanincreasedcommitmenttoaccountabilitycountriesrsquoWASh-relatedeffortsandoutputsarebetterunderstoodanddocumentedfromthisevidencehoweveritisclearthatavarietyofbarriersdiscussedlaterinthereportarecontinuingtoimpedethedeliveryoftangibleresultsifmoresubstantiveprogressistobemadeWAShdecision-makersneedtobecomemoreseriousandengagedinthefollow-uptotheircommitmentstodeliverresults

12

policiesplanning2 andcoordination

KeyMeSSAGeS

bullGloballyprogresshasbeenmadeintheadoptionofnationalpolicieswith63and77ofrespondingcountrieshavingadoptedandpublishedpoliciesforsanitationanddrinking-waterrespectivelyManycountrieshaveagreedandpublishedpoliciessincethelastGlAASreport

bullMostcountrieshaveestablishednationalsectorplanningandcoordinationprocessesbutmanyalsoreporthavinginadequateinformationanddataforeffectiveinvestmentplanningonlyonehalfofrespondingcountriesreportthattheirplanningprocessesarebasedonannualorbiennialreviewsandevenfewercountriesareinapositiontoperformtheirplanningbasedonreliabledatafromnationalinformationsystems

bullover90ofcountrieshavedecentralizedresponsibilityforwaterandsanitationbutoperationaldecentralizationhasbeenaccompaniedbyfiscaldecentralizationinonly40ofcountriessurveyedpotentiallyweakeningthecapacityoflocalgovernmenttoplananddeliverservices

bullcountriesareprogressivelyadoptingapreventiveldquowatersafetyplanningrdquoapproachtodrinking-waterqualitymanagement

bullDespiteaclearrecognitionoftheimportantcontributionthathygienemakestohealthnationaltargetshavegenerallynotbeenestablishedforhygienepromotionprogrammes

2PolicieSPlANNiNGANDcoorDiNATioN

21 PolicyADoPTioN

countriesrecognizetheimportanceofdevelopingnationalsanitationanddrinking-waterpoliciesthatestablishobjectivesdefinerolesresponsibilitiesandexpectationsandsetboundariesforgovernmentsandpartnerseffectiveandefficientservicedeliverycanbeparticularlydifficulttoachieveincountrieswheregovernment

departmentsoragenciesarenotguidedbyspecificsanitationanddrinking-waterpolicies

Globally63and77ofcountriesreportedpoliciesthathavebeenagreedandgazettedforsanitationanddrinking-waterrespectivelyThe2009ndash2011trendshowsimprovementcountriesthatrespondedtoboththe2009and2011GlAASsurveysshowstrongprogresswithanadditional

14countries(outof38commonrespondents)havingagreedandpublishedpoliciessince2009primarilyinAfricaSomecountriesnotedthatthepolicyimplementationwashinderedbyunpredictablefinancingandinadequatedisseminationofthepolicymessage

Urbanandruralsanitationpolicieshavebeenadoptedandpublishedin63ofrespondentcountriesupfrom40in2009demonstratingthatcountriesareprogressivelytacklingtheurgentneedtoaddresssanitationissuesDrinking-waterpolicyadoptionratesarehigherandshowasimilarpatternofprogress(Figure21)

Drinking-waterpolicyadoption2011

Sanitationpolicyadoption2011

Isthereasectorpolicyagreedandpublished

FIGUre21isthereasanitationandordrinking-watersectorpolicyagreedandpublished

Sources 2011 GLAAS country survey (74 country respondents) 2009ndash2010 CSO and GLAAS country survey1

policyadoption2011 trendfrom2009to2011(38countries)

forthe2010GlAASreport(Who2010)UN-WaterGlAASandtheWorldBankrsquosWaterandSanitationProgramcollaboratedtodevelopathree-partsurveyquestionnaireanddataconsultationprocessforcountriesintheAfricaregionThesecountryStatusoverviews(cSos)reportontheextenttowhichcountrieshaveputinplacetheinstitutionsandpoliciesneededtomeettheirwaterandsanitationtargetstheirfinancingrequirementsandsectorsustainabilityandincluderecommendationsonhoweachcountrycouldimproveperformanceresultsfromthe2009ndash2010cSoandGlAAScountrysurveyareusedforcomparativepurposesinsomeofthefiguresinthisreport

14

1

SANItAtIoNSustainedprogressinurbansanitationrequiresinfrastructuretokeepupwithgrowthandtheexistenceofsufficienttechnicalcapacityandfinancialresourcestomeetdemandforthecreationofsanitationfacilitiesandexcretaremovaltreatmentanddisposalAmajorityofrespondentcountriesreportedestablishingplansfortheexpansionofurbansanitationservicestogetherwithspecificpolicyprovisionstoaddresstheissueinslumsandinformalsettlementsDespitethismostcountriessubmittingdatatoGlAASindicatedthatannualoutputsaresignificantlylessthanwhatisneededtomeetnationalurbansanitationtargets

inruralsanitationonly20ofcountriesreportthatthesupplyofskilledlabourandtechniciansisadequatetoensureprogresshowevermostcountriesindicatethatgovernmentpoliciesexistorarebeingformulatedtodevelopthe

privatesectorandtofurtherdevelopsanitationproductsandservices

WAterSAFetyPoliciespromotingcontinuousvigilanceintheformofpreventiveriskmanagementwillcontributetoimprovingwaterqualityandreducingdiseaseThisvigilanceisoftenlackinghoweverinpartbecausewatersupplyoperatorsarefrequentlyoverwhelmedbytheiroperationalandfinancialchallengessuchthattheyareunabletoaddresstheirimportantpublichealthprotectionroleTheWhoGuidelinesforDrinking-waterQuality(Who2011)recommendwatersafetyplansaproactivemanagementapproachencompassingthewholewatersupplychainfromcatchmenttoconsumer

TheglobalmomentumtowardswatersafetyplanningissupportedbythefindingsfromtheGlAASreport(figure22)

Thelevelofprogresswithwatersafetyplansisillustratedinmoredetailinfigure22showingtheWhoregionsofSouth-eastAsiaandtheWesternPacificwherecertaincountrieshavemadenotableprogressofthecountriesencouragingwatersafetyplanning13outof24inSouth-eastAsiaandtheWesternPacificcurrentlyhaveapolicyorregulatoryrequirementonwatersafetyplanswhereasanadditional8countriesareplanningtoupdatetheirpoliciesandregulationstoincorporatethisapproach

Tobeeffectivewatersafetyplansneedtobecontinuallyreviewedandupdatedincludinginresponsetoexternalauditsspecifiedinregulationsinthisregardcountriesneedtotakesubstantiveadditionalactionsbeforethebenefitsofthewatersafetyplanningapproachcanberealized

Watersafetyplanningisgainingglobalmomentumwith81oftherespondentcountrieseitherencouragingorrequiringwatersafetyplansinpoliciesandregulationsorreportingpilotexperiences(Figure22)

FIGUre22isthereanationalpolicytodevelopandimplementwatersafetyplansorotherpreventiveriskmanagement

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

Isthereanationalpolicytodevelopandimplementwatersafetyplansorotherpreventiveriskmanagement

Isthereanationalpolicytodevelopandimplementwatersafetyplansorotherpreventiveriskmanagement

15

2PolicieSPlANNiNGANDcoorDiNATioN

HyGIeNeDespitewidespreadrecognitionoftheimportantcontributionofhygienetohealthhygienepromotionprogrammesarenotdrivenbytheestablishmentofnationaltargetsonly19outof74countries(26)havedefinedtargetsfornationalhygienepromotionindicatinganimportantpotentialforimprovementbysystematizingplanningandestablishinganaccountability

frameworkinstarkcontrasttothisoperationalgap90ofcountriesincludehygieneintheirhealthstrategies

DespitelowoverallratesofimplementationofprogrammesbasedonresearchonlocalknowledgeattitudesandperceptionsonhygieneGlAAScountryreportssuggestthathygieneprogrammesinformedbythis

typeofresearcharegrowinginnumberexperienceindicatesthatitisdifficulttopredictwhetherandforhowlonghygienebehaviourchangewilllastMoreovertherearefewstudieswhosefindingsconfirmthepersistenceofhygienebehaviourlongaftercessationofprogrammeimplementation

FewcountrieshaveestablishedtargetsforhygienepromotionNationalbehaviourchangeprogrammesarenotsufficientlyinformedbyassessmentsoflocalattitudesandarefrequentlylimitedtosmall-scaleimplementation(Figure23)

Arenationalbehaviourchangeprogrammesbasedonresearchandaretherehygienepromotiontargets

FIGUre23Arenationalbehaviourchangeprogrammesbasedonresearchandaretherehygienepromotiontargets

Source 2011 GLAAS country survey (74 country respondents)

16

22 PlANNiNGANDcoorDiNATioN

Anenablingframeworkforprogressinsanitationanddrinking-watermustsupportthetranslationofpoliciesintoactionimportantfactorsincludeleadershipcoordinationlocalcapacityeffectivemonitoringandencouragementofbroadparticipationtoensureaccountabilitycoordinationcanbechallenginginthecommonscenariowhereresponsibilitiesfordifferentaspectsofWASharefragmentedoveranumberofgovernmentagenciesthatdevoteonlyasmallshareoftheiroverallresourcestothisareaWhereoverallresponsibilityisunclearaccountabilityforperformanceistypicallyweakAgenciesmaynotnecessarilybeheldaccountableandissuesthatareperceivedtobeoflesserpriorityorevenmarginalinaspecificinstitutionalcontextwillhavedifficultyinsecuringadequatefinancialandhumanresourceseventhoughtheymaybeessentialcomponentsoftheoverallsanitationanddrinking-waterframework

The2011surveyindicatessomeprogressinovercomingthemajorobstaclesidentifiedbyGlAASrespondentcountriesin2009whichincludedthefollowing

bull Approachesusedfordevelopingpoliciesarenotcoherentandholisticwithineachministry

bull Agenciesareworkingindependentlyonspecificpolicyaspectsratherthanbeingguidedbyanoverallframework

bull leadinstitutionsarenotdefinedespeciallyforsanitation

bull Thereisnostrategicplanonhowtargetsfordrinking-waterandsanitationwillbemetorforthepromotionofhygiene

bull Thereislowcapacityatlocallevelsintermsofoversightandservicedelivery

eighty-fivepercentofcountriesidentifiedaleadgovernmentagencyforsanitationindicatingaclearimprovementoverthesituationin2009onemayspeculatethatthisprogressmayhavebeenlinkedto

Leadinstitutionsforsanitationaredefinedinover85ofrespondingcountriesAdditionallymorethanhalfofrespondingcountriesreportthatcoordinationmechanismsamongdrinking-waterinstitutionsarebothdefinedandoperational(Figure24)

Sanitationleadgovernmentagencyinplace2011

Institutionalleadandrolesdefined2011

Drinking-waterinstitutionalrolesclearlydefined2011

Isthereagovernmentleadagencyareinstitutionalrolesclearlydefined

trendfrom2009to2011(38countries)

FIGUre24isthereagovernmentagencywithaclearmandatetoleadandcoordinatepolicydevelopment(sanitation)Areinstitutionalrolesofruralandurbanplayersclearlydefinedandoperational(drinking-water)

Sources 2011 GLAAS country survey (74 country respondents) 2009ndash2010 CSO and GLAAS country survey

17

2PolicieSPlANNiNGANDcoorDiNATioN

risinginternationalattentiongiventosanitationsuchasthroughtheinternationalyearofSanitation(2008)Whileleadagencieshavebeenidentifiedcountriescommentthatpoorcoordinationstillexistsamongimplementingagenciesparticularlyforsanitationinmanycountriesgovernmentcoordinationstructureshavebeenestablishedatthenationallevelbutthisprocessoffirmingupcoordinationstillneedstotrickledowntoprovincialandlocallevelsalthoughadmittedlythebarrierstocoordinationmaybeloweratthoselevels

TheGlAASsurveydidnotaskcountriestoreportontheexistenceofadefinedleadgovernmentinstitutionfordrinking-watersimplybecausethisisconsideredestablishedpracticehoweveronehalfofthecountriessurveyedreportedthattheyhadaccomplishedthemoredifficulttaskofbothdefiningandoperationalizingtherolesofthemultipleinstitutionsresponsiblefordrinking-watersystemsandservices

Commitmentstobettercoordination

Theneedtostrengthenlinkagesbetweensectorsandimprovecoordinationwas

recognizedattheSWAhighlevelMeetingin2010andcountriesmadecommitments

specificallyrelatingtothisissueAngolahassinceheldaNationalinterministerial

Meeting(ministriesofwaterenvironmenthealtheducationterritorialadministration

andfinance)Angolaalsocommittedtostrengtheningaccountableinstitutionswhere

theyarelackingandismakingprogressonexertingstrongnationalleadershiptobring

coherencetothesectorsplansandstrategiesethiopiareportsmakingprogress

onitscommitmenttoimprovingtheWAShplanningandcoordinationprocessby

strengtheningnationalplansandpartnershipsBurkinafasohasalreadyestablished

theWaterandSanitationPartnershipframeworkthatitcommittedtocreateThis

frameworkwillimprovepartneranddonorcoordinationandisexpectedtoleadto

increasedfinancingofsanitationanddrinkingwaterwithinthenationalbudget

Ghanatranslatesstrongpoliciesintooutputsforwatersupply

SuccessfultranslationintooutputsneedsstrongpoliciestobeaccompaniedbyeffectiveimplementationarrangementsandadequatefinancingforexampleGhanahasexceededitsMDGtargetof77watersupplycoveragebyenablingover10millionpeopletogainaccesstodrinking-waterfromanimprovedsourcebetween1995and2010(WhoUNicef2012)itssuccesscanbeattributedinparttoeffectiveimplementationarrangementsthatareinplaceforruralandurbanwatersupplythroughthecommunityWaterandSanitationAgencyandtheGhanaWatercompanylimitedclarityonbudgetsthroughseparatelineitemsandanexistingregulatoryframework

forsanitationGhanapublishedaNationalenvironmentalSanitationActionPlanandinvestmentPlanin2010andhasadoptedcommunity-ledTotalSanitationasastrategyWhilehouseholdsareexpectedtoinvestinsanitationthereishowevernoclarityonfinancingforsanitationsoftware(iedemandgenerationandbehaviourchangeactivities)

Mostcountrieshaveestablishedplanningandcoordinationprocessesbuttheyarenotnecessarilysupportedbyadequateinformationanddata(table21)

tABLe2 1Planningcoordinationandmonitoringprocessesprogressonselectedindicators(ofcountriesthatreportedestablishmentofkeyurbanruralsanitationanddrinking-waterprocesses)

Regionalbreakdown Leadgovernmentagencyforsanitationinplace1

Institutionalrolesclearlydefinedandoperational

fordrinkingwater

Annualreviewusedforplanning

(waterandsanitation)

Investmentprogrammeagreedandpublished(waterandsanitation)

Usenationalinformationsystem

(waterandsanitation)

NorthernAfricaEasternCentralandWesternAsiaandtheCaucasus

78 68 63 93 51

LatinAmericaandCaribbean

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 Duetothedifferentlevelsofrigorforthequestionsongovernmentcoordinationsanitationappearstobedoingbetterthandrinking-waterhoweverthequestiononsanitationmerelyindicatestheexistenceofaleadagencywhereasthedrinking-waterquestionassessesthelevelofcoordinationamongkeyactorsSpecificallyforsanitationthequestionaskedwhethertherewasaldquogovernmentagencywithaclearmandatetoleadandcoordinatethepolicydevelopmentandplanningofinstitutionsrdquofordrinking-waterthequestionaskedwhethertheldquoinstitutionalrolesofruralandurbanplayers[nationalandlocalgovernmentutilitieswaterboardsregulatorsetc]areclearlydefinedandoperationalrdquo

Source 2011 GLAAS country survey (74 country respondents)

18

23 revieWSMoNiToriNGANDrePorTiNG

Thesystematicperformanceofperiodic(ieannualorbiennial)reviewstomonitorandevaluatetheperformanceofsanitationanddrinking-wateruptakeandservicesisincreasinglyusedbycountriesasabasisforplanningTheadoptionofthisapproachservestwopurposesfirsttoprovidegreaterstakeholderparticipationandjointownershipandsecondtoprovideameanstoholdgovernmentanddonorsaccountableforaccountableforacheivingexpectedresultsThisprocessisparticularlyimportantwheretherearealargenumberofactorsinsanitationanddrinking-watersinceitarticulatesandreiteratescommongoalsreducesduplicationandpromotesmutualaccountabilitySector-widereviewsthatareledandownedbynationalgovernmentandinvolveallmajorstakeholdersarekeytoimprovingWAShcoordinationandplanning

countriesthatrespondedtotheGlAASquestionnairesinboth2009and2011havemadestrongprogresswithanadditional14and9countries(outof38commonrespondents)havingestablishedperiodicreviewprocessesthatareusedforplanninginsanitationanddrinking-waterrespectivelysince2009

ethiopianministriesdefinecoordinationbutimplementationremainsweakatlowerlevelsof

government

inordertofacilitatetheintegratedimplementationofWAShinethiopiathethreeconcernedlineministriestheformerMinistryofWaterresourcestheMinistryofhealthandtheMinistryofeducationsignedaMemorandumofUnderstandingforjointcooperationin2006TheMemorandumofUnderstandinghasfosteredrobustcoordinationattheregionallevelhoweverldquotheWAShMoU[MemorandumofUnderstanding]hasonlyverypartiallybeentransferredtoloweradministrativelevelswiththeresultthattheimplementationoftheMoUisnotstronginlocal(Woreda)governmentsrdquo(Governmentofethiopia2011)

periodicsectorreviewsareincreasinglybeingusedinsanitationwith85ofcountriesreportingorganizingsuchreviewsandonehalfofcountriesreportingthattheiroutcomesareusedforsanitationplanning(Figure25)

FIGUre25isthereanannualorbiennialreviewofthesector

Sources 2011 GLAAS country survey (74 respondents) 2009ndash2010 CSO and GLAAS country survey

Sanitationannualbiennialreviewprocesses2011

Annualorbiennialreview2011

trendfrom2009to2011(38countries)

Drinking-waterannualbiennialreviewprocesses2011

Isthereanannualorbiennialreviewofthesector

19

2PolicieSPlANNiNGANDcoorDiNATioN

fourcountriesrespondedthattherewasnoprocessofreviewineithersanitationordrinking-waterreviewanddecision-makingprocessesneedtobeinformedbyreliablesectorinformationcomprehensivemonitoringonaroutinebasisisapracticethatmostsurveyedcountriesareintheprocessofdevelopingcountryrespondentsindicatethatcoordinatingthemonitoringprocessoftencarriedoutbyseveralentitiesatbothlocalandregionallevelsiscomplexandchallenginginadditioncountryrespondentsconfirmthatwhiletheremightbeeffectiveprojectorprogrammemonitoringsystemsreliablesector-wideinformationsystemsremaintobedeveloped

HighLevelMeetingcommitmentsforbettermonitoring

robustsectormonitoringincludingthemonitoringofpreviouscommitmentswasthesubjectofmanycommitmentsattheSWAhighlevelMeetingin2010Mauritaniacommittedtoincreasingfollow-upandtransparencyinthetechnicalandfinancialimplementationofwaterandsanitationprogrammesthroughsteeringcommitteesmonitoringandevaluationandauditsthecountryreportsthatthisisprogressingwellethiopiaisworkingtoachieveitscommitmenttoimprovenationalmonitoringandinformationmanagementsystemsbycreatingaWAShinventoryandstrengtheningthenationalmonitoringandinformationsystemsforhealthandwaterresourcesliberiacommittedtothedevelopmentofamonitoringandevaluationsystemfortheWAShsectorandreportsgoodprogress

Countriesreportthatonly42ofurbanruralsanitationanddrinking-watersectorsareinformedbyreliableinformationmonitoringsystems(Figure26)

Yes and used Under development No

42

42

16

FIGUre 26 is there a national information system used to informdecision-making

Source 2011 GLAAS country survey (74 country respondents)

JointSectorreviewinNepal

Nepalwherethereareanumberofstateandnon-stateactorsworkinginWAShhelditsfirstJointSectorreviewinMay2011TheJointSectorreviewdiscussedaspeciallycommissionedreportonthestatusofWAShinthecountryidentifiedandprioritizedthreetofourkeyactionsthataretobetakenbyalltherelevantstakeholdersintheyearaheadandagreedtoholdanotherJointSectorreviewin2012

Source Government of Nepal (2011)

Civilsocietyorganizationsproducejointperformancereportinethiopia

inkeepingwiththeprincipleofmutualaccountabilitythecivilsocietyorganizationsoperatinginethiopiaproducedanAnnualJointreportonWAShin2010Thisemanatedfromacommitmentmadeatamultistakeholderforumin2009thatWAShsectorcivilsocietyorganizationswouldproduceanannualperformancereportthatcouldbeincorporatedintotheNationalWAShreportproducedbytheNationalWAShcoordinationoffice

Source Government of Ethiopia (2011)

BurkinaFasoinformationsystemdetailsprocessandoutcomeindicators

Somecountrieshavemadegoodprogressinestablishingsector-wideinformationsystemsthatinformdecision-makingTheProgrammenationaldrsquoApprovisionnementeneaupotableetdrsquoAssainissementofBurkinafasopublishesanannualreportondetailedprocessandoutcomeindicatorsfordrinking-waterandsanitationbothurbanandruralTheseincludeaccesstowaterandsanitationproportionofwatersourcesthatarefunctioningcoverageofschoolshealthcentresandpublicspacesandgoodgovernanceindicatorssuchastheproportionofdrinking-waterprovisionsandtheproportionofpublictoiletsmanagedbydelegation

Source Government of Burkina Faso (2011)

20

24 DeceNTrAlizATioN

inmostdevelopingcountriesresponsibilitiesfordrinking-waterandsanitationservicesaredevolvedtothelocallevelWhendecentralizationiseffectiveitensuresthatservicesareappropriateforlocalneedsthatoperationandmaintenancerequirementsaremetandthatfacilitiescreatedaresustainedovertimeThisdoesnotimplythattheseservicescanoperatewithoutanysupportfromhigherlevelseffectivedecentralizationrequiresadequatetechnicalfinancialandhumanresourcessupporttolocalauthoritiesTheprincipleofsubsidiarityappliestheinitiativetoseeksupportshouldcomefromthelocallevelwheneverthechallengesfacedcannotbesolvedwiththetechnicalfinancialandhumanresourceslocallyavailableindependentregulationandqualitycontrolarefunctionsperformedatahigherlevel

over90ofcountriesindicatedthatservicedeliveryhasbeendecentralizedforsanitationanddrinking-watersupplyhoweverasshowninfigure27lessthanhalfhaveundertakenfullfiscaldecentralization

AsreportedrecentlybytheAfricanMinistersrsquocouncilonWater(AMcoW)ldquothemajorchallengestilltobeovercomeisthatofdecentralizationandthelocalmanagementofwatersupplyandsanitation(WSS)servicesAlllocalmanagementstakeholdersincludingthecontractingauthoritythecommune(localauthorities)theregionaltechnicaldepartmentsthatshouldsupportthemaswellasthewaterusersrsquoassociationsandthelocalprivatesectorsufferfromaseverelackofhumantechnicalandfinancialresourcesthatpreventsthemfromsuccessfullyundertakingtheirnewresponsibilitiesandensuringthatinvestmentissustainablerdquo(AMcoW2011)

only40ofcountriesthathavedecentralizedservicedeliveryhavedecentralizedfiscalresponsibilities(Figure27)

41

59

Operational and fiscal responsibilities Only operational decentralization

FIGUre27TowhatdegreehasdecentralizationofservicebeencarriedoutinsanitationNoteAsimilarproportionwasfoundfordrinking-water

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

DecentralizationofruralwaterservicedeliveryinIndia

in2010theindianPlanningcommissionperformedanevaluationstudyoftherajivGandhiDrinkingWaterMissiontheflagshipruralwaterprogrammeinindiaandfoundthatonly8ofthesurveyedhouseholdswerewillingtopayforoperationandmaintenanceTheyconsideredoperationandmaintenancetheresponsibilityoftheGramPanchayat(thevillagecommittee)howeveroveronehalfoftheGramPanchayatshaveexpressedtheirinabilitytotaketheresponsibilityofoperationandmaintenanceldquoinalargemajorityoftheGramPanchayats(50outof63)formalhand-overofoperationandmaintenanceoftheassetscreatedundertheMissionhasnotbeendonerdquo(Governmentofindia2010)

21

2PolicieSPlANNiNGANDcoorDiNATioN

25 locAlSTAKeholDerPArTiciPATioN

consultationwithinvolvementofandparticipationbylocalstakeholdersarecrucialtoensurethatpolicieslegalframeworksmonitoringreportsreformsbudgetsexpenditureprioritiesandresourceplansarereviewedandfullyownedbystakeholdersandthatusersreceivetheservicesthattheywantandarewillingtopayforconsultationcanbepromotedthroughvariousinstitutionalframeworksorprocessesatlocalnationalandregionallevelscountrieshaveattemptedtoinstitutionalizeparticipationthroughlocalwaterandsanitationcommitteesregisteredusergroupsandregulatorysystemsthatfacilitateconsumerfeedbackandldquoconsumervoicesrdquotobeheard

respondentssuggestthatsomecountrieshavelawspoliciesorplansforinformingconsultingwithandsupportingparticipationbycitizensbutthesefrequentlyarenotspecifictosanitationanddrinking-water

Asfigure28suggestsprocedurestosupportlocalstakeholderparticipationinplanningbudgetingandimplementingprogrammeshavenotbeensystematicallyappliedinamajorityofrespondingcountriesover70ofcountriesindicatedthateithertherearenoproceduresforlocalstakeholderparticipationorproceduresarenotsystematicallyimplementedrespondentssuggestthatthemechanismsthatdopromotepublicengagementonsanitationanddrinking-waterspecificallyarenotuniformlyimplementedalthoughthetrendisimprovingStrengtheningparticipatoryprocesseswillensurethatplannedinvestmentsareappropriateforthecommunityleadtogreaterlocalsupportofdecision-makingprocessesoutputsandrecurrentinvestmentneedsandimprovesustainabilityofsanitationandwaterservicescomparingthetrendsfordrinking-waterandsanitationitseemsthatpursuingcommunityengagementintheplanningandimplementationprocessesfordrinking-watermaybeeithereasierormoreattractivethandoingthesameforsanitation

Localstakeholderparticipationinplanningbudgetingandimplementingprogrammeshasimprovedsince2009withmorecountrieshavingestablishedsystematicprocessestofacilitatestakeholderparticipationbutsystematicapplicationisstilllowoverall(Figure28)

Drinking-waterproceduresforstakeholderparticipation2011

Sanitationproceduresforstakeholderparticipation2011

trendfrom2009to2011(38countries)

Arethereproceduresforinformingconsultingampsupportingparticipationbyindividualscommunity

FIGUre 28 Are there procedures for informing consulting and supportingparticipationbyindividualscommunity

Sources 2011 GLAAS country survey (74 respondents) 2009ndash2010 CSO and GLAAS country survey

Stakeholderparticipation2011

22

26 iMPlicATioNSforThefUTUre

ThissectionshowsthattheWAShsectorisbecomingmorecoherentwithgreaterfocusonsanitationandthatprogressisbeingmadeonmanyoftheldquoeasierrdquoimprovementssuchasthoserelatedtodemonstratingcommitmentthroughthesettingoftargetsprogressivelyadoptingWAShpoliciesandimprovingcoordinationincludingbyengagingmorestakeholdersinplanninghoweverthissectionalsoshowslimitedprogressonmanyofthemoreldquodifficultrdquoissuessuchassuccessfullyimplementingpoliciesdevelopingeffectiveandcoherentplanningandmonitoringsystemsandeffectivelysupportingthelocallevelinthedeliveryofservices

TacklingthedifficultissueswillrequirecontinuedstrengthandclarityofleadershipwithdefinedrolesandresponsibilitiesPlanningprocessescouldbedramaticallyimprovediftheycouldrespondtodatamadeavailablethroughmanagementinformationsystemsinthisregardWAShservicedeliverycouldundoubtedlybenefitfromastrengthenedldquowholesystemsrdquoapproachwhichwouldentailinclusionofWAShincoregovernmentsystemsforplanningandresourceallocation

23

2 Financing3

KeyMeSSAGeS

bullcentralgovernmentcontinuestobeamajorsourceoffundingforwaterandsanitationalthoughmanylow-andmiddle-incomecountriesremaindependentonexternalaidexternalfundingforWAShamountedtomorethan1ofGDPinsevendevelopingcountries

bullexistinglevelsofhouseholdandprivateinvestmentarepoorlyunderstoodbutavailabledatasuggestthattheyaresignificantsourcesoffinancingandcanmakemajorcontributionstosupportingoperationandmaintenanceofservices

bullThemajorityofcountriesreportthatsectorinformationsystemsforfinancialplanningandreportingareinadequate

bullDatasuggestthatfundsspentonoperationandmaintenanceareinsufficientAmajorityofcountriesindicatethatruralwatersupplyprogrammesarenoteffectiveduetolackoffundingwhereasonethirdofcountriesreportthaturbanutilitieslackrevenuetofundoperationandmaintenance

bullfundinglevelsforWASharereportedtoremaininsufficientespeciallyforsanitationDrinking-watercontinuestoabsorbthemajorityofWAShfundingevenincountrieswitharelativelyhighdrinking-watersupplycoverageandrelativelylowsanitationcoverage

bullMostcountriescouldnotreporthowmuchtheyspendonhygieneandforthosethatdiditwasonlyabout2ofWAShexpenditure

bullThebreakdownofexpenditureforWAShinruralandurbanareasappearsonlyweaklycorrelatedwithneeds

bulllongprocurementprocessesandheavyadministrativeburdensmeanthatmanycountriesstruggletoefficientlydisbursethelimitedfundsthatarecommittedAbsorptionofdomesticcapitalcommitmentsishigherthanthatofdonorcommitmentsbutappearstobedeclining

bullTostrengthenthecollectionofWAShfinancialinformationaharmonizedmethodofdatamonitoringisneeded(onesuchmethodisproposedinAnnexB)

3 fiNANciNG

extendingandsustainingwaterandsanitationprogrammesandinfrastructurerequireamongotherthingsadequatefundingandsoundfinancialmanagementTheseincludeinvestmentplanningsecuringfundsforproposedbudgetsmakingefficientandtimelydisbursementsandmonitoringoutcomesPreviousanalyseshaveshownthatglobalspendingisfarlessthanwhatisrequiredtomeettheMDGs(huttonampBartram2008)andanalysisofregionalspendinginAfricaforexampleshowsthatexpenditureisonequarterofwhatisrequiredfordrinking-waterservicesalone(fosterampBricentildeo-Garmendia2010)inadequatefundingforsanitationanddrinking-waterinfrastructureandforitslong-termoperationandmaintenancewasthemostfrequentlycitedobstaclebyGlAASsurveyrespondents

31 SoUrceSoffUNDiNGANDhoWMUchiSBeiNGSPeNT

fundingforwaterandsanitationisrequiredfornewcapitalinvestmentandforrecurrentexpensesofoperations(operationalexpenditure)capitalmaintenance(long-termrenewalsandrehabilitationusuallyrecoveredasanannualldquodepreciationrdquocharge)andanycostsofcapital(interestpaymentsonloansandanyrequireddividendreturnstoequityproviders)fundingforthesewaterandsanitationcostscancomefromthreemainsourcescommonlyreferredtoastheldquo3TsrdquoofWAShldquotariffsrdquowhicharefundscontributedbyusersofWAShservices(andalsoincludingthevalueoflabourandmaterialinvestmentsofhouseholdsmanagingtheirownwatersupply)ldquotaxesrdquowhichrefertofundsoriginatingfromdomestictaxesthatarechannelledtothesectorbythecentralregionalandlocalgovernmentsandldquotransfersrdquowhichrefertofundsfrominternationaldonorsandcharitablefoundationsTransfersincludegrantsandconcessionalloanssuchasthosegivenbytheWorldBankwhichincludeagrantelementintheformofasubsidizedinterestrateoragraceperiodTheldquo3TsrdquoarediscussedinAnnexBaspecialGlAASthematicsectionthatreviewsthestateoftheevidenceonWAShfinancialflowsandproposesamethodologytoencourageandharmonizecountrymonitoring

ofthe74countriesparticipatinginGlAAS providinghalfofthereportedUS$198only17submitteddataonsourcesof billioninfinancialflows(figure31)fundingandjust4wereabletoprovidefiguresonthecontributionsmadeby Thesecondanalysiscoveredallofthehouseholdthroughthepaymentof ldquo3TrdquosourcesoffundingmdashtariffsfromtariffsTable31showsthesehousehold householdstaxesandtransfersmdashbutcontributionsrangingfrom30to61of

wasnecessarilylimitedtoonlythefourtotalreportedsanitationanddrinking-watercountriesthatwereabletosubmitthisfundingfromallsourcescombiningcapitalfulldatasetThisanalysisindicatesthatinvestmentandrecurrentcostsThesehouseholdcontributionsaccountforalimiteddataconfirmfindingsinprevious

reports(WorldBank2008oecD2009a) significantshareofinvestmentinthesefourindicatingthathouseholdcontributions countriesaccountingfor44offundingcompriseasignificantportionoffinance ascomparedwithnationalgovernmentforsanitationanddrinking-water whichcontributedonly18ofthereported

US$101billionwithinwaterandsanitationTwoanalyseswereperformedtodetermine finance(Table31)relativecontributionsoffinancingfromvarioussourcestosanitationanddrinking-

ThesedataconfirmtheimportanceofwaterThefirstanalysiswasconfined

financialcontributionsfromhouseholdtoassessingthefinancialdataontaxestariffsandself-supplyparticularlyandtransfersfromthe17respondentforrecurrentexpenditureandcapitalcountriesThisanalysisshowsthatcentral

governmentremainsthemajorsource expenditurefornon-networkedservicesofinvestmentinsanitationanddrinking- andtheneedtomonitortheseinthefuturewaterinmostofthecountriessurveyed

HouseholdfundingforWASHthroughtariffsandself-supplyisgenerallynotmonitoredLimiteddatasuggestthathouseholdfundingcontributesasignificantshareoftheoverallWASHfinancing(table31)

tABLe31contributionofhouseholdtariffs(andcostsassociatedwithself-supply)

Country ContributionofhouseholdtariffstototalWASHfunding

Contributionofhouseholdtariffstototal

operationalexpenditure1

Iran(IslamicRepublicof) 61 100

Bangladesh 36 87

Thailand 32 Datanotavailable

Lesotho 30 82

1 Progressivelyincreasingtheproportionofoperationalexpenditurefundedthroughhouseholdtariffsto100allowsforsustainablerecoveryofcostsassociatedwithoperationandminormaintenanceovertimethecombinationoftariffsandtaxationneedstofundoperationalexpenditurepluslong-termcapitalmaintenanceandanyinterestcostsofloans

Source 2011 GLAAS country survey

CentralgovernmentbudgetallocationanddisbursementarethemajorsourceoffinancingforrespondentcountriesHouseholdcontributionsarepoorlyunderstoodbutcouldbeequallyifnotmoresignificant(Figure31)

FIGUre31Sourcesoffinancingforsanitationanddrinking-water

Source 2011 GLAAS country survey

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-waterexcludinghouseholds(17countriesUS$198billion)

Sourcesoffundingforsanitationanddrinking-waterinclusiveofhouseholdtariffandself-supply(4countriesUS$101billion)

26

exterNALSUpportinmanyrespondentcountriesexternaldevelopmentaidremainsamajorsourceoffinancingforsanitationanddrinking-water(Table32)mostlikelyforcapitalinvestmentinthesecasesstrongcoordinationamongdonorsandalignmentwithWAShinvestmentprioritiesareessentialGlAASdataindicatethatcoordinationmechanismsaremorelikelytobeinplaceforcountrieswithmultipledonors

Asdiscussedfurtherinsection6overUS$89billionindevelopmentaidwasdirectedtosanitationanddrinking-water

in2009MajorrecipientcountriesintermsofaidamountsincludechinaindiaindonesiaPeruTurkeytheUnitedrepublicofTanzaniaandvietNamcomprisingoverUS$15billioninannualsanitationandwateraid(2008ndash2009average)oDAtomiddle-incomecountriessuchaschina1indiaandTurkeyisprimarilycomposedofloansthathaveagrantelementofatleast25Sanitationanddrinking-wateraidcomprisedover1ofGDPforsevencountriesasshowninTable33b

Section6providesfurtherdetailsonexternalfinancialsupportforWASh

externalsupportcanbeamajorsourceoffinancingforsomecountrieshighlightingtheneedforstrongdonorcoordinationandalignmentwithsectorinvestmentpriorities(table32)

tABLe32respondentcountriesreportinggreaterthan25donorfinance

Country Donorfinance(asofgovernmentfinance)

Majordonors2 Numberofdonors Sectorwideapproachorothersectoralframeworkimplementedforwaterandsanitation

Investmentplanimplemented

Madagascar 26 WorldBankAfricanDevelopmentBankEU 12 Yes Yes

Honduras 39 SpainJapanWorldBank 14 Beingdefined Underpreparation

Kenya 41 GermanyWorldBankFrance 24 Yes Underpreparation

Afghanistan 46 WorldBankUSAGermany 13 Beingdefined Ruralwatersupply

Yemen 46 WorldBankGermanyNetherlands 12 Yes Yes

Bangladesh 63 AsianDevelopmentBankJapanWorldBank 19 Drinking-wateronly Yes

Lesotho 67 IrelandWorldBankUSA 9 Drinking-wateronly Urbanruralsupply

EUEuropeanUnionUSAUnitedStatesofAmerica

Sources 2011 GLAAS country survey OECD (2012)

ManydevelopingcountriesremaindependentonexternalaidforWASHItaccountsformorethan1ofGDpinsevendevelopingcountriesonlyoneAfricancountryisatopWASHaidrecipient(table33)

tABLe33Topaidrecipientsforsanitationandwateraidin2008ndash2009

a)TopWAShaidrecipientsbydollaramount(oDA) b)TopWAShaidrecipientsbyofGDP(oDA)

Country Averagedonordisbursementforsanitationanddrinkingwater

2008 2009(US$million)

DonorfinancingforWASH(asofGDP)

China 296 001

VietNam 274 029

India 252 002

Turkey 167 003

UnitedRepublicofTanzania 161 077

Indonesia 157 003

Peru 139 011

Country Averagedonordisbursementforsanitationanddrinkingwater

2008 2009(US$million)

DonorfinancingforWASH(asofGDP)

Timor-Leste 11 194

Samoa 9 180

Burundi 17 131

Nicaragua 74 120

Lesotho 21 118

Liberia 10 115

Haiti 69 105

Sources World Bank (2011) OECD (2012)

1 inadditiontoanaverageannualaidofUS$296millionchinareceivedanaverageannualamountofUS$332millioninnon-concessionallendingforwaterandsanitationin2008ndash20092 DataderivedfromoecDwiththeexceptionofBangladesh

27

3 fiNANciNG

32AllocATioNoffUNDiNGWhATiSMoNeyBeiNGSPeNToN

onemeasureusedtogaugepoliticalcommitmentandpriorityistheamountofpublicfundsexpendedinsanitationanddrinking-waterassessedasatrendorcomparedwithspendinginothersectorsforexamplethe2008eThekwiniDeclarationsignatoriessetatargetofspending05ofGDPonsanitationinthe2011GlAAScountrysurveyalimitednumber(13outof74)ofrespondentcountriesreportedtotalsanitationanddrinking-waterexpendituresonlyfromgovernmentandexternalfundingsources(multilateralandbilateraldonorsandcommerciallenders)forrespondingcountrieswithsufficientdatatheseexpenditureswerecomparedwithGDPAmedianannualexpenditureforsanitationanddrinking-watercoveringtaxes(domesticgovernment)andtransfers(donors)butexcludinghouseholdexpenditureswas073ofGDP

Increasingbudgetallocationstosanitationanddrinking-water

Alargeproportionofthecommitmentsmadeatthe2010SWAhighlevelMeetingrelatedtoincreasingtheallocationstowaterandsanitationfromdevelopingcountriesrsquoownbudgetsMorethan20specificcommitmentsweremadeby12countriesinthisrespectAfewstandoutbecausetheyweresignificantlyinfluencedbythehighlevelMeetingprocessandbecausethecountriesreporteitherhavingfulfilledthecommitmentorthattheyaremakinggoodprogressGhanamadeprogressonincreasingitsallocationsforwaterandsanitationinits2011budgetcreatingabudgetlineinwhichspecificallocationsweremadeforactivitiesrelatedtothecountryrsquos2010highlevelMeetingcommitmentsTimorlestereportsprogressonincreasinggovernmentinvestmentintheWAShgoingfromUS$2millionin2009toUS$112millionin2010andthentoUS$35millionin2011

Governmentexpenditure(fromtaxesandtransfers)onsanitationanddrinking-waterrangedfrom037to35ofGDp(Figure32)

Lesotho Honduras

Kenya Egypt

Thailand Nepal

Yemen Iran (Islamic Republic of)

Panama Colombia

Madagascar Bangladesh

Pakistan

351 116

111 092

080 080

073 069

046 045 042

038 037

00 10 20 30 40 Government-coordinated expenditure on WASH as a of GDP

FIGUre32Publicspending(fromfundsobtainedthroughdomestictaxesandexternal transfers) on sanitation and drinking-water as a percentage of GDP(2010data)

NoteNotallcountriesreportedcontributionsfromregionalandlocalgovernments(ieegyptKenyaandyemen)

Sources 2011 GLAAS country survey World Bank (2012)

Summarydatafromrespondentcountriesindicatethatmediangovernmentexpenditureonsanitationanddrinking-waterisonethirdofthatforhealthandonesixthofthatforeducation(table34)

tABLe34GovernmentexpenditureonhealtheducationandWASh

Country Governmentexpenditureonhealth(ofGDP)1

Governmentexpenditureoneducation(ofGDP)

Governmentexpenditureonsanitationanddrinkingwater

(ofGDP)

Bangladesh 11 242 04

Colombia 54 47 05

Egypt3 19 382 09

Honduras 46 mdash 12

India 13 mdash 02

Iran(IslamicRepublicof)

23 47 07

Kenya3 21 691 11

Lesotho 84 mdash 35

Madagascar 27 32 04

Nepal 17 47 08

Panama 61 382 05

Thailand 37 41 08

Yemen3 14 mdash 07

Minimum 11 32 02

Maximum 84 140 35

Median 23 55 07

1 2010data2 2008data3 Notallcountriesreportedcontributionsfromregionalandlocalgovernments

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

28

CApItALexpeNDItUreCoMpAreDWItHreCUrreNtoperAtIoNANDMAINteNANCeexpeNDItUreAsnotedpreviouslyrespondentcountriesindicatethatthereareinsufficientresourcestoattainMDGandcountrytargetsAssuchitisimportantthatlimitedfinancialresourcesbecarefullybalancedbetweennewinvestmenttoprovideservicetotheunservedandrecurrentexpendituretosustainexistinginvestmentsAscoveragelevelsincreasecapitalassetsincreaseasdoestheneedforrevenuetocoverrecurrentcostsforhumanresourcesandforpartsandsuppliestooperateandensurethelong-termmaintenanceofexistingsystemshoweverasshowninfigure33a31ofWAShfundsexpendedin11respondentcountriesweredirectedtowardsoperationandmaintenanceGiventhatmostcountriesreportthatoperationandmaintenanceprogrammesforruralwatersupplyareinadequateandthaturbanutilitiesfrequentlylacksufficientrevenuetocoveroperationandmaintenancecosts(seesection37)thisraisesquestionsastowhetherexistingfundingforoperationandmaintenanceissufficienttosustainWAShsystemsMoreoverascitedin

thepreviousGlAASreport75oftheestimatedfinancingneedsforsanitationanddrinking-waterconsistofrecurrentoperationalandmaintenancecostsforexistingservices(huttonampBartram2008)

SANItAtIoNCoMpAreDWItHDrINKING-WAterexpeNDItUreAreviewofexpenditurebreakdownscanindicatepotentialissuesofhowfinancialresourcesaretargetedThe2010GlAASreportindicatedthatsanitationcomprisesapproximatelyonefifthofthefinancingdevotedtosanitationanddrinking-watercombinedThe13countriesthatwereabletoprovidedataforthisreportindicatedthat27oftotalWAShfundswerespentonsanitation(figure33b)Accordingtoglobalestimatesthesesame13countrieshaveapproximately990millionpeoplewhodonothaveaccesstoimprovedsanitationcomparedwith190millionpeoplewhodonothaveaccesstoanimprovedsourceofdrinking-waterinotherwordsunimprovedsanitationwhichrepresents84ofthetotalWAShunservedinthesecountriesreceivesonly27ofthetotalWAShfunding

UrBANCoMpAreDWItHrUrALexpeNDItUreSimilarlytheurbanversusruralpiechartinfigure33cindicatesthatfor10respondentcountries75ofexpenditureistargetedaturbansettingshoweverthesesame10countrieshaveapproximately44millionand129millioninurbanandruralpopulationsrespectivelywhodonothaveaccesstoimprovedsanitationordrinking-waterfromanimprovedsourcePeoplewithoutaccesstoimprovedsanitationordrinking-waterfromanimprovedsourceinruralareascomprise75oftheunservedbutbenefitfromonly25oftheexpendituresforsanitationanddrinking-water

HyGIeNeproMotIoNexpenditureforhygieneeducationandpromotionwasprovidedbysevenrespondentcountriesTheamountspentonhygieneeducationandpromotionprogrammesacrosstheserespondentsrangedfrom03to82oftotalreportedpublicexpenditureinWAShAfghanistanBangladeshandKenyaeachreportedover4oftotalWAShexpenditureforhygieneeducationandpromotion

Limitedsanitationanddrinking-waterexpendituredataprecludemakingglobalstatementsconcerningfinancialallocationsderivedfromtaxesandtransfersbuthintathowexpendituresaretargeted(Figure33)

a)capitalversusoperationandmaintenanceexpenditure(11countriesUS$126billion)

b)Sanitationversusdrinking-waterexpenditure(13countriesUS$127billion)

c)Urbanversusruralexpenditure(10countriesUS$76billion)d)hygienepromotionversusotherWAShexpenditure

(7countriesUS$51billion)

FIGUre33Breakdownsofexpendituresacrossdifferentcategories

Source 2011 GLAAS country survey

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

Fundingoperationandmaintenanceinruralwater

supply

fundingandtechnicalsupportforoperationandmaintenanceofruralwatersupplyareclearlynotadequate47outof70countriesreportthatmaintenanceprogrammesdonotexistorarelimitedineffectivenessorscopeGlAASfindingsindicateavarietyofcontributingfactorsincludinganinadequatesupplychainofsparepartsandout-of-dateornon-existentinventoriesofruralwaterpointsTheadequacyoffundingtosustainurbanwatersupplyoperationsisdiscussedattheendofthissection

33 USeofcoMMiTTeDfUNDS

efficientandtimelyreleaseofcommittedfundsisanotherkeyaspectofaneffectivefinancingsystemlowannualdisbursementratesofallocatedbudgetsduetolongprocurementprocessesandheavyadministrativeburdenswerecitedbymanycountryrespondentsasconstraintstoreachingsanitationanddrinking-waterplanningtargets(figure34)

UseofaidcanbeimprovedbybettercoordinationamongdonorsandaligningwithcountryprocessesAsanexamplesectorharmonizationhasbeenimprovedinethiopiabythethreelargestofficialdevelopmentpartnersmdashtheWorldBanktheUnitedKingdomDepartmentforinternationalDevelopmentandtheAfricanDevelopmentBankmdashwhichhaveallharmonizedunderasinglefinancingmodalitychannelledthroughtheMinistryoffinanceandeconomicDevelopmentMeanwhilemostotherwatersectorofficialdevelopmentpartnersmdashalthoughstilloperatinginprojectmodemdashhaveadoptedtheemergingsector-wideapproachreplacingseparateindividualprojectmissionsandproject-basedfieldvisitswithbiannualJointTechnicalreviewsandanannualWAShMultistakeholderforum

Averageabsorptionratesofcentralgovernmentcapitalcommitmentsarelowandshowadecliningtrend(Figure34)

FIGUre34Whatisthepercentageofofficialdomesticcapitalcommitmentsutilized

Source 2011 GLAAS country survey (74 respondents) 2009ndash2010 CSO and GLAAS country survey

Drinking-waterabsorptionofcommitteddomesticfunds2011

Sanitationabsorptionofcommitteddomesticfunds2011

trendfrom2009to2011(38countries)

Whatisthepercentageofdomesticcapitalcommitmentsutilized

Absorptionratesndashdomesticcommitments2011

30

AnanalysiswasundertakentoidentifycountrieshavinghighorlowcapacitytouseorabsorbfundsagainsttheirWAShfundingneedsTodothisafinancialldquoabsorptioncapacityrdquoindexwascreatedwhichamalgamatedcountryresponsesoninvestmentprogrammesdomesticanddonorabsorptioncapacityandwhetherfundinglevelsforlocalgovernmentsandoperatingentitieswereinlinewithdecentralizationpoliciesThisindexwascomparedwithcountryresponsesonthesufficiencyoffundingTheresultsconfirmpreviousevidence(WaterAid2011b)suggestingthatthosecountriesingreatestneedandthatalsolackthecapacitytoabsorbandspendfundseffectivelyarehinderedbyfundersthatarereluctanttoinvestmdashthuscreatingaviciouscycleThissuggeststhatimprovementsininvestmentplanningandfinancialprocurementcouldmakeapositivedifferencetowardsimprovingfundingsufficiencyandcreatingavirtuouscycleresultsforurbandrinking-waterareshowninfigure36

theUnitedrepublicoftanzaniaidentifiesfactorsforpoor

utilizationofaid

ApublicexpenditurereviewofthewaterandsanitationsectorintheUnitedrepublicofTanzaniain2009(vandenBergetal2009)identifiedthelackofpredictabilityofdonordisbursementsasamajorreasonforpoorutilizationofaidldquoUnpredictabilityislinkedtothefollowingfactors(i)theplanningandimplementationofdonorfundingisnotalignedwiththegovernmentrsquosbudgetcalendarespeciallyifthegovernmentanddonorcountriesworkwithdifferentfinancialyears(ii)theuseofparallelsystemsthatmakeithardtoobtainfullinformationontheexpectedassistanceflowsand(iii)theseasonalityinprojectimplementationrdquoTheseinefficienciesarefurtherexacerbatedbythefragmentationofdonorfundingwhichresultsinhightransactioncostsfordonorsandgovernmentalike

Averageabsorptionratesofdonorcapitalcommitmentsareevenlowerthandomesticcapitalabsorptionrates(Figure35)

FIGUre35Whatisthepercentageofdonorcapitalcommitmentsutilized

Sources 2011 GLAAS country survey (74 respondents) 2009ndash2010 CSA and GLAAS country survey

Drinking-waterabsorptionofcommitteddonorfunds2011

Sanitationabsorptionofcommitteddonorfunds2011

trendfrom2009to2011(38countries)

Whatisthepercentageofdonorcapitalcommitmentsutilized

Absorptionratesndashdonorcommitments2011

31

3 fiNANciNG

Keyobservationsassociatedwithfinancialabsorption

ArecentWaterAidreport(WaterAid2011a)highlightskeyobservationsassociatedwithfinancialabsorptioncommontoinfrastructuresectors

bull highabsorptionratesappeartobeagoodindicatoroftheoverallhealthandefficiencyofthesector

bull comparisonofWAShwithothersectorssuggeststhatgenericissuessuchasthequalityofpublicfinancialmanagementorprogressondecentralizationhaveanimpactacrossallbasicservicesectors

bull capitalbudgetsaremorelikelythanrecurrentbudgetstobeunderspentsotherelativelycapital-intensivenatureofWAShplacesitatgreaterrisktoabsorptionconstraintsprocurementprocessesmayalsohavecontributedtoWASh-specificabsorptionproblems

bull DonorfundsaremuchmoresusceptiblethannationalfundstodelayandunderspendingWiththemajorityofdonorfundsallocatedtocapitalbudgetsthisoverlapswiththepreviousbulletbuttheevidenceshowsthatdonorprocurementandreportingrequirementsaretooburdensomeonalready-strainedgovernmentcapacity

bull Thechallengesforeffectiveabsorptionaregreateracrossallsectorsinfragilestates

Manyofthesamerespondentcountriesthatindicatealackoffinancingasaconstraintmaynothaveaninvestmentprogrammeinplaceorhavelowusageratesfordomesticandexternaldonorcommitments(Figure36)

Inde

x of

cap

acity

to in

vest

and

abs

orb

fund

s

Low

M

ediu

mH

igh Ethiopia

Kyrgyzstan

Angola Cameroon Indonesia Mongolia Rwanda Thailand

Uzbekistan Zimbabwe

Azerbaijan Bhutan

Iran (Islamic Republic of) Morocco

Nepal Panama

South Africa Sri Lanka

Bangladesh Central African Republic Benin

Chad FijiEl Salvador

Gambia Lebanon Egypt Guinea Mali Ghana Jordan

Lao Peoplersquos Democratic Republic Madagascar

Mozambique Niger

Kenya Lesotho

Philippines TajikistanSenegal

South Sudan Timor-Leste Viet Nam

Cocircte drsquoIvoire Democratic Republic of the Congo

Dominican Republic Guinea-Bissau

Haiti

Cambodia Equatorial Guinea

Myanmar

Bolivia (Plurinational State of) Paraguay

Honduras Mauritania

Sierra Leone Togo

Countries where low capacity to spend funds and high funding lt50 of funds needed 50ndash75 gt75 of funds

needs cause of concern of funds needed needed

Sufficiency of funds to meet MDG target

FIGUre36Sufficiencyoffundsversusinvestmentandabsorptioncapacity(urbandrinking-water)

Noteindexbasedonatotalscoreforfourquestionsincluding1)isaninvestmentprogrammeimplemented2)Percentageofdonorcapitalcommitmentused3)Percentageofdomesticcapitalcommitmentused4)isfundnginlinewithdecentralizationpoliciesThisanalysissimilartoothersinthisreportisbasedonself-reportedcountrydata

Source 2011 GLAAS country survey (57 respondents)

32

34 fiNANciAlMoNiToriNGANDTrANSPAreNcyhoWcANWeTrAcKWhATiSBeiNGSPeNT

comprehensivemonitoringofbudgetsandexpenditureatdifferentlevelsofgovernmentandfromallsourcesofrevenuecaninformresourcetargetingitprovidesabetterunderstandingofrelativeabsorptionratesandtheeffectivenessofpoliciesandprogrammesandcanprovideinsightintothecost-effectivenessofapproachesusedtoreachWAShtargetsSeveralrespondentcountriesindicatedthatlackofamonitoringframeworkandpost-projectfinancialassessmentsconstrainedfinancialplanning

Transparentbudgetsandpublicationoffinancialstatementsenablestakeholderstoidentifyprioritiesfundingsourcesandpotentialfundinggapsfigure38highlightshowrespondentcountriesareprogressingintermsofbudgettransparencyandcomprehensiveness

furtherdiscussionoffinancinginthisreport(ieAnnexB)willfocusonthedevelopmentofastandardmethodologyfortrackingfinancialflowstosanitationanddrinking-wateratnationallevelsTheabilitytotrackfinancialflowscanhelpgovernmentsindecision-makingandmakethebusinesscaseforincreasinginvestmentsinWAShasawhole

over60ofcountrieseitherhavenofinancialinformationmanagementsystemsinplaceoruseonethatprovidesonlypartialinformation(Figure37)

FIGUre 37 is there a financial information management system to trackinvestments and expenditures in drinking-water sanitation and hygienepromotionatanationallevel

Source 2011 GLAAS country survey (74 respondents)

Useoffinancialsystemsinruralareas

Isthereafinancialinformationmanagementsystemtotrackinvestmentsandexpendituresindrinking-watersanitationandhygienepromotionatanationallevel

Consolidatedbudgetandexpenditureinformationonsanitationisreportedlyavailableforonly40ofcountryrespondents(Figure38)

Required by national policy or regulation

Urban utilities have audited accounts and balance sheet Not requested for sanitation

Donor amp domestic expenditure

Expenditures vs budget reported in consolidated format

Yes all government levels

Budget structure allows separate sectors to be identified

gt75 of funds on budget

Budgets reflect both domestic Drinking-water and donor investment Sanitation

0 20 40 60 80 100 of responding countries

FIGUre38comprehensivenessoffinancialstatementsandtransparency

Source 2011 GLAAS country survey (74 respondents)

33

3 fiNANciNG

35 WAShiNveSTMeNTProGrAMMeSDocoUNTrieSKNoWhoWMUchTheyWillNeeDToSPeNDiNfUTUre

investmentprogrammeshelptodefineandprioritizecapitalneedsmatchexpectedresourceswithcostsofinfrastructureandprogrammesandimproveintergovernmentalcoordinationpredictabilityandtransparencyofbudgetingandexpenditureManyrespondentcountriescitethedevelopmentorimplementationofinvestmentprogrammesassignificantachievementsinrecentyearsTheseprogrammescanalsobelinkedtoastrategicfinancialplanningprocessthatanswersquestionssuchaswho(eguserstaxpayersdonors)shouldpayforwhat(ieoperatingcapitalexpenseswatersanitationruralurbanperiurbanareas)andwhatshouldbethefutureservicelevelThestrategicfinancialplanningprocessdetermineshowmuchmoneyisneededandwhereitwouldcomefrom(oecD2009b)

ldquoTheplannedmid-termexpenditureforsanitationdevelopmentof2010ndash2014increasesaroundfourtimescomparedtosanitationbudgetintheperiodof2005ndash2009rdquomdashIndonesia 2011 GLAAS country survey response

WASHinvestmentprogrammingmaybeimprovinggloballymdash62ofrespondentcountrieshaveestablisheddrinking-waterinvestmentprogrammesand40haveestablishedsanitationinvestmentprogrammes(Figure39)

FIGUre39isthereaninvestmentprogrammethatisagreedandpublished

Sources 2011 GLAAS country survey (74 respondents) 2009ndash2010 CSO and GLAAS country survey

Drinking-waterinvestmentprogrammes2011

Sanitationinvestmentprogrammes2011

trendfrom2009to2011(38countries)

Isthereaninvestmentprogrammethatisagreedandpublished

Statusofinvestmentprogrammes2011

34

36 ADeQUAcyoffiNANce

The2010GlAASreport(Who2010)indicatedthatfewcountrieshadsufficientfinancialresourcestoachievetheirreportedtargetsinfactonly10countrieswerereportedtohavemorethan75ofthefundsneededforsanitationMorerecentdatacollectedinthe2011GlAAScountrysurveysuggestthatdomesticbudgetallocationsforsanitationanddrinking-waterhavebeenincreasingforsomecountriesduetothedevelopmentofinvestmentplansandstrongerpoliticalcommitmenthowevermostrespondentcountriesstillreportashortageofadequatefinancialflowstomeettargetsandthatbudgets

frequentlyfallshortofspendingagreedininvestmentplans

Asevidencethatexpendituresareincreasingforsanitationanddrinking-waterfivecountriesthatreportedinboththe2009and2011GlAAScountrysurveyswerecomparedasshowninTable35fouroutofthefivecountriesindicatedincreasesinexpenditurestothesector

ldquoAStrategicenvironmentalSanitationinvestmentPlaniscurrentlybeforecabinetpendingapprovalThiswillcontributesignificantlytoimprovedsanitationfinancingmdashincreasedandpredictablefundingaswellasbettertargetingofthefundsrdquomdash Ghana 2011 GLAAS country survey response

tABLe35comparisonofexpendituresforsanitationanddrinking-water(2008ndash2010)

Country Sanitationanddrinkingwaterexpenditure(US$million)

2008 2010

BurkinaFaso 258 159

Kenya 286 355

Lesotho 33 118

Madagascar 13 107

Nepal 77 128

Sources 2011 GLAAS country survey 2009ndash2010 CSO and GLAAS country survey

Whilefinancialresourcesforsanitationanddrinking-waterhaveincreasedinsomecountriestotalfundingisreportedtoremaininadequateespeciallyforsanitation(Figure310)

Sanitationadequacyoffinancing2011

ArefinancialflowssufficienttomeetMDGtargets

Drinking-wateradequacyoffinancing2011

trendfrom2009to2011(38countries)Adequacyoffinancing2011

FIGUre310ArefinancialflowssufficienttomeetMDGtargets

Sources 2011 GLAAS country survey (74 respondents) 2009ndash2010 CSO and GLAAS country survey

35

3 fiNANciNG

37ADeQUAcyofreveNUeToSUSTAiNUrBANWATerSUPPlyoPerATioNS

GlAAScountryrespondentsreportedthatutilitieswerenotevenabletorecoveroperationandminormaintenancecoststhroughuserfeesletalonethecriticalcostsoflong-termcapitalmaintenanceManyrespondentcountriescommentedonexistinginfrastructurebeinginapoorstateofrepairoftenasaresultofalackoffundsforpreventiveandcorrectivemaintenancefordrinking-waterthiscanresultinapoorlevelofservicepoorwaterqualityorhighnon-revenuewaterWithtimedegradationoftheinfrastructurewillprogressandcanrapidlyresultinaneedformorecostlymajorassetreplacement

Threepolicyorimplementationaspectsofurbanwatermanagementthatmaypositivelyinfluencerevenuegenerationinclude

bull conductingtariffreviewsandperformingadjustmentsaccordinglymdashoverhalfofcountriesindicatethaturbantariffsarenotreviewedornotadjusteduponreview

bull Decision-makingauthoritymdashoverhalfofcountriesindicatethaturbanutilitiesdonothavedecision-makingauthoritywithrespecttoinvestmentplanning

bull Achievingreductionsinnon-revenuewatermdashoverthreequartersofcountriesindicatethatnon-revenuewaterismorethan20ofwaterproduced

onethirdofcountriesindicatethatrevenuescoverlessthan80ofoperatingcostsforurbanutilities(Figure311)

Non-revenuewaterreductionforefficientmanagementofurbannetworks

Unbilledwaterproducedbyautilitymdashnon-revenuewatermdashtogetherwithotherindicatorssuchaslossesperconnectionorlossesperkilometrecanbeanindicatoroftheldquohealthrdquoofawaterutilityThenon-revenuewaterindicatedbyrespondentstothe2011GlAAScountrysurveycorrespondstotheaveragefigureof31forutilitiesworldwidequotedbytheinternationalBenchmarkingNetworkforWaterandSanitationUtilities(vandenBergampDanilenko2011)Areductionofnon-revenuewatercanalsohelptogeneratefinanceforcapitalmaintenanceandfurtherinvestmentaswellasreducethestrainonscarcewaterresources

FIGUre311Areoperationandminormaintenancecostsforutilitiescoveredbyuserfees

Source GLAAS 2011 country survey (66 country respondents)

34

24

42

Operating ratio greater than 12

Operating ratio between 08 and 12

Operating ratio less than 08

38 iMPlicATioNSforThefUTUre

ThissectiondescribesthesourcesvolumeandtargetingoffundingforWAShThelimiteddatasubmittedsuggestthathouseholdscentralgovernmentandexternaldonorsallcontributesignificantlytoWAShfundingThedataindicatethatfundingisnotnecessarilytargetedtothoseinneedthattheWAShsectorfrequentlyhasdifficultyabsorbingfundingandthatallocationsmaynotbesufficienttosupportsustainable

operationandmaintenanceThesectionoverwhelminglyhighlightsalackofrobustinformationonWAShfinancingitconfirmsthatfinancialdataaregenerallynoteffectivelytrackedandthusnotavailabletoinformdecision-makingStrengtheningthemonitoringoffinancialflowsThroughamethodolgythatensuresharmonizationcomparabilityandconsistencyisurgentandrequiredAproposedmethodologyispresentedinAnnexB

LiberiaCompact

inlate2010followingsuccessfulparticipationatthefirstSWAhighlevelMeetingtheGovernmentofliberiaactivelyengagedSWApartnerstomobilizeresourcesinsupportofliberiarsquosWAShsectorinApril2011theSWApartnershipundertooktosupportnational-levelwaterandsanitationplanninginliberiawithajointPartnerMissionTheMissiontookplaceundertheleadershipoftheGovernmentofliberiaincludingparticipationbyPresidentellenJohnsonSirleafandseveralministersitsetinmotionaprocesstostrengthenplanningandbothmultiministerialandmultidonorcoordinationTheMissionengagedliberia-basedandexternalSWApartnersincludingtheGovernmentofGhana(asGhanahadrecentlycreatedacompactofitsown)theDutchdevelopmentagency(Directorate-Generalforinternationalcooperation)theUnitedStatesAgencyforinternationalDevelopmenttheAfricanDevelopmentBankcivilsocietypartnersWaterAidtheWorldBankrsquosWaterandSanitationProgramUNicefandtheUnitedNationsDevelopmentProgramme(UNDP)TheMissionresultedinatwo-yearcompactformalizinganagreementamongtheministriesdevelopmentpartnersandcivilsocietyorganizationssettingoutactionsinthekeyareasofinstitutionalreformserviceprovisionsectormonitoringandfinancingTheMissiondemonstratedhowinternationalsupportcanbetranslatedintonational-levelactionmdashincreasinglocalownershipimprovingcoordinationandimportantlymakingtheWAShsectormoreldquoinvestmentreadyrdquotobothfinanceministriesanddevelopmentpartnersinacountrywherewatercoverageandsanitationcoverageareestimatedtobeonly73and18respectivelytheMissionandtheresultingWAShcompactareseenascriticalstepsindeliveringsustainableandequitableaccess

36

23 HumanHumanresources44 resources

KeyMeSSAGeS

bullonehalfofcountriesdidnotreportonhowmanyWAShstaffwereinplaceindicatingasignificantlackofinformationonhumanresources

bullonly40ofrespondingcountriesreportedsufficienthumanresourcestooperateandmaintainurbandrinking-watersystemsandlessthan20fordrinking-watersystemsinruralareas

bullTherewasaperceivedacuteshortageofextensionstaffforsanitationandhygienepromotion

bullWomenmakeuplessthan10oftheprofessionalormanagerialwaterandsanitationstaffinhalfofthecountriesthatrespondedtothesurvey

bulllackofadequatefundingandlackoftechniciansandskilledlabourarecommonlyreportedbarrierstoachievingsustainability

4 hUMANreSoUrceS

operatingandmaintainingsanitationanddrinking-watersystemsanddeliveringsanitationanddrinking-waterservicesrequireadiverserangeofpeoplewithavarietyoftrainingexperienceandskillsincludingmanagersplannersengineerslaboratorytechniciansmicrobiologistsmasonsplumbersandhygienepromotersWhatmakessanitationanddrinking-waterperhapsmorecomplexstillistheinvolvementofabroadrangeofgovernmentbodies(frequentlytwoorthreeministriesatthenationallevelfurthermultipliedatlowerlevelsofadministration)ThisinstitutionalinfrastructureiscomplementedbyparastatalauthoritiesandnongovernmentalentitiesincludingtheprivatesectorandcivilsocietyorganizationsthataredirectlyinvolvedinplanningdesignandimplementationThehumanresourcesavailabletoensurethatadequatesanitationanddrinking-waterservicesaredeliveredandsustainedarethereforeanaggregateofthehumanresourcecapacityofallthesedifferentinstitutionscoordinationamongthedifferentorganizationsisessentialwhenitcomestooverallhumanresourceplanningforsanitationanddrinking-water

Thehealthsectorplaysavitalroleinpromotingsanitationandhygieneinmanycountriesaswellasinmonitoringthesafetyofdrinking-watersuppliedtousersinadditiontheeducationandhealthsectorsneedtoensurethatdrinking-waterandsanitationfacilitiesareprovidedandmaintainedintheirschoolsclinicsandhospitals

inthiscomplexanddiverseinstitutionallandscapeitisadauntingtasktodeterminetheroleofeachorganizationandtomapthehumanresourcecapacityandrequirementstodelivertheservicesneededThereforeitshouldcomeasnosurprisethatsomecountrieshadproblemsreportingtoGlAASonhumanresourceissuesThatsaidmanycountriessuggestedthattheircapacitytomeettheMDGtargetswascriticallyhamperedbyalackofhumanresources

41 ADeQUAcyofhUMANreSoUrceDATA

Nearlyonehalfofthecountriessurveyedwereunabletoanswerthequestiononhowmanystafftheyhadinplaceforeitherdrinking-waterorsanitationin2011ofthosethatwereabletorespondtheanswersvariedwidelyforexamplecertaincountriesreportedhavingfewerthan10staff

workingondrinking-wateratthecentrallevelwhereasothercountriesreportedstaffnumbersinthethousandsorhigherWhilethishighlightssomeapparentserioushumanresourceshortagesinwaterandsanitationthevariationmayalsocastdoubtsonthereliabilityofavailablecountrydataonlyonethirdofrespondingcountrieswereabletoindicateanticipatedstaffinglevelsorprojectedstaffingneedsfor2016

Assessinghumanresourcecapacity

ldquoMindtheGaprdquoastudyfundedbytheUnitedKingdomDepartmentforinternationalDevelopmentandledbytheinternationalWaterAssociationcommencedin2008andpilotedthefirstmethodofitskindforsanitationanddrinking-watertocollectdataonhumanresourcegaps(skills)andshortages(numberofworkers)atthenationallevelinitialconclusionsindicatethat

bull Decentralizationisoftennotaccompaniedbythenecessarytransferofhumanandfinancialresources

bull Graduateslackpracticalexperienceinpartduetoinadequatecoordinationbetweeneducationalinstitutesandemployers

bull PrivatecompaniesNGosanddonoragenciestendtoattractthemostskilledlabourwiththehighestqualificationsbutthereisalsostrongcompetitionfromcutting-edgeindustriessuchasthetelecomindustryandmarketingcompanies

bull lowsalarieslackofbenefitsandpoorworkingconditionsinthepublicsectorespeciallyforthoseworkinginremoteareasmakeitdifficulttoattractandretaingoodstaff

followingthisinitialstudyinfivecountriestheinternationalWaterAssociationwiththeassistanceoftheAustralianAgencyforinternationalDevelopmentandtheUnitedStatesAgencyforinternationalDevelopmentiscarryingoutsimilarassessmentsofhumanresourcecapacityinafurther10countrieswithcertainadjustmentsofthemethodtoobtainevenmorerobustandreliabledata(iWA2011)

ethiopiarsquosHealthextensionprogramme

ThehealthextensionProgrammeinethiopiawaslaunchedin2003inresponsetoalackoftrainedhealthworkersWomenareselectedwhohavemorethan10yearsofformaleducationandwhowanttoworkintheircommunitieshealthextensionworkersaregiventrainingonfamilyhealthpreventionandcontrolofcommunicablediseaseshygieneandenvironmentalsanitationandhealtheducationandcommunicationBy2009therewere30000healthworkersThesuccessofthisprogrammeisaresultofinvestmentintrainingbydonorswidespreadacceptancewithincommunitiesandinvestmentininformationsystemsonfamilyhealthdemographicdataanduseofservices

38

42 SUfficieNcyofSTAffiNG

Somecountriesthatreportedonwaterandsanitationstaffinglevelsprovidedastaffingfigureoffewerthan1000fortheentirecountry(egcoveringcentralandlocalstaff)Whileacknowledgingthattheseestimatesmaybeinaccuratetheyneverthelesspointtoamassivegapinavailabledrinking-watersanitationandhygienestaffoftenintheverycountriesthataremostseriouslyoff-tracktomeettheMDGtargetsforexamplefewcountriesreportedhavingsufficientstaffinplacetomeettheirneedsforhygienepromotion

Humanresourcecommitments

AspartoftheSWAinitiativeanumberoffirmcommitmentsrelatingtoidentifyingandaddressinghumanresourcecapacitygapsweremadebyseveralcountriesatthe2010highlevelMeetingsomewerereaffirmationsofexistinginitiativesforexampleinTimorlestethegovernmentisimplementingextensivetrainingprogrammestobuildhumanresourcecapacityAngolahasalsoreconfirmeditsintentiontoaddresshumanresourcecapacitygapsatalllevelsaswellasestablishingaprofessionaltrainingcentreforthewaterandsanitationsectorSomecountriesweresignificantlyinfluencedbythemessagesconveyedatthehighlevelMeetingMauritaniaforexamplecommittedtohireandtrainsufficientstaffindecentralizedhydraulicsandsanitationservicesandreportsgoodprogressinthisregard

furtheronly40ofcountriesreported Staffingisalsoaconcerninruralhavingsufficientstafftomeetthe sanitationwherelessthan20ofoperationandmaintenanceneedsof respondentcountriesconsiderthetheirurbandrinking-watersystems supplyofskilledlabourandtechniciansforruraldrinking-watersystemsthe adequatelydevelopedtomeettheirsituationwasworsewithlessthan20 needs(figure42)ofcountriesreportingsufficientstafftooperateandmaintaintheirsystems(figure41)evenwhereruralschemesaredesignedtobehandedovertocommunitiessomedegreeofoversightandsupportbytechnicallyqualifiedpeopleisrequiredWithoutthemsystemsareboundtomalfunctionandcommunitieshavenochoicebuttoreturntoaccessingunimprovedwatersources

Countriesreportinsufficientstafftooperateandmaintainurbanandruraldrinking-watersystems(Figure41)

FIGUre41 is theresufficientstaff tooperateandmaintainurbanand ruraldrinking-watersystems

Source 2011 GLAAS country survey (67 country responses)

Yes sufficient to meet demand

Yes but insufficient to meet demand

No

Num

ber o

f cou

ntrie

s Urban drinking-water Rural drinking-water

27

40

2 11

51

7

0

10

20

30

40

50

60

Lessthan20ofrespondentcountriesconsiderthesupplyofskilledlabourandtechniciansadequatelydevelopedtomeetneedsinruralsanitation(Figure42)

FIGUre 42 Are there sufficient supply-side artisanstechnicians to meetneedsinruralsanitation

Source 2011 GLAAS country survey (73 country respondents)

18

68

14

Capacity well developed

Capacity under development

None

39

4 hUMANreSoUrceS

43 STAffiNceNTiveSANDcoNTiNUiNGeDUcATioN

countriesreporthavinginsufficientincentivesfordrinking-watersanitationandhygienestaffStrengtheningmotivationcanbefosteredbyanumberoffactorsincludingcreatingopportunitiestodevelopskillsandincreaseexperienceAlthoughmanycountriesreportthatsuitablein-countryeducationandtraininginstitutionsdoexisttheyalsoreportthatthereareinsufficientcoursesavailabletomeettheneedsoftheexistingstaffMappingoftraininginstitutionsthatofferappropriatecourseswouldbeanimportantfirststepinstrengtheninghumanresourcecapacityacrosstheregionsThepossibleroleofnationalinstitutionsforpublicadministrationandmanagementneedstobeexploredastheseusuallyprovidetrainingforcivilservantsirrespectiveofthesectorinwhichtheyworktheycanthereforecontributetoovercomingthefragmentationofthehumanresourcebaseandoftheinstitutionalenvironmentinwhichpeopleoperate

44 GeNDer

GiventhecentralrolethatwomenplayincontributingtoimprovingaccesstoWAShcountrieswereaskedtoreportontheproportionoffemalestaffforsanitation(includingbothprofessionalandskilledworkerssuchashygienepromoters)andfordrinking-water(professionalworkersonly)inthestaffingforbothsanitationanddrinking-waterwomenareaclearminorityhalfoftheGlAASrespondentcountriesreportedthatwomenmakeuplessthan10oftheprofessionalmanagerialstaff

45 BArrierSiMPeDiNGDeveloPMeNTofhUMANreSoUrceS

countrysurveyrespondentswereaskedtoidentifythemostcriticalfactoraffectingtheadequacyofhumanresourcelevelsindrinking-waterandsanitationatseverallevelsofgovernmentandforbothprofessionalsandtechnicalskilledworkersAcrosstheboardinsufficientbudgettohireandretainstaffwasviewedasthemostlimitingfactoraffectinghumanresources(figure44)Theresponsesalsoindicatethatthelackofqualifiedapplicantsplaysalargerroleinstaffingatthelocalandregionallevelsthanatthenationalorutilitylevel

Inmostcountriesthereareopportunitiesforcontinuingeducationandtrainingbuttheopportunitiesareinsufficienttomeettheneedsofthestaff(Figure43)

Yes sufficient to meet demand

Yes but insufficient to meet demand

None

Sanitation Drinking-water

8

48

14 7

58

7

0 10 20 30 40 50 60 70

Num

ber o

f cou

ntrie

s

FIGUre43istherecontinuingeducationprovidedforstaff

Source 2011 GLAAS country survey (72 country responses)

Sanitation Drinking-water

Inadequatebudgetisthereasonmostfrequentlycitedforalackofstaff(Figure44)

Sanitation Drinking-water

50 45 40 35 30 25 20 15 10 5 0

Not enough qualified

applicants

Inadequate budgets

Work context constraints

Other barriers No barrier

o

f res

pons

es(a

ll po

sts

and

gove

rnm

ent l

evel

s)

FIGUre44Mostprevalentreasonsforstaffshortagescitedbycountries

Source 2011 GLAAS country survey (65 country respondents)

Sanitation Drinking-water

40

46 hUMANreSoUrcePlANNiNG

Anumberofcountrieshavealreadydevelopedhumanresourcestrategiesfordeliveringsanitationanddrinking-waterserviceswhereasanevengreaternumberaredevelopingtheirhumanresourcestrategiesAminorityofcountrieshavenospecifichumanresourcestrategyforsanitationanddrinking-water(figure45)SeveralrespondentcountriesinthelatinAmericaandcaribbeanregionpointedtotheformulationofahumanresourcestrategyandtoplanningaspriorityareasindicatingthatalackoftargetsprogrammesandspecificpoliciesforhumanresourcemanagementareobstaclestoattractingandretainingqualifiedpersonnelforsanitationanddrinking-water

ldquolargelyduetothelackofprogrammesinthemediumandlongtermthethreespheres(federalStateandMunicipal)ofgovernmentpoliciesforhumanresourcesarestillprecariousirregularandunsystematicrdquomdash 2011 GLAAS country response from Latin America and Caribbean region

Mostcountrieseitherhaveoraredevelopinghumanresourcestrategiesforsanitationanddrinking-water(Figure45)

Sanitationhumanresources2011

Arehumanresources(Hr)addressedinnationalstrategies

YesandHRprogrammesdevelopedforbothurbanandrural

YesandHRprogrammesdevelopedforurbanorrural

HRprogrammesunderdevelopment

HRprogrammesunderdevelopmentforurbanorrural

No

Notasurveyparticipant

Datanotavailable

Notapplicable

Humanresources(Hr)2011

Sanitation384032 Drinking-water

3035

2625 21

182015 81050

YesandHRprogrammes YesbutHRprogrammes Noimplemented underdevelopment

trendfrom2009to2011(38countries)

Drinking-water

Sanitation

2009 2011

2009 2011

0 10 20 30 40 50 60 70 80 90 100

of countries that have addressed human resources in national strategy

FIGUre45Arehumanresourceshraddressedinnationalstrategies

Source 2011 GLAAS country survey (74 country respondents)

Drinking-waterhumanresources2011

Num

bero

fcou

ntrie

s

41

4 hUMANreSoUrceS

47 iMPlicATioNSforThefUTUre

ThissectionshowsthatsignificantlygreatereffortsarerequiredtoassesshumanresourcecapacitygapsandneedsThisisasignificantchallengegiventhecomplexitiesofhumanresourceplanningThisplanningincludingthedevelopmentofpostdescriptionsrequiresanappreciationofthosecompetenciesandskillsneededforthedeliveryofservicesnowandinthefutureitdemandsanunderstanding

oftheadequacyofsecondaryandtertiaryeducationalinstitutionstorespondtosocietalneedsitalsorequiresawarenessofthedemandforskilledstaffbytheprivatesectorTacklingthisalreadydifficulttaskisimpededbytheexistingpaucityofdataonhumanresourceswithinthevariousorganizationsresponsibleforplanningdesigningandimplementingWAShsystemsandservicesfurtherstudyisalsorequiredtounderstandtheimpactofaninsufficienthumanresourcebaseonthecapacityofcountriestoabsorbandusefunds

UN-WaterGlAASwillworkwithrelevantpartnerstodevelopasuitablemethodthatultimatelywillenablecountriestoassessthedemandforappropriatelyskilledpeopleAtthesametimegovernmentswillneedtoensurethattherightinstitutionalenvironmentandcareerdevelopmentincentivesareinplacefortheseopportunitiestobeseizedinorderbothtoincreaseWAShservicestotheunservedandtomaintainexistingservices

42

equity5

KeyMeSSAGeS

bullNearly80ofcountriesrecognizetherighttowaterandjustoveronehalftherighttosanitationProgressiverealizationoftheserightscanoccurascountriesrecognizetheirlegalobligationtosetoutandimplementpoliciesandprogrammesthatensureequalitypublicparticipationandaccountability

bullotherimportantaspectsofrealizingtherightstowaterandsanitationincludetargetingresourcestounservedpopulationsandensuringthattheseresourcesareutilizedeffectivelyandfairlywithoutdiscriminationhoweverjustoneinfivecountriesconsistentlyapplyequitycriteriainfundingallocationsforsanitationwhereasonethirdapplyequitycriteriatodrinking-waterinvestments

bullover60ofcountrieshavedefinedequitycriteriabutmostreportthattheyarenotsystematicallymonitored

bulloverhalf(57)ofcountriesindicatethatserviceprovidersreportperformancetotheircustomers

bullStrengtheningparticipatoryprocessesthroughwhichcommunitiesaremadeawareoftheirrightscanleadtogreaterownershipmoreinvolvementinoperationandmaintenanceandimprovedsustainabilityofsanitationandwaterservices

5 eQUiTy

inequitybetweenandwithincommunitiesinallocationofresourcesandthecorrespondingoutputsremainsaseriouschallengeforexamplelocalpoliticsmayinfluenceresourceallocationsinsuchawaythatcommunitieswithsufficientwaterandsanitationreceivemorefundingforwaterandsanitationthanthosewithoutequityandnon-discriminationcanbepromotedbytargetingresourcestothosefacingsignificantlimitationsinindependentlyaccessingWAShsuchaswomenpeoplewithdisabilitieschildrenorthechronicallyill

51 hUMANriGhTSToWATerANDSANiTATioN

GovernmentsthathaverecognizedtherightstowaterandsanitationthroughinternationaltreatiesandornationallegislationareobligedtoestablishastrategyorplanofactiontoensurethattherightsarerealizedGovernmentsneedtotaketheleadwiththesupportofallrelevantstakeholdersintakingconcretestepstoprogressivelyrealizeuniversalaccesstowaterandsanitationThisimpliesdevelopingandimplementingstrategiestoprioritizeprovisionofservicestothosewithoutaccessmdashoftenpoorvulnerableandmarginalizedgroups

reCoGNItIoNoFtHerIGHtStoWAterANDSANItAtIoNNearly80ofrespondentcountriesindicatethattherighttowaterisfullyrecognizedinpolicyorlegislation(figure51)andover50fullyrecognizetherighttosanitation(figure52)Whilecountrieshavecitedtherecognitionoftheserightsasamajoraccomplishmenttranslationofthesestatedrightsintoconcreteorexplicitequityandnon-discriminationprovisionsandpro-poorpoliciesandstrategiesappearstobeinitsearlystages

Nearly80ofrespondentcountriesindicatethattherighttowaterisfullyrecognizedinpolicyorlaw(Figure51)

FIGUre51istherighttowaterexplicitlyrecognizedinpolicyorlaw

Source 2011 GLAAS country survey (74 country respondents)

Istherighttowaterexplicitlyrecognizedinpolicyorlaw

over50ofrespondentcountriesindicatethattherighttosanitationisfullyrecognizedinpolicyorlaw(Figure52)

FIGUre52istherighttosanitationexplicitlyrecognizedinpolicyorlaw

Source 2011 GLAAS country survey (74 country respondents)

Istherighttosanitationexplicitlyrecognizedinpolicyorlaw

Internationalmilestones

in2002theUnitedNationscommitteeoneconomicSocialandculturalrightsaffirmedthatwaterwasahumanrightinitsGeneralcommentNo15whichstipulatesthattherighttowaterentitleseveryonetosufficientsafeacceptablephysicallyaccessibleandaffordablewaterforpersonalanddomesticuses(UNeconomicandSocialcouncil2002)in2010theUNGeneralAssembly(2010)andtheUNhumanrightscouncil(2010)adoptedresolutionsrecognizingsafeandcleandrinking-waterandsanitationasbasichumanrights

ldquoThehumanrighttosafedrinkingwaterandsanitationisderivedfromtherighttoanadequatestandardoflivingandinextricablyrelatedtotherighttothehighestattainablestandardofphysicalandmentalhealthaswellastherighttolifeandhumandignityrdquomdashUN Human Rights Council (2010)

44

CoMpLAINtMeCHANISMSANDLeGALreMeDIeSWhenacountryrecognizestherightstowaterandsanitationitisboundbythreetypesofobligationstorespecttoprotectandtofulfilthosehumanrightsfirststatesmustrefrainfrominterferingdirectlyorindirectlywiththeenjoymentoftherightstowaterandsanitationSecondstateshaveanobligationtopreventthirdpartiesfrominterferingwiththeenjoymentoftherightsAndthirdstateshavetoadoptthenecessarymeasuresdirectedtowardsthefullrealizationoftherightstowaterandsanitationinamajorityofcountrieswheretherightstowaterandsanitation

arerecognizedcitizencomplaintmechanisms1andthepossibilitytojudiciallyclaimtheserightsareinplaceforinstance70ofrespondentcountriesthatrecognizetherighttowaterhaveindicatedthatthisrightcanbeclaimedinadomesticcourtand75indicatethateffectivecomplaintmechanismsexistforthosewhohaveunsatisfactoryaccesscountriesindicatethatuseofthesemechanismsisstilllimitedhoweverlikelybecausetherightsapproachisrelativelyrecentandthereisaconsequentlackofawarenessamongthepopulationandcivilsociety

CaseexampleIndigenouscommunityinBotswanasuccessfullyclaimslegalrighttowater

litigationcanoftenleadtoredressforindividualvictimswhilealsobringinggreaterlegalcertaintytoclaimsontherightstowaterandsanitationThisisofparticularimportanceincaseswherewateraccessmaybetiedtolandownershipforinstanceinJanuary2011thefinaljudgementwasdeliveredonalawsuitbroughtbyrepresentativesofagroupoftheBasarwaindigenouscommunitylivinginthecentralKalahariGamereserveinBotswanaunderthecountryrsquosWaterActtoenforcetheirrighttowaterThecommunityfounditselfinthepositionoflawfullyresidinginthereservebutnotbeingallowedtomakeuseoftheexistingboreholefortheirwaterneedsThecommunitysufferedfromthelackofaccesstowaternothavingsufficientwaterforpersonalhygieneandotherpersonalanddomesticusesleadingtoseriousconsequencesfortheirhealthThecourtnotedthatthecorrectinterpretationoftheWaterActallowedanyoneoccupyinglandtodrillboreholesfordomesticusewithoutaspecificwaterrightAdditionallyinformedbyGeneralcommentNo15ofthecommitteeoneconomicSocialandculturalrights(UNeconomicandSocialcouncil2002)andthe2010resolutionsoftheUNGeneralAssembly(2010)andtheUNhumanrightscouncil(2010)ontherightstowaterandsanitationthecourtupheldtheBasarwasrsquoclaimthatdeprivationofwatercanamounttodegradingtreatmentunderthecountryrsquosconstitution

twenty-threecountriesindicatethattherighttowaterandorsanitationhasbeenclaimedinadomesticcourt(Figure53)

12

32 28

16

33

21

0 5

10 15 20 25 30 35

Yes and claims filed Yes but no claims filed No

Num

ber o

f cou

ntrie

s

Sanitation Drinking-water

FIGUre53canpeopleclaimtheirhumanrighttosanitationanddrinking-waterinadomesticcourt

Source 2011 GLAAS country survey (72 country respondents)

Informingcitizensoftheirrightsandmechanismstolodge

complaintsinKenya

A2010pilotstudyledbytheUNDPinKenyarsquosBondoDistrict(APSconsultantsundatedUNDP2010)helpedspreadawarenessoftherighttogainregularaccesstosafeaccessiblesufficientandaffordablewaterbutalsoabouttheirresponsibilitiesPeoplewereinformedoftheirrightsandofamechanismtolodgecomplaintsspecificallyconcerningwatercorruptionandvandalismoneofthemainlessonslearntwasthatcommunitieshavenotbeensituatedaskeystakeholdersintheplanningdesignandimplementationofWAShprojectsasaresulttheirparticipationintheseprocesseshasbeenverylimitedTheprojecthighlightedthatwhererightsholdershadbeenpartofthedecision-makingtheyhadastrongersenseofownershipandweremoreinvolvedinoperationandmaintenancetoensuresustainabilityofthewatersupply

ldquocivilsocietyisnotawareofthehumanrighttodrinking-waterrdquomdashDemocratic Republic of the Congo 2011 GLAAS country survey response

1complaintmechanismscanbeusedbycitizenstovoicetheirconcernsregardingthelackofservicethequalityofthewaterandbillingandtariffissuestoreportvandalismblockagesandspillsetcWhiletheexistenceofcomplaintmechanismsiscitedasstandardgoodutilitypracticeitisalsoacriticalaspectinaparticipatoryapproachsetforthinthehumanrightsframework

45

5 eQUiTy

proGreSStoWArDSreALIzAtIoNTocreateanenvironmentconducivetotherealizationoftherightstowaterandsanitationcountriesareexpectedtoembracebasicprinciplesof1)non-discriminationandequality2)meaningfulparticipationindecision-makingandempowermentand3)accountabilityandtransparencyThroughtheGlAASquestionnairecountryrespondentswereabletoreportonalimitednumberofelementslinkedtotherealizationoftherightstowaterandsanitation

figure54showsthepercentageofrespondentcountriesthathaveappliedkeynon-discriminationorequityprovisionsinnationalstrategyandfundingdecisionsincludingwhethertheseprovisionsincludemarginalizedorvulnerablepopulationsThechartalsoshowswheretherearedefinedproceduresforlocalparticipationandthetransparencyofbudgetingandutilityperformancereporting

pUBLICreportINGoNperForMANCeToimproveaccountabilityandincreasetransparencywaterutilitiesare

progressivelyrecognizingthevalueofmeasuringandpubliclyreportingontheperformanceofservicesmdashonarangeofoperationalfinancialandtariffindicatorsPublicrecordsofperformanceallowforbenchmarkingwhichcreatesincentivestocontinuouslyimproveservicesMoreovercomparisonofcurrentperformancewithhistoricalperformanceorwithnationalorinternationalstandardsisexpectedtotriggerinternalreformsintermsofpolicy-makingandmonitoringbetterresourceplanningbetteraccountingauditingandprocurementandbetterperformance

Implementationofelementsassociatedwithrealizingtherightstowaterandsanitationremain

0 20 40

Drinking-water regulator Specific plans for serving the urban poor

Utility reporting of performance Specific provisions to address women Monitoring and action on affordability Equity criteria for funding allocations

Specific provisions for slums and informal settlements Specific provisions for people with disabilities

Defined procedures to support citizen participation Transparency of budgets

More than 25 of budget allocated to poor communities Equity criteria and targets for unserved

limited(Figure54)

Drinking-water

Sanitation

60 80 100 of responding countries

FIGUre54Progressonequityparticipationandaccountabilityelements (ofcountrieswithelementsorprovisionsappliedorimplemented)

Source 2011 GLAAS country survey (64 country respondents)

overhalf(57)ofcountriesreportthatserviceprovidersreportperformancetotheircustomers(Figure55)

8

31 31

20 24

28

0 5

10 15 20 25 30 35

Yes required by policy or regulation

Yes but done voluntarily or not systematically

No

Num

ber o

f cou

ntrie

s

Sanitation Drinking-water

FIGUre55Doutilitiesreporttheirperformanceresultstotheircustomersintheirannualreportorinbills

Source 2011 GLAAS country survey (72 country respondents)

enforcingbuildingcodesinGhanatoincreaseaccesstosanitation

Themajorityoflow-incometenantsinGhanalackaccesstosanitationfacilitiesintheirhomesdespiterequirementsthathousesincludealatrinemdashbuildingcodesandby-lawshavebeeninexistencesince1948Developersoftenmodifyplanstoexcludetoiletsinordertomaximizethenumberofroomstheycanrentout

46

52 USeofeQUiTycriTeriAToAllocATereSoUrceS

consistentuseofcriteriatoallocateresourcestounservedanddisadvantagedpopulationsisakeytooltoimprovetheequitableallocationofresourcesBudgetallocationoftentendstofavoururbanareaswhichresultsininequitableoutcomesbetweenruralandurbanareas

Inclusivewaterandsanitation

ldquoPersonswithdisabilitiesincludethosewhohavelong-termphysicalmentalintellectualorsensoryimpairmentswhichininteractionwithvariousbarriersmayhindertheirfullandeffectiveparticipationinsocietyonanequalbasiswithothersrdquomdashConvention on the Rights of Persons with Disshyabilities (UN General Assembly 2006)

MostdisabledpeoplelivewithoutaccesstoinclusivewaterandsanitationfacilitieswhichcanexacerbateimpairmentsandpovertyStigmaanddiscriminationcanalsoresultinthedenialofaccesstosanitationanddrinking-watermakingthedisabledevenmorevulnerableinGlAASanumberofcountrieshavewaterandsanitationpoliciesthatrefertopeoplewithdisabilitieshoweverforthemostpartconsiderationofpeoplewithdisabilitiestendstobeincludedonlyintheprojectsofNGos

onefifthandonethirdofcountrieshaveconsistentlyappliedequitycriteriainfundingallocationsforsanitationanddrinking-waterrespectively(Figure56)

Sanitationuseofequitycriteria2011

Drinking-wateruseofequitycriteria2011

Arethereagreedcriteriausedtoallocatefundingequitablytocommunitiesandaretheybeingapplied

Yesandconsistentlyappliedforbothurbanandrural

Yesandconsistentlyappliedforurbanorrural

Yesforurbanandruralbutnotconsistentlyapplied

Yesforeitherurbanorruralbutnotconsistentlyapplied

Noforbothurbanandrural

Notasurveyparticipant

Datanotavailable

Notapplicable

Useofequitycriteria2011Sanitation Drinking-water35 30 29 2730

25

Num

ber o

f cou

ntrie

s

13

25

19

Yes and they are applied Yes but not applied No

WaterAidanditspartnersinMadagascarhavemadethedrinking-watersupplysanitationandhygienefacilitiesinstalledmoreaccessibleThe

20 15 10 5 0remodifieddesignshavemadethe

waterandsanitationfacilitieseasierto consistently consistently useandmoreaccessibleformanyinthecommunitiesincludingchildren trendfrom2009to2011(38countries)olderpeoplethosewhoareillandpregnantwomen

2009

2009

2011

2011

0 10 20 30 40 50 60 70 80 90 100

of countries using equity criteria in funding allocation

Source Randrianarisoa (2010) Drinking-water

Sanitation

FIGUre 56 have criteria been agreed to allocate funding equitably tocommunitiesandaretheybeingapplied

Source 2011 GLAAS country survey (74 country respondents)

47

5 eQUiTy

53PerioDicASSeSSMeNTofeQUiTyPolicieS

PeriodicassessmentsbycivilsocietyandgovernmentsofhowresourcesarebeingallocatedcanhelptoensurethatpoorpeoplegettheirfairshareofpublicspendingonservicesSuchassessmentshelptoincreasecitizensrsquoparticipationespeciallythatofexcludedsocialgroupsintheformulationandimplementationofsanitationanddrinking-waterpoliciesandcanoftendelivermoreeffectiveandequitableresultsWheretherearediscrepanciesbetweenpolicystatementsandactualdeliverycivilsocietyorganizationsplayakeyroleinscrutinizingbudgetsanddemandingmoreequitableresourceallocationforwatersupplymdashsometimesresultinginimprovementsinpublicspendingonservicesusedbypoorpeopleandensuringthatpublicspendingactuallyreachesandbenefitspoorpeoplecivilsocietyorganizationshavealsoplayedaroleinstrengtheningroutinemonitoringsystemsofWAShthroughmappingruralwatersupplyandusingthedatatochallengethisinequitableresourceallocationthuscontributingtostrengtheneddemocracyandimprovedaccountability

Womenrsquosparticipationisencouragedindecision-makingatthecommunitylevelandisoftenprescribedinnationalwaterandsanitationpolicyandimplementingstrategieshoweverwomenstillfaceobstaclestoparticipatingindecision-makingThekeychallengeistotranslatepolicyandaffirmativeactionintoaprocessinwhichwomenrsquosparticipation(aspublicservantsandserviceprovidersaswellasconsumers)ismeaningfulnotjustsymbolic

onthewholetheimpactofequitypoliciesforvulnerableandmarginalizedgroupstendsnottobemeasuredtoseeiftheyhaveinfactresultedingreateraccesscountriesconfirmthatthereisalackofbothquantitativeandqualitativeevidenceonequityandinclusionissuesinWASh

54 iMPlicATioNSforThefUTUre

ThissectionshowsthatwhilemostcountrieshaverecognizedtherightstowaterandtoalesserextentsanitationgreatereffortsarerequiredtoprogressivelyrealizetheserightsTheseincludeestablishingandmonitoringtheimpactofpoliciesthatpromoteequityandnon-discriminationpublicparticipationandaccountabilityaswellasimprovedtargetingofthepoorandthevulnerablewithincountriesThisimpliesencouragingmultistakeholderparticipationindecision-makingthroughconsultationwithusersandthroughregularWAShreviewsinvolvementoflocalcommunitieswilllikelynotonlyimproveequitableoutcomesbutduetoincreasedownershipoveroperationandmaintenancealsopromotesustainedbenefitsforthoseusingexistingWAShserviceshowtoscaleupinclusionandequityissueshowtodesignservicesthataresuitableforeveryoneandhowtoholdserviceproviderstoaccountforthisallremainoutstandingissuesthatneedfocusedattention

Commitmentstoimprovetargetingtothepoorandvulnerable

AttheSWAhighlevelMeetingin2010manycountriesmadecommitmentsrelatedtoimprovingtargetingofthepoorandvulnerableManyrelatedthistotheuseofdataandevidencetoidentifygroupsinneedAngolaethiopiaandTimorlestecommittedtousingaccessandcoveragedatatoensurethatallocationsoffundsreachedtheunservedallhavereportedprogressindoingthisAngolahassinceestablishedaninformationsystemforwaterandsanitationtoprovidereliabledataforplanningbudgetingandevaluatingimplementationTimorlesteintroducedawaterinformationsystemcalledSistemainformasaunBeetomonitoraccesstoimprovedwatersourcesthisisusedtotargetunservedpopulationsespeciallyinruralareaswheresignificantdisparitiesexistTheinformationisalsousedtotargetvulnerablehouseholdsinthedevelopmentofdistrictplansThesystemhasbeenexpandedtoincludeaccesstoimprovedsanitationfacilitiesSenegalcommittedtostrengtheningitsexistingpro-poorpolicylikewisedonorsmadecommitmentstolinkidentifiedgapswithaidallocationsandreportgoodprogressTheUnitedKingdomisusingcoveragedatatohelpdeterminethetypeofsupportthatthepoorestcountriesneedTheAfricanDevelopmentBankisrespondingtotheevidenceofgapsinAfricabyfocusingonruralareaswhilealsomaintainingsupportforperiurbanareassmallandmedium-sizedtownsandurbansanitation

opportunitiesexistformoreinvolvementofcivilsocietyinassessingtheapplicationofequitycriteria(Figure57)

12 16

41

15 23

33

0

10

20

30

40

50

Yes both government and civil society

Yes but only government

No

Num

ber o

f cou

ntrie

s

Sanitation Drinking-water

FIGUre57Dogovernmentandcivilsocietyorganizationsperiodicallyassessandanalysewhetherequitycriteriasetbygovernmenthavebeenapplied infunding

Source 2011 GLAAS country survey (74 country respondents)

48

quity5 eexternal66 support

KeyMeSSAGeS

bullDespitetheglobalfinancialcrisisthetotalamountofdevelopmentaidforsanitationanddrinking-waterincreasedby3from2008to2010toUS$78billionNon-concessionallendingforsanitationandwaterincreasedfromUS$25billionin2008toUS$44billionin2010

bullonly7ofsanitationanddrinking-wateraidisdirectedatthemaintenanceofsystemsandservices

bullDevelopmentaidforsanitationanddrinking-watertofragileandconflict-affectedstatesincreasedby50fromUS$560millionin2007toUS$840millionin2010andincreasedfromalowof5oftotalWAShaidin2004to11oftotalWAShaidin2010

bullonlyhalfofsanitationanddrinking-wateraidistargetedatregionswhere70oftheglobalunservedlivethesub-SaharanAfricaSouthernAsiaandSouth-easternAsiaMDGregions

bullAidforbasicsystemscomprised26ofaidforsanitationandwaterin2010anincreasefrom16in2008

bullopportunitiesexistforincreasingalignmentwithcountryprioritiesthroughsectorbudgetsupportwhichiscurrentlyusedforlessthan5ofWAShdisbursements

6 exTerNAlSUPPorT

DespitethedeepglobalfinancialcrisiseSAsremaincommittedtosupportingcountriesintheirquesttohelpgovernmentsachievetheMDGsThiscommitmenthasbeenthekeyargumentforring-fencingpartsoftheaidbudgetsingeneralandforsanitationanddrinking-waterinparticularThecommitmentisfurtherreflectedinagraduallyrisingaidbudgetgloballydrivenbythestrongpushfromtheeuropeanUnion(eU)anumberofbilateralagenciesandinternationalfinancinginstitutions

eSAshaveanequallystrongdesiretoensurethatthecommitmentsmadetranslateintoresultsthatcanbemeasuredThispushbyanumberofeSAstoenhancetheaccountabilityagendaemergesasmoreeSAsareinthespotlightfromtheirownelectoratesorconstituenciesTheaddedpressuretoattributesuccesstoanindividualeSArsquosprogrammeorprojectmayreduceuseofflexiblecountry-ledfundingmechanismssuchasgeneralbudgetsupportorsectorbudgetsupporteSAsincreasinglydemandthattherecipientcountriesreportinmoredetailhowaidhasbeenusedandhowtherecipientcountriesthemselvesreporttotheirownconstituenciesThisincreasedopennessisreflectedintheinternationalAidTransparencyinitiativewhichgrewoutofthehighlevelforaonAideffectivenessthatstartedinromein2002andsubsequentlytookplaceinParisin2005inAccrain2008andmostrecentlyinBusanin2011inBusanparticipantsrecognizedtheheavyburdenplacedondevelopingcountriesbytheincreaseinthenumberofdonorsthatprovideaidtorecipientcountriesupfromanaverageoftwodonorsperreceivingcountryin1960to28donorsin2006fiveguidingprinciplesemergedfromthesehighlevelforalocalownershipalignmentofdevelopmentprogrammesaroundacountryrsquosdevelopmentstrategyharmonizationofpracticestoreducetransactioncostsavoidanceoffragmentedeffortsandthecreationofresultsframeworks

Areliableandaccessibledatabaseofinformationisnecessarygiventheemphasisonincreasedaccountabilityandtransparencyandontheneedtodemonstrateresultscomparedwithothersectorshoweverinparticularhealthandeducationthe

sanitationanddrinking-watersectorslackbasicinformationsuchaswhatdifferentinterventionscosthowmuchgovernmentstheprivatesectorandhouseholdsinvestinsanitationanddrinking-waterandspendonmaintainingandimprovingthefacilitiestheyhavewhathumanresourcesareavailabletosanitationanddrinking-waterandwhathumanresourcegapsneedtobefilled

TheworldiscomingunderincreasedpressuresfromtheeffectsofpopulationgrowthincreasedwealthandconsumptionpatternsbringaddedpressuresonwaterresourcesandwaterusagebyhouseholdsWhileglobalizationbringspeopleclosertogetheritalsobringsconflictsfromremoteplacesclosertothedonorcountriescountriessufferingfromfragilityandconflictareincreasinglybecomingthefocusofattentionforexternalsupportrecognizingthatthesecountrieshavethepotentialtoundotheresultsofconcerteddevelopmenteffortsandreversemanyofthegainsofthelasttwodecadesinreducingglobalpoverty

61 TArGeTiNGofAiDSecTorS

AidcommitmentsfromdonorsreportingtotheoecD-crStotalledUS$164billionin2010(US$163billionatconstant2009prices)upfromUS$160billionin2008mdashanincreaseof25comparing2008and2010aidcommitmentsforwaterandsanitationincreasedfromUS$75billiontoUS$78billiona32increase

itisnotablethat2009appearstobeanexceptionalyearwhenaidcommitmentsforwaterandsanitationincreased17fromthepreviousyearlargelyduetoaone-yearincreaseofUS$11billioninaidcommitmentsfromJapan

Developmentaidcommitmentstosanitationanddrinking-waterwerelowerthanthoseformostsocialsectorsincludinghealthandeducationandlowerthanthoseforgovernmentandcivilsocietytransportandstorageenergyandagriculture

Aidcommitmentstowaterandsanitationremainedat47(US$78billion)oftotalreporteddevelopmentaidin2010(Figure61)

Government and civil society Transport and storage

Multisectoral cross-cutting Education

Energy Humanitarian aid

HIVAIDS reproductive health Agriculture forestry and fisheries

Health Water and sanitation

Administrative cost of donors General environmental protection

Other social infrastructure Actions relating to debt

General budget support Refugees

Banking and financial services Industry mining and construction

Business services Food aid

Trade policies regulations tourism Reconstruction relief and rehabilitation Disaster prevention and preparedness

Communications Unspecified

Other commodity assistance

0 2 4 6 8 10 12 14 16 18 20

Commitments 2010 (US$ billion)

FIGUre 61 Sanitationanddrinking-wateraidcommitments in relation toallotheroDAcommitments2010

Source OECD (2012)

50

BycomparisontheUS$133billioncommittedtoeducationrepresents80oftotaldevelopmentaidandtheUS$195billioncommittedforhealthpopulationreproductivehealthandhumanimmunodeficiencyvirusacquiredimmunodeficiencysyndrome(hivAiDS)represents119ofaidfromdonorsreportingtooecD(figure62)Thisrelativelyhighproportionofaidforhealthandeducationismirroredintheresponsestothe2011GlAASeSAsurveyinwhichboththesesectorswerefrequentlycitedasbeingatornearthetopoftheirprioritieswhereassanitationanddrinking-waterwerefrequentlycitedasbeinginthetoponethirdoftheirprioritiesThiscomparativeanalysisisnottosuggestthatdevelopmentaidshouldbeshiftedfromothersectorstowaterandsanitationhoweveritisintendedtoprovideinsightintothetrendsandprioritiesofeSAsoverall

62 exTerNAlfiNANciNGfloWS

externaldevelopmentassistancetosanitationanddrinking-waterisprovidedbycountriesmultilateralorganizationsNGosandprivatefoundationsAidisprovidedthrougharangeoffundingchannelsandforvariouspurposesincludinggeneralbudgetsupportandsectorbudgetsupportaswellastoprojectsdirectlyforinfrastructuredevelopmentplanningtrainingadvocacyeducationandmonitoringfinancialaidcanbeintheformofgrantsconcessionalloansorcreditsandmaycoverthemajorityofnational(governmentandexternalbutnotincludinghousehold)spendingonsanitationanddrinking-watermdashinsomecountriesnear90

Aidfordrinking-waterandsanitationhasrisenslowlyasapercentageoftotaldevelopmentaidsincethelowpointof2002butisstillsignificantlybelowaidforsocialsectorssuchashealthandeducation(Figure62)

13

12

11

10

9

8

7

6

5

4

3

2

1

0

Sanitation and water

Aid

com

mitm

ents

as

a

of t

otal

OD

A c

omm

itmen

ts Education Health population HIVAIDS US$ 195 billion

US$ 133 billion

US$ 78 billion

1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010

FIGUre62TrendsinaidforwaterandsanitationeducationandhealthpopulationhivAiDSasapercentageoftotaloDAcommitments1995ndash2010

Source OECD (2012)

51

6 exTerNAlSUPPorT

thetotalamountofdevelopmentaidforsanitationanddrinking-waterincreasedtooverUS$78billionin2010fromUS$75billionin2008Non-concessionallendingincreasedfromUS$25billionin2008toUS$44billionin2010(figure6364)

AIDCoMMItMeNtS amountedtomorethanUS$78billion figure63showsthegeographical(2008ndash2010AverAGe) (asreportedtooecD-crS)ofthis distributionofUS$78billioninannualin2010thegrantandloanaid amountUS$36billionwasintheform averagecommitmentsmadefrom2008commitmentsofbilateralandmultilateral ofgrantswhereasUS$42billionwas to2010(in2009constantUSdollars)eSAstosanitationanddrinking-water intheformofconcessionaloDAloans

FIGUre63commitmentspercapitamadetosanitationanddrinking-water2008ndash2010average

Source OECD (2012)

AIDDISBUrSeMeNtS(2010) multilateralagenciesTheirtotalexternal of10fromtheUS$56billionreportedDisbursementdataareavailable aiddisbursementsforsanitationand in2009foroecDDevelopmentAssistance drinking-wateramountedtoUS$62committeemembersandseveral billionin2010(figure64)anincrease

FIGUre64Disbursementspercapitamadetosanitationanddrinking-water2010

Source OECD (2012)

52

NoN-CoNCeSSIoNALLoANCoMMItMeNtS(2010)Non-concessionalloancommitments(ieldquootherofficialflowsrdquonotclassifiedasoDA)comprisedUS$44billionincommitmentsforwaterandsanitationin2010Thisrepresentsa78increaseinnon-concessionalloancommitmentssince2008ThisincreaseisreflectedinthedoublingofloandisbursementsforwaterandsanitationfromUS$16billiontoUS$34billionfrom2009to2010

rAtIooFDISBUrSeMeNtStoCoMMItMeNtSWaterandsanitationdevelopmentaidcommitmentsanddisbursementsamountedtoUS$78billionandUS$62billionrespectivelyin2010Thisrepresentsadisbursementtocommitmentratioof08forfundsin2010whichishigherthanthelong-termaverageof071lowcapacitytospendthefundscommittedbydonorswasreportedasanissuebycountriesinthe2011GlAAScountrysurvey

Thisdifferencebetweencommitmentsanddisbursementscanbeseenmoreclearlyfromfigure65wheretheratiosarecomparedovertwofive-yearperiods2006ndash2010fordisbursementsand2005ndash2009forcommitmentstheone-yeartimelagallowingforprojectprogrammeadministrationtobeputinplaceitcanbeseenthatbothhealthandeducationdisbursenearly100ofthecommitmentsmadewhereaswaterandsanitationdisbursementisnear70ofthecommitmentsmadeThisisprimarilyduetothefocusonhighercapitalexpenditureasaproportionofdisbursementsinwaterandsanitationprogrammescomparedwiththeemphasisonrecurrentexpenditureinhealthandeducationinfrastructuresectorssuchastransportandconstructionaresimilartowaterandsanitationintheirdisbursementtocommitmentratioswhereastheagricultureforestryandfisheriessectorissignificantlyhigheratover85

theratioofdevelopmentaiddisbursedversuscommittedisapproximately071forwaterandsanitationwhichislowcomparedwiththoseforhealthandeducationbutcomparablewiththoseforinfrastructuresectors(Figure65)

FIGUre65ratioofdisbursements (2006ndash2010) tocommitments (2005ndash2009)forsanitationandwater

Source OECD (2012)

Education

Health

HIVAIDS reproductive health

Government and civil society

Agriculture forestry and fisheries

Energy

Industry mining and construction

Transport and storage

Water and sanitation

00 02 04 06 08 10

Disbursement (2006ndash2010) to commitment (2005ndash2009) ratio

Donorcommitments

The2010SWAhighlevelMeetingwasaforumatwhichmanydonorsmadepublicstatementsrelatingtotheirplanstoincreasefundingcommitmentstowaterandsanitationTheAsianDevelopmentBankannouncedthatitexpectedfundingcommitmentstoincreasefrom85in2003ndash2007toabout17for2008ndash2010andtodoubleinvestmentintheWAShsectortoUS$10billionduring2006ndash2010BothofthesetargetshavesincebeenachievedTheAfricanDevelopmentBankstatedthatitplanstoincreaseannualfundingfromUS$460millionin2009tooverUS$1billionby2013Germanystatedthatbecauseitrecognizesthechallengesinsub-SaharanAfricaitplannedtodoubletheresourcesmadeavailablethroughtheGermanfederalMinistryforeconomiccooperationandDevelopmentbetween2008and2010andin2012itreportedthatthiscommitmenthasbeenmetThecommitmenttothewatersectorinAfricadoubledwithanincreasefromeuro149millionin2008uptoalmosteuro300millionin2010Theeuropeancommissionrepeateditscommitmentofeuro200millionwiththeobjectiveofhelpingtoachievetheMDGsandcontributetoimprovingwatergovernanceandtothesustainabledevelopmentofhydraulicinfrastructureJapanreiterateditsgrantandtechnicalassistanceofyen30billionforwaterandsanitationinAfricancountriesforfiveyearsbetween2008and2012SeveraldonorsmadestatementsrelatingspecificallytocatchinguponsanitationSwitzerlandannouncedthatapproximately45ofitsWAShexpenditure(3ofitstotaloDA)isspentonsanitationandtheNetherlandsandGermanystatedthat31and40respectivelyoftheirdevelopmentassistancebudgetsforWAShareallocatedtosanitation

53

6 exTerNAlSUPPorT

63 PrioriTiziNGcoUNTrieSANDreGioNS

eSAsuseanumberofcriteriatoselectcountriestowhichtoallocatedevelopmentaidtosanitationanddrinking-waterrecognizedneedsbasedonpovertylevelsandonsanitationanddrinking-wateraccessandusedatainfluencethedecisionsofalltheeSAswithoutexceptionasdoestheactualeSApresenceintheparticularcountryTheinfluenceofqualityofthegovernanceorreformeffortsorthenumberofdonorsworkinginaparticularsectorislesscertaineSAsareparticularlyinfluencedbywhetheracountryisafragileorconflict-affectedstate(withthesecountriesbeingapriorityformanydonors)converselythepresenceofahumanrightsframeworkforsanitationanddrinking-waterthusfarseemstohavelimitedinfluenceonthedecisionastowhethertosupportaparticularrecipient(figure66)

LoW-INCoMepopULAtIoNSTheworldrsquospoorarenolongerstrictlyconfinedtolow-incomecountriesWitheSAsprioritizingpoorpeopleknowinghowtoreachthemisimportantWhilethemajorityofpoorpeopleusedtoliveinlow-incomecountriesmdash20yearsago93oftheworldrsquospoorlivedinlow-incomecountriesmdashdevelopmentinanumberofthesecountrieshasmovedthemintothemiddle-incomecountrycategoryandthreequartersoftheworldrsquos13billionpoornowliveinmiddle-incomecountries(Sumner2010)AtthesametimerecentworkbytheWorldBankunderlinestheneedforstrongleadershipandconcertednationalandinternationaleffortsinfragileandconflict-affectedstateswheremanyofthepoorestpeopleliveandthesecountrieshavebecomeanincreasedfocusformanyeSAs(WorldBank2011)

FrAGILeANDCoNFLICt-AFFeCteDStAteSfragileandconflict-affectedcountriesarefurthestawayfromachievingtheMDGsmdashnolow-incomefragileorconflict-affectedcountryhasyettoachieveasingleMDG(WorldBank2011)ingeneral30ofoDAisspentinfragileandconflict-affectedcontexts(oecD2011a)butforwaterand

sanitationthefigurewasonly11in December2011anumberofcountries2010(upfromalowof5in2004) andinternationalorganizationsTherearemanycurrentinitiativesto endorsedanagreementonanewglobalincreaseattentiontothesecountries directionforengagementwithfragileforinstanceatthefourthhighlevel statesforumonAideffectivenessinBusanrepublicofKoreainNovember

Multiplefactorsinfluencedonoraidprioritization(Figure66)

Need (poverty)

Established in-country presence

Need (coverage)

Relevance and significance of contribution

Fragile or conflict-affected state

Strategic dialogue with country

Strong sector plans and budgets

Published targets for coverage or spending

Quality of governance or reform efforts

Limited donor presence

Human rights framework for WASH

0 20 40 60 80

of ESAs using criteria

FIGUre66PercentageofeSAsusingcriteria toselectpriorityrecipientcountriesregions

Source 2011 GLAAS ESA survey

Developmentaidforsanitationanddrinking-watertofragileandconflict-affectedstatesincreasedby50fromUS$560milliontoUS$840millionfrom2007to2010(Figure67)

FIGUre67Trends insanitationandwateraidcommitments for fragileorconflict-affectedstates2004ndash2010

Source OECD (2012)

0

200

400

600

800

1000

1200

2004 2005 2006 2007 2008 2009 2010

Aid

com

mitm

ent (

US

$ m

illio

ns c

onst

ant 2

009

$US

)

Fragile or conflicted-affected states

Represents 5 of water and sanitation aid in 2004

Represents11 of water and sanitation aid in 2010

54

reGIoNALtArGetINGSeventypercentoftheworldrsquospopulationwithoutsustainableaccesstobasicsanitationandsafedrinking-waterliveinthesub-SaharanAfricaSouthernAsiaorSouth-easternAsiaMDGregionsin2010sub-SaharanAfricareceivedthemostaidforsanitationanddrinking-waterofanyregioninabsolutetermsfollowedbytheSouthernAsiaandWesternAsiaregions

reLAtIoNSHIpBetWeeNAIDALLoCAtIoNSANDWAterANDSANItAtIoNCoverAGeTodeterminetherelationshipbetweendonoraidtargetingandcoveragerecipientaid(averagecommitmentsfrom2008ndash2010reportedtooecD)percapitaiscomparedwithaveragecoveragelevelforsanitationanddrinking-waterforeachaidrecipientcountryTwelvecountrieswithlessthan50averagecoveragewerefoundto

receivelessthanthemedianaidpercapitaamountofUS$280ifcountrycoveragelevelisanimportantfactorfordonorswhenselectingprioritycountriesitwouldbeexpectedthatmoreofthesecountrieswouldreceivehigheraidlevels

Half(50)ofsanitationanddrinking-wateraidistargetedtothesub-SaharanAfricaSouthernAsiaandSouth-easternAsiaMDGregionsthosepartsoftheworldwhere70oftheunservedlive(Figure68)

FIGUre68SanitationandwateraidcommitmentsbyMDGregion2010

Sources 2011 GLAAS ESA survey OECD (2012)

g7+countries

in2010agroupofsevenoftheworldrsquosmostfragilestatesformedtheg7+Thegrouphasgrownto19statesandnowincludescountriesacrossAsiaAfricaandthePacificrepresenting350millionpeoplegloballyParticipatingcountriesintheg7+areAfghanistanBurundithecentralAfricanrepublicchadcocirctedrsquoivoiretheDemocraticrepublicofthecongoethiopiaGuineaGuinea-BissauhaitiliberiaNepalPapuaNewGuineaSierraleoneSolomonislandsSomaliaSouthSudanTimor-lesteandTogoTheg7+meetsregularlywithintheframeworkoftheinternationalDialogueonPeacebuildingandStatebuildinghighontheagendaofreformsbeingpromotedbytheg7+arestrengtheningdemocraticprocessesimprovementsinsecurityandbetterresourceandrevenuemanagement(verhoevenampfonseca2012)

Manycountrieswithlowcoveragelevelsreceivelowlevelsofwaterandsanitationaidpercapita(Figure69)

55

$001

$010

$100

$1000

$10000

0 10 20 30 40 50 60 70 80 90 100

Least developed countries Other low-income countries Lower middle income countries Upper middle income countries

Niger DRC

Somalia

Madagascar

Chad

Ethiopia

Guinea

Nigeria

Togo

Congo

Afghanistan

Guinea-Bissau

Median aid per capita = US$ 280

Average coverage (sanitation and drinking-water) percentage 2010

Don

or a

id c

omm

itmen

ts p

er c

apita

200

8ndash20

10 a

vera

ge

FIGUre69Donoraid(averageannualcommitment2008ndash2010constant2009$US)percapitaversusaveragecoverageincountries

DrcDemocraticrepublicofthecongo

Sources OECD (2012) UNICEFWHO (2012)

ForewordWiththe2015targetdatefortheMillenniumDevelopmentGoals(MDG)clearlyonthehorizonthis2012editionoftheUN-WaterGlobalAnalysisandAssessmentofSanitationandDrinking-Water(GlAAS)contributesimportantlytotheimplementationoftheUN-Waterstrategyofdeliveringstrongmessagesonwaterthathelpshapethepost-2015sustainabledevelopmentlandscapeitspublicationistimelyinthelead-uptothenextkeyeventinthisprocesstherio+20UnitedNationsconferenceonSustainableDevelopment

UN-WatertheUnitedNationsinter-agencycoordinationmechanismforallfreshwaterndashrelatedissueshasdrinking-waterandsanitationamongitsfocusareasWhileprogresstowardstheMillenniumDevelopmentGoal(MDG)target7cisregularlymonitoredbytheWhoUNicefJointMonitoringProgrammeforWaterSupplyandSanitation(JMP)theUN-WaterGlAASbuildsontheseresultsandanalysestheunderlyingreasonsforsuccessmdashorlackofit

initsrelativelyshortlifeUN-WaterGlAAShasearneditsplaceinthewatermonitoringandreportinglandscapeandisincreasinglyusedasthebasisformoreinformeddecision-makingThiscamefromtherecognitionthatthescarcityofinformationonnationalsanitationanddrinking-waterndashrelatedpoliciesfinancingandhumanresourceswasamajorbarriertoprogressitalsoresultsfromthedearthofexactknowledgeconcerningthestatusofandtrendsindevelopmentassistance

inearlyMarch2012theJMPannouncedthatsignificantprogressonimprovedaccesstodrinking-waterhadbeenachievedThisencouragingnewscomeshoweverwithamessageofcautionmanyarestillunserveddisparitiesaregreatandthemonitoringofkeyattributessuchaswaterqualityremainschallengingMoreovertheestimated780

millionpeoplestillunservedareincreasinglyhardtoreachandtheMDGtargetforsanitationisnotontracktherearecurrently25billionpeoplewithnoaccesstoimprovedsanitation

This2012UN-WaterGlAASprovidesfurtherreasonforvigilancemdashresourcesareneithertargetednorapparentlysufficienttosustainroutineoperationandmaintenancerequirementsThusthereisaseriousriskofslippingbackwardsongainsalreadymadeTheanalysisemergingfromUN-WaterGlAASalsohelpstoidentifythereasonsbehindthedisparitiesinaccesstosanitationanddrinking-wateramongdifferentregionscommunitiesandincomegroupsthathavebeenidentifiedbytheJMP

BasedontheevidenceemergingfromUN-WaterGlAASthereareanumberofachievableimmediatestepsthatcountriesexternalsupportagenciesandotherstakeholderscanundertaketocontinueextendingsanitationanddrinking-waterprovisioningwhilesustainingservicesalreadyinplaceTheseimmediatestepsarehighlightedinthisreporttogetherwithanumberofareasthatwarrantin-depthstudiesachallengethatUN-WaterGlAASisreadytotakeup

MichelJarraudchairUN-Water

IV

AcknowledgementsUN-WaterandWhogratefullyacknowledgethefinancial ThepreparationofthisreportinvolvedcontributionsfromsupportprovidedbytheDepartmentforinternational hundredsofindividualsrepresentingallregionsoftheworldDevelopmentUnitedKingdomtheSwissAgencyfor UN-WaterandWhowouldliketoextendtheirgratitudetoallDevelopmentandcooperationtheDirectorate-General thoseindividualsandorganizationsthatcontributedtotheforinternationalcooperationtheNetherlandsandthe developmentofthisreportmdashespeciallythoseindividualswhoGovernmentofKuwait submittedinformationfromcountriesandexternalsupport

agenciesAfulllistingofindividualswhocontributedtothisreportandtheiraffiliationsisgiveninAnnexG

Acronymsandabbreviations3Ts tariffstaxesandtransfersADB AsianDevelopmentBankADf AsianDevelopmentfundAsianDevelopmentBankAfD AgencefranccedilaisedeDeacuteveloppementAfDB AfricanDevelopmentBankAfDf AfricanDevelopmentfundAfricanDevelopmentBankAfeSD ArabfundforeconomicandSocialDevelopmentAMcoW AfricanMinistersrsquocouncilonWatercSo countryStatusoverview(WorldBankWaterandSanitationProgram)eBrD europeanBankforreconstructionandDevelopmenteSA externalsupportagencyeU europeanUnionGDP grossdomesticproductGlAAS GlobalAnalysisandAssessmentofSanitationandDrinking-water(formerlyGlobalAnnualAssessmentof

SanitationandDrinking-water)GoAlWaSh GovernanceAdvocacyandleadershipforWaterSanitationandhygiene(UnitedNationsDevelopmentProgramme)hivAiDS humanimmunodeficiencyvirusacquiredimmunodeficiencysyndromehr humanresourcesiDA internationalDevelopmentAssociationWorldBankiDB inter-AmericanDevelopmentBankifrc internationalfederationofredcrossandredcrescentSocietiesiSic internationalStandardindustrialclassificationJMP WhoUNicefJointMonitoringProgrammeforWaterSupplyandSanitationlDc leastdevelopedcountryMDG MillenniumDevelopmentGoalNDP nationaldevelopmentplanNGo nongovernmentalorganizationoampM operationandmaintenanceoDA officialdevelopmentassistanceoecD organisationforeconomicco-operationandDevelopmentoecD-crS oecDcreditorreportingSystemofiD oPecfundforinternationalDevelopmentoPec organizationofPetroleumexportingcountriesPrSP povertyreductionstrategypaperSeeA-Water SystemofenvironmentaleconomicAccountingforWaterSWA SanitationandWaterforAllTicADiv fourthTokyointernationalconferenceonAfricanDevelopmentUN UnitedNationsUNDP UnitedNationsDevelopmentProgrammeUNicef UnitedNationschildrenrsquosfundUSA UnitedStatesofAmericaWASh watersanitationandhygieneWho WorldhealthorganizationWSP-Africa WaterandSanitationProgramWorldBankWSP watersafetyplan

V

31 Sourcesoffundingandhowmuchisbeingspent2632 Allocationoffundingwhatismoneybeingspenton2833 Useofcommittedfunds 3035 WAShinvestmentprogrammesdocountriesknowhowmuchtheywillneedtospendinfuture3436 Adequacyoffinance3538 implicationsforthefuture 36

4 humanresources37

41 Adequacyofhumanresourcedata3842 Sufficiencyofstaffing3943 Staffincentivesandcontinuingeducation4044 Gender4045 Barriersimpedingdevelopmentofhumanresources4046 humanresourceplanning4147 implicationsforthefuture 42

5 equity43

51 humanrightstowaterandsanitation4453 Periodicassessmentofequitypolicies 4854 implicationsforthefuture 48

tableofcontentsforewordiv

Acknowledgementsv

Acronymsandabbreviationsv

executivesummary3

context6

1 Politicalwillandaccountability9

2 Policiesplanningandcoordination13

21 Policyadoption1422 Planningandcoordination1723 reviewsmonitoringandreporting1924 Decentralization2125 localstakeholderparticipation2226 implicationsforthefuture 23

3 financing25

1

6 externalsupport49

61 Targetingofaidsectors 5062 externalfinancingflows5163 Prioritizingcountriesandregions5464 Aidallocationbreakdowns5665 Alignmentandcoordination5966 futuretargets6167 fundingchannels6168 implicationsforthefuture 62

7 Specialfocusonwatersanitationandhygieneinschoolsandhealth-carefacilities63

71 Sanitationandhygieneinschools6472 Watersanitationandhygieneinhealth-carefacilities6673 implicationsforthefuture 67

references68

AnnexAMethodology71

AnnexBTrackingnationalfinancialflowstoWASh74

AnnexcGlossary82

AnnexDSummaryofresponsesto2011GlAAScountrysurvey85

AnnexeSummaryofresponsesto2011GlAASexternalsupportagencysurvey95

AnnexfSupplementaryinformationondonorcountrycoordination97

AnnexGlistofcontributors99

2

executivesummarytheobjectiveoftheUN-WaterGlobalAnalysisandAssessmentofSanitationandDrinking-Water(GLAAS)istomonitortheinputsrequiredtoextendandsustainwatersanitationandhygiene(WASH)systemsandservicesThisincludesthecomponentsoftheldquoenablingenvironmentrdquodocumentinggovernmentpolicyandinstitutionalframeworksthevolumesourcesandtargetingofinvestmentthesufficiencyofhumanresourcesprioritiesandgapswithrespecttoexternalassistanceandtheinfluenceofthesefactorsonperformanceAmorechallengingsecondarygoalistoanalysethefactorsassociatedwithprogressorlackthereofinordertoidentifydriversandbottleneckstoidentifyknowledgegapstoassessstrengthsandweaknessestoidentifychallengesprioritiesandsuccessesandtofacilitatebenchmarkingacrosscountries

Thissecond1UN-WaterGlAASreportpresentsdatareceivedfrom74developingcountriescoveringalltheMillenniumDevelopmentGoal(MDG)regionsandfrom24externalsupportagencies(eSAs)representingapproximately90ofofficialdevelopmentassistance(oDA)forsanitationanddrinking-water

TherehavebeenremarkablegainsinWAShThe2012progressreportoftheWorldhealthorganization(Who)UnitedNationschildrenrsquosfund(UNicef)JointMonitoringProgrammeforWaterSupplyandSanitation(JMP)announcedthattheMDGtargetfordrinking-waterwasmetin2010theproportionofpeoplewithoutaccesstoimproveddrinking-watersourceshadbeenmorethanhalved(from24to11)since1990howevertheprogressreportalsonotedthatthebenefitsareveryunevenlydistributed

MajorgainshavebeenmadewiththeMDGdrinking-watertargetbeingmetin2010mdashbutchallengesremaintoreducedisparitiesandtoincreasesanitationcoverage

forexampleonlylimitedprogressisevidentintheincreaseofaccesstodrinking-wateramongthepoorestinsub-SaharanAfricaortosanitationamongthepoorestinSouthAsiaMorethanthreequartersofthosewholackaccesstosafedrinking-waterandbasicsanitationliveinruralareas

Thefactthatbetween1990and2010over2billionpeoplegainedaccesstoimprovedwatersourcesand18billionpeoplegainedaccesstoimprovedsanitationfacilitiesdemonstrateswhatcountriescanachievewithsustainedcommitmentadequateresourcesandeffectiveimplementationapproachesTheseresultsalsopointtotheachievementsmadebydevelopmentpartnersthathaveprovidedexternalsupportring-fencingofbilateralsupportforwaterandsanitationatcurrenttimesoffinancialcrisisstemsdirectlyfromthehigh-levelcommitmentsmadein

ThefirstGlAASreportwaspublishedin2010afteraldquoproofofconceptrdquowaspilotedin2008

theMillenniumDeclarationPoliticalwillandcommitmenttoactionevidence-basedplanningandpolicy-makingandsufficienthumanandfinancialresourcesarehoweverkeytosustainedsuccess

Asthisreportshowsinmanycountriespoliciesandprogrammeshavefartoolittleemphasisonensuringadequatefinancialandhumanresourcestobothsustaintheexistinginfrastructureandexpandaccesstosanitationdrinking-waterandhygieneservicesThedangerofslippageagainsttheMDGtargetisarealone

Focusingoneffectivelymanagingassetstosustainservicescanbeasimportantasfocusingonnewinfrastructure

The2012GlAASreportdrawsonthelatestinformationincludingdatafromtheorganisationforeconomicco-operationandDevelopment(oecD)creditorreportingSystem(crS)anddatagatheredthroughtwosetsofquestionnairesoneforlow-andmiddle-incomecountriesandoneforeSAsThesequestionnaireshaveallowedcountriesanddonorstoscoretheirprogressandWAShinputsaccordingtoobjectivecriteriaWhiletheresponsesarebasedonconsensusfrommultiplestakeholdersandaresubjecttovalidationitisacknowledgedthattheaccuracyofresponseswillshowvariabilityThustosomeextenttheresponsesshouldbeinterpretedasaself-assessmentofcountryanddonorprioritiesandthedatashouldbeusedwithcautionwhenmakingcomparisonsbetweencountriesandbetweendonorsTheGlAASmethodologyispresentedinAnnexA

Lackofrobustdataparticularlyonfinancialflowsisamajorconstrainttoprogress

Thereport

bull warnsofasignificantriskofslippageonthegainsmadeinextendingWAShservicesunlessmoreattentionisgiventomaintainingthoseservicesandassets

bull acknowledgesthatdespitetheseverefinancialcrisisfacedbymanyhigh-incomecountriesaidforsanitationanddrinking-watercontinuestorisewhiletargetingtobasicMDG-typeservicesisimproving

bull showsthatsomecountriesarereportinggoodprogresstowardsnationalWAShtargetsbuthighlightsthatforthemajorityofcountrieshumanandfinancialresourceconstraintsespeciallyforsanitationaresignificantlyimpedingprogress

ThefocusonenhancingaccountabilityisincreasinglystrongandisakeycomponentoftheSanitationandWaterforAll(SWA)partnershiptowhichmanyGlAASrespondentsbelongAccountabilityisbeingfurtherenhancedbytheincreasedattentionpaidtothehumanrighttoWaterandSanitationsincetherecognitionofthisrightbytheUnitedNations(UN)

3 1

Sections1and2ofthereportdescribethegrowingpoliticalwillforWAShimplementationamongreportingcountriesandtheincreasingeffortsofcountriestobeaccountableandtoplanandcoordinateeffectivelyKeyfindingsincludethefollowing

bull countriesreportrecentandsubstantivepoliticalcommitmentstoWAShincreasingfundingallocationsandincreasingleadershipandcoordinationamongimplementingagencies

bull ThemajorityofcountrieshaveestablishedtransparentWAShserviceprovisiontargetsandhaveputinplacesupportingpoliciesManycountriesaremonitoringagainstthesetargetsAccountabilitycanbeimprovedasmostcountriesdonotincludeconsumersinplanningandonlyhalfhaveestablishedregularreviewprocesses

bull DespiteimpressiveglobalgainsmostcountriesarefallingshortonmeetingtheirownnationalWAShcommitmentswith83and70ofcountriesreportedlyfallingsignificantlybehindthetrendsrequiredtomeettheirdefinednationalaccesstargetsforsanitationanddrinking-waterrespectively

bull Althoughtheimportantcontributionthathygienemakestohealthisclearlyrecognizednationaltargetshavegenerallynotbeenestablishedforhygienepromotionprogrammes

Section3presentsdataonfinancialflowsWhilethelimiteddatasubmittedprecludemakingdefinitivestatementsaboutglobalfinancialallocationscountriesreportinsufficientfinancingforWAShoverallwithparticularlyseriousshortfallsforsanitationKeyfindingsincludethefollowing

bull ManyofthegovernmentsreportinginadequatefundingallocationsforWAShalsopointtoapoorabsorptioncapacitymdashthatisdifficultiesinspendingthelimitedfundsthatarereceived

bull Drinking-watercontinuestoabsorbthemajorityofWAShfundingevenincountrieswitharelativelyhighdrinking-watersupplycoverageandarelativelylowsanitationcoverage

bull insufficientfundingforoperationandmaintenanceunderminesthesustainabilityofservicesinamajorway

Thisreportpresentschartsanddescriptivetabularsummariesfornumerousdrinking-waterandsanitationindicatorsandbenchmarksfinancialdatapresentedinthetablesorchartsareinamajorityofcasesfor2010forsomekeyindicatorsadashboardofmapsandfiguresisprovidedtopresentageographicalsummaryglobalsummarystatisticsandtrendschartsandtabularsummariesalsogenerallyindicatethenumberofresponsesthatwereconsideredintheanalysisorparticularquestionThisnumberdoesnotnecessarilyequalthetotalnumberofrespondentstothesurveyasnoteverycountryoreSAansweredallpartsofthequestionnairesandinmanycasesthedatawerecollectedfromanalreadyexistingsource(egtheoecD-crS)

bull fundsaredisproportionatelytargetedforextendingservicesinurbanareasevenincountrieswhereurbanareasarerelativelywellservedandruralareasareoff-track

bull Althoughdataonhouseholdfundingcontributionsarelimitedwhatinformationthereissuggeststhatthesearesignificantandcanmakeamajorcontributiontosustainingservices

bull TostrengthenthecollectionofWAShfinancialinformationaharmonizedmethodofdatamonitoringisneeded(onesuchmethodisproposedinAnnexA)

Section4examinestheadequacyofthehumanresourcebasetoimplementWAShinterventionsandhighlightsthegapsindataKeyfindingsincludethefollowing

bull onehalfofcountriesdidnotreportonhowmanyWAShstaffwereinplaceindicatingasignificantlackofinformationonhumanresources

bull Thereisinsufficientstaffinplacetooperateandmaintainsanitationanddrinking-waterinfrastructure

bull halfthecountriessurveyedreportedthatwomenmakeuplessthanatenthofprofessionalWAShstaff

bull lackofsupply-sidetechniciansandskilledlabourstandsoutasakeybarriertothesustainabilityofservices

Section5confirmsthattherighttowaterandsanitationisbeginningtobeacceptedbygovernmentsanddescribesthesuccessesandconstraintstoextendingWAShcoverageinanequitablewayKeyfindingsincludethefollowing

bull Nearly80ofcountriesrecognizetherighttowaterandover50therighttosanitation

bull Mostcountrieshavenotestablishedequitycriteriafortheallocationoffinancingforwaterandsanitation

Section6describespriority-settingtargetingofdevelopmentaidandthecoordinationandalignmentofeSAassistancewithcountryprogrammesKeyfindingsincludethefollowing

bull Despitetheeconomiccrisisaidforsanitationanddrinking-watercontinuestoriseThetotalamountofdevelopmentaidforsanitationandwaterincreasedby3from2008to2010toUS$78billionNon-concessionallendingforsanitationandwaterincreasedfromUS$25billionin2008toUS$44billionin2010

bull Aidforbasicsystemscomprised26ofaidforsanitationanddrinking-waterin2010anincreasefrom16in2008

bull only7ofaidisdirectedatmaintainingservices

bull Developmentaidforsanitationandwatertofragileandconflict-affectedstatesincreasedby50between2007and2010fromUS$560milliontoUS$840million

4

bull onlyhalfofdevelopmentaidforsanitationanddrinking-wateristargetedtotheMDGregionssub-SaharanAfricaSouthernAsiaandSouth-easternAsiawhere70oftheglobalunservedlive

bull SectorbudgetsupportfromdonorsforWAShislessthan5oftotalWAShaidopportunitiesexistforincreasingalignmentwithcountryprioritiesandstrengtheningnationalWAShsystemsthroughincreasingsectorbudgetsupportwherevertransparencyandaccountabilitymechanismsareinplace

Section7focusesonsanitationhygieneanddrinking-waterinschoolsandhealth-carefacilitiesreportingonaccesstoWAShservicesinthesepublicinstitutionsKeyfindingsincludethefollowing

bull halfthecountriesdidnotreportonaccesstoadequatesanitationinschoolsorhealth-carefacilitiessuggestingalackofmonitoringsystemsandcapacity

bull onaverage34ofprimaryschoolsand25ofruralhealth-carecentreslackimprovedsanitationfacilities

inresponsetothefindingthatthereisaseriouslackofrobustdataonin-countryfinancialflowstosanitationanddrinking-waterthisreportaddressesthesubjectingreaterdepthinAnnexBTheannexdescribestheworkthathasbeendonesofarondevelopingamethodologyfortrackingnationalfinancialflowsotherannexescontainthesurveymethodology(AnnexA)aglossary(Annexc)andcountryandeSAdata(AnnexesDanderespectively)aswellassupplementaryinformationondonorcountrycoordination(Annexf)

Basedontheevidenceemergingfromthisreportanumberofissuesstandoutasrequiringurgentattentionandactionby

bull NationalgovernmentsandcountryWAShstakeholdersto

continuetoimprovethestrengthandclarityofleadershipforWASh

strengthenthedevelopmentofrobustnationalplansforWAShserviceprovision

strengthensystem-widesupportofthedeliveryofWAShandlinkWAShservicestocoregovernmentsystemsforplanningandresourceallocation

focusonbuildinginstitutionalandhumanresourcecapacityforbothincreasingWAShservicestotheunservedandmaintainingexistingservicesbydirectingmoreresourcestooperationsandmaintenance

consideradoptingahuman-rightsbasedapproachtofocusattentiononthevulnerableandtoensurethattheyarenotexcludedfromthebenefitsofWAShservices

improvetargetingofinvestmentstothepoorandvulnerable

developandstrengthenmonitoringandestablishnationalWAShManagementinformationSystems

createandtrackspecificbudgetsforsanitationandwater

encouragemultistakeholderparticipationindecision-makingaroundWAShthroughconsultationwithusersandthroughregularreviews

bull externalsupportagenciesto

improvetargetingofaidtothepoorandvulnerableincludingtargetingoff-trackcountries

considerincreasingsectorbudgetsupportwherethisisexpectedtoleadtostrongersystemstodeliverservicesandincreasecoverage

considerdirectingmoreexternalfundingtosupportoperationandmaintenanceofexistingWAShservices

bull Allstakeholdersto

intensifyharmonizationandcollaborationamongnationallineagenciesdonorsandNGos

5

Contextitisclearthattherehavebeenremarkablegainsparticularlybysomecountriesinimprovingaccesstosanitationanddrinking-waterThe2012JMPprogressreport(UNicefWho2012)estimatesthat63oftheworldrsquospopulationhasaccesstoimprovedsanitation(figure1)and89oftheglobalpopulationnowusesimproveddrinking-watersources(figure2)

Sanitationanddrinking-waterareuniversallyacceptedasbeingessentialforhumanlifedignityandhumandevelopmenthoweversanitationanddrinking-waterissueshavenotinthepastreceivedthehigh-levelpoliticalattentionthattheydeserveAnumberofdonorsinternationalnongovernmentalorganizations(NGos)andUNagenciesinrecognitionofthiscametogethertoraisethepoliticalprofileofsanitationanddrinking-waterfollowingtheleadoftheUNhumanDevelopmentreport(UNDP2006)inhighlightingsomeoftheprincipalshortcomingswithintheinternationalarchitectureTheseincludethelackofasingleinternationalbodytospeakonbehalfofsanitationanddrinking-water

FIGUre1Percentageofpopulationusingimprovedsanitationfacilities(2010)

Source UNICEFWHO (2012)

FIGUre2Percentageofpopulationobtainingdrinking-waterfromanimprovedsource(2010)

Source UNICEFWHO (2012)

SanitationandWaterforAll

UsingtheevidencebaseestablishedbyUN-WaterGlAAStheSWApartnershipaimstoaddresscriticalbarrierstoachievinguniversalandsustainablesanitationanddrinking-waterThesebarriersincludeinsufficientpoliticalprioritizationweaksectorcapacitytodevelopandimplementeffectiveplansandstrategiesanduncoordinatedandinadequateinvestmentsintheseplansandstrategiesSWAaimstoprovideacommonvisionandasetofvaluesandprinciplesforatransparentaccountableandresults-orientedframeworkforactiontoaddresstheobstaclestoglobalprogress

eighty-onemembersmakeuptheSWApartnershipwhichisbasedonmutualtrustsupportandcommitmenttoprinciplesofaideffectivenessincludingnationalownershipofplansdonorharmonizationandmutualaccountability

TheSWAhighlevelMeetingheldeverytwoyearsbringstogetherministersoffinancefromdevelopingcountriesministersofdevelopmentcooperationfromdonorcountriesandhigh-levelrepresentativesfromdevelopmentbanksandotherdonorinstitutionstoaddressthelackofprioritygiventosanitationandwaterasadevelopmentinterventionthepoortargetingofaidinthesectorandtheneedforrobustplanningandinstitutionsThefirstSWAhighlevelMeetingheldinApril2010influencedsectorprogressandcatalysedactionatthecountrylevelinparticularparticipantsreportedthatthe2010highlevelMeetingstrengthenedrelationsbetweenWAShsectorministriesandfinanceministriestriggeredstrongersectorcoordinationinmanycountriescreatedacrucialcontextforadvocacyonsanitationencouragedpoliticalandfinancialdecision-makerstouseevidenceforbetterdecision-makingandraisedawarenessaboutsanitationwithinsectorandfinanceministries

ThecommitmentsmadeatthefirsthighlevelMeetingfocusedonSWArsquosthreekeypriorityareasmdashincreasedpoliticalprioritizationimprovedevidence-baseddecision-makingandstrengthenednationalplanningprocessesParticipantstabledover200specificcommitmentsandagreedtoreportonthemregularly

TheGlAASreportistheprimarymechanismforreportingontheprogressofcountriesinachievingthesecommitmentsandonsuccesseswithintheWAShsectorinovercomingobstaclestoprogress

6

TheresultistheSWAinitiativewithitscomponentofbiennialhighlevelMeetingsoftopdecision-makerssupportedbyGlAASastheglobalmonitoringreportthathighlightstheevidencedriversandblockagesaffectingprogressinincreasingsanitationanddrinking-watercoverageTheSWAinitiativealsoendeavourstolinkwithandstrengthenexistingnationalprocesses

AnsweringthequestionldquoWhatworkstoeffectivelyextendandsustainWAShserviceprovisionrdquoisbecomingevermoredifficultwiththerapidlychangingfinancialpoliticalandphysicalenvironmentTheregionalandglobalfinancialcriseshavecontributedtocreatingunpredictableandtightergovernmentanddonorbudgetsManycountrieshaveexperiencedoveralldevelopmentbutattheexpenseofgrowinginequitybetweentherichandthepoorThecontinuedtrendofpopulationgrowthandrapidurbanizationfurtherstrainsadeterioratingwaterandsanitationinfrastructureThecrisisofgrowing

waterscarcitycoupledwiththeothershort-andlong-termrisksposedbyclimatechangeisapotentialthreattohealthsecurityandequitableserviceprovision

ThecaseforevengreatereffortsisundeniableeveniftherateofprogresscitedintheJMPreport(UNicefWho2012)weretocontinueuntiltheendoftheMDGperioduniversalwaterandsanitationcoveragewouldstillbefaroffmdashin2015605millionpeoplewouldremainwithoutaccesstoanimproveddrinking-watersourceand24billionpeoplewouldbewithoutaccesstoimprovedsanitationfacilitiesGiventhisscenariobillionswillremainatriskofWASh-relateddiseasessuchasdiarrhoeawhichin2011killed2millionpeopleandcaused4billionepisodesofillness(figure3)

WithoutrapidprogressinWAShthegrowthofnationaleconomieswillcontinuetobeimpededevidencesuggeststhatlackofaccesstosafedrinking-waterandadequatesanitation

costscountriesbetween1and7oftheirannualgrossdomesticproduct(GDP)(WSP-Africa2012)

crucialasdiseasepreventionandeconomicgrowtharethebenefitsofinvestinginWAShgobeyondhealthandbeyondeconomicdevelopmentTheytouchonarangeofcriticalissuesthatcannoteasilybemeasuredTheseincludecontributingtoeveryindividualrsquospersonaldignityandcomfortsocialacceptancesecurityforwomenschoolattendanceespeciallyforgirlsandproductivityatschoolandwork

With2015fastapproachingpreparationsarealreadyinplacetofocusonuniversalaccesstowaterandsanitationinthepost-MDGperiodconsideringthevastresourcesthatthiscontinuingeffortwillrequireitisvitalthatwehaveanimprovedunderstandingofwhatisbeingdonebywhomitisbeingdoneandthecriticalinputsassociatedwithsuccessinordertobettertargetandmoreefficientlyusescarceresources

FIGUre3PercentageofdeathsattributabletoWASh-relateddiseaseorinjury

Source Pruumlss-Uumlstuumln et al (2008)

7

politicalwilland1 accountability

KeyMeSSAGeS

bullAllcountrieshavemadesomeformofpoliticalorfinancialcommitmenttosanitationanddrinking-watersince2010withthevastmajorityhavingestablishedtransparentWAShserviceprovisiontargets

bullDespiteimpressiveglobalgainsmostcountriesarefallingshortonmeetingtheirownnationalWAShcommitmentswith83and70ofcountriesreportedlyfallingsignificantlybehindthetrendsrequiredtomeettheirdefinednationalaccesstargetsforsanitationanddrinking-waterrespectively

bullinvestmentsinsanitationanddrinking-waterareincreasinglybeingscrutinizedwhiletransparencyisimprovingaccountabilityforresultsachievedremainsweak

1 PoliTicAlWillANDAccoUNTABiliTy

high-levelpoliticalcommitmentunderpinsalleffortstoaccelerateandsustainimprovementsinaccesstoadequateandsafedrinking-watersanitationandhygieneservicesSuccessfulimplementationofthiscommitmentrequiresasteadyfocusonthewaterandsanitationprioritiesadequateallocationofresourcesandtheestablishmentofaregularandtransparentmonitoringframeworktoensurethatallstakeholderscanbeheldaccountableagainsttheiragreedcommitmentsrolesandresponsibilitiesSuchresponsibilitiesincludeenforcingrelevantlegalframeworksensuringeffectiveregulatorymechanismsmaintainingandstrengtheninginstitutionalarrangementsandapplyingup-to-datetechnicalknowledgethroughbestpracticeTheyalldependultimatelyonpoliticalresolvetogivebalancedsupporttoallessentialelements

AllcountriesthatrespondedtotheGlAASquestionnairereportedthattheyhadmadesomeformofhigh-levelpoliticalorfinancialcommitmenttosanitationanddrinking-wateroften

attheministeriallevelsince2010SeventeenofthemmadecommitmentsattheSWAhighlevelMeetingin2010andmanyothersmadecommitmentssubsequentlyinresponsetonationalandinternationalinitiativesandeventsearlieratAfricaSaniiin2008inDurbanSouthAfricaforexampleministersbelongingtotheAfricanMinistersrsquocouncilonWatercommittedtothemeasurabletime-boundsanitationtargetsenshrinedintheeThekwiniDeclarationandmadeapledgeonbudgetlinesforsanitationandhygiene

ethekwiniDeclaration

TheeThekwiniDeclarationwassignedbyover30AfricangovernmentministersinDurbaninfebruary2008Thedeclarationrecognizedtheimportanceofsanitationandcommittedthesignatorygovernmentstoestablishingspecificpublicsectorbudgetallocationsforsanitationwiththeaimofspending05ofGDPonsanitationSource WSP-Africa (2008)

Inmanycasespoliticalwillhasnotyetcatalysedtheenablingenvironmentrequiredtosecureadequateprogressagainstnationalsanitationanddrinking-watertargets(table11)

tABLe11Meetingpoliticalcommitmentsprogresstowardsattainingsanitationanddrinking-waterobjectives(ofcountriesreportingattainmentofkeyurbanruralsanitationanddrinking-waterobjectives)

Regionalbreakdown Targetsinplace Policiesadopted Adequatefinance(perceived) Adequateoutputs1

NorthernAfricaEasternCentralandWesternAsiaandtheCaucasus

97 88 44 49

LatinAmericaandCaribbean 100 52 30 32

SouthernandSouth-easternAsiaandOceania

86 63 32 36

Sub-SaharanAfrica 94 73 9 20

TOTAL 93 70 22 30

Thepercentagesshownarebasedonprogressineachofthefourldquosub-sectorrdquoareasofWASHservices(urbansanitationruralsanitationurbandrinking-waterandruraldrinking-water)expressedasanaggregatefigureForexampleifacountryreportedadequatefinancingforurbanwatersupplybutnotfortheotherthreeldquosub-sectorsrdquotheaggregatescorewouldbeexpressedas25

1 Annualprogressat75ormoretomeettarget

Source 2011 GLAAS country survey (74 country respondents)

10

Nearlytwothirdsofcountriesrespondingtothe2011GlAASquestionnaireindicatedtheircommitmenttotrackingandpubliclyreportingonprogressmadeatinternationaleventssuchastheonesmentionedaboveThesefindingstakentogetherwiththereportedincreasesinexpenditureforwaterandsanitationbyseveralcountriesfrom2009to2011areevidenceofconcreteactionresultingfromnationalandinternationalWAShcommitmentsTheeffortsoftheSWApartnershiprunthroughthisconsistentlyandareaimedatcoordinatingleveragingandenhancingcommitments

The2012JMPprogressreport(UNicefWho2012)describesthesuccessofmanycountriesinreducingtheproportionofpeoplewithoutaccesstoimproveddrinking-watersourcesandtoimprovedsanitationfacilitiesAtthenationallevelprogressfrequentlyexceedsthatrequiredtomeettheMDGtargetsAnumberofcountriesfromlatinAmericaNorthernAfricaandWesternAsiareportthattheyareontrackinmeetingnationaltargetsandsurpassingtheJMPharmonizedglobalcriteriaforimprovedwaterandsanitationsuchasuniversalaccesstoapipedseweragesystem

Whenitcomestomeetingself-imposednationalwaterandsanitationtargets(asopposedtothegloballyagreedMDGtarget)howevermostcountriesreportthattheyarefallingshort83and70ofcountriesreportfallingsignificantly

behindthetrendsrequiredtomeetnationalaccesstargetsforsanitationanddrinking-waterrespectivelyAdditionallyonehalfofrespondingcountriesreportthattheyarenotontracktoachievetargetsdeclaredattheregionalorinternationallevel(egtheeThekwinigoalofallocating05ofGDPtosanitation)

AccountabilityisstrengthenedbyensuringthatnationalregionalandlocalplanningandreviewprocessesareopenandinclusiveinvolvingawiderangeofstakeholdersincludinglocalcommunitiesGlAASdatashowthatapproximatelyonehalfoftherespondingcountriesreportedtheexistenceofperiodicreviewsystemsandonly28ofcountrieshaveputinplaceandsystematicallyapplyproceduresforlisteningtoconsumerinput

inadditiontomakingsomeformofministerial-levelpoliticalorfinancialcommitmenttosanitationanddrinking-waterallcountriesparticipatinginGlAAShavetakenstepstoincreasetransparencybyallowingtheircommitmentsandactionstobeinthepublicdomainThisisevidencedbytheirindividualparticipationintheGlAASsurveyandtheincreasednumberofcountriesrespondingtothesurvey(Table12)itisalsoevidencedbytheireagernesstoattendtheSWAhighlevelMeeting

progresstowardsHighLevelMeetingcommitmentsrelatingtopoliticalwillandinternaladvocacy

Manyofthecommitmentsmadebyministersortheirrepresentativesatthe2010SWAhighlevelMeetingreflectedanincreasedpoliticalwillandaddressedraisingthepriorityofsanitationandwateratthenationallevelSeveraloftheircountriesalreadyhavereportedprogressThePresidentofliberiaforexamplehasbeenahigh-profileandcommittedproponentofwaterandsanitationprovidingleadershiptothedevelopmentofanSWAldquoWAShcompactrdquowhichshesignedinearly2012in2010thePresidentofBurkinafasopersonallylaunchedthenewsanitationandhygienecampaigninSenegalthegovernmenthastakenstepstoenhancetheimportanceofdrinking-waterandsanitationwithinthenewnationaleconomicandsocialpolicyThegovernmentofMongoliahaspromotedtheimportanceofdrinking-waterandsanitationamongministryofficialsanddecision-makersSeveralcountrieshavealsocommittedtomeetingtheircommitmentsmadeunderotherinitiativesforinstanceethiopiahasdevelopedaplantomeetitssanitationcommitmentsinlinewiththeeThekwiniDeclaration

tABLe12Developingcountriesparticipatinginthe2012GlAASreport1evidenceofincreasedaccountability(74respondents)

MDGregion Countriesparticipatingin2011GLAASsurvey2 Proportion()ofpopulationrepresentedin

theregion

EasternAsia Mongolia lt1

CentralAsiaandCaucasus azerbaijankyrgyzstantajikistanuzbekistan 18

LatinAmericaandCaribbean Bolivia (Plurinational state of) Brazilcolombiadominican republicel salvadorhaitiHondurasPanamaParaguay

50

NorthernAfrica egyptMorocco 68

Oceania fijisamoa 10

SouthernAsia afghanistanBangladeshBhutanIndiaIran (Islamic republic of)MaldivesNepalPakistansri lanka 100

South-easternAsia CambodiaIndonesiaLaoPeoplersquosDemocraticRepublicMyanmarPhilippinesThailandTimor-LesteVietNam

94

Sub-SaharanAfrica AngolaBeninBurkinaFasoBurundiCameroonCentralAfricanRepublicChadcongoCocirctedrsquoIvoireDemocraticRepublicoftheCongoequatorial guineaEthiopiagabongambiaGhanaguineaguinea-BissauKenyaLesotholiberiaMadagascarMalawiMaliMauritaniaMozambiqueNigernigeriaRwandaSenegalSierraLeoneSouthAfricaSouthSudanTogoUgandaZimbabwe

85

WesternAsia JordanlebanonOmanyemen 17

1 AdescriptionofthemethodologyemployedbyGlAASisfoundinAnnexAcountryresponseswerecoordinatedbygovernments2 TherearethirtyfournewrespondentcountriestoGlASSsurveythesearehighlightedinblue

11

overalldataindicatesthatdecision-makershavedemonstratedtheirgoodintentionstoimproveWAShservicesBecauseofanincreasedcommitmenttoaccountabilitycountriesrsquoWASh-relatedeffortsandoutputsarebetterunderstoodanddocumentedfromthisevidencehoweveritisclearthatavarietyofbarriersdiscussedlaterinthereportarecontinuingtoimpedethedeliveryoftangibleresultsifmoresubstantiveprogressistobemadeWAShdecision-makersneedtobecomemoreseriousandengagedinthefollow-uptotheircommitmentstodeliverresults

12

policiesplanning2 andcoordination

KeyMeSSAGeS

bullGloballyprogresshasbeenmadeintheadoptionofnationalpolicieswith63and77ofrespondingcountrieshavingadoptedandpublishedpoliciesforsanitationanddrinking-waterrespectivelyManycountrieshaveagreedandpublishedpoliciessincethelastGlAASreport

bullMostcountrieshaveestablishednationalsectorplanningandcoordinationprocessesbutmanyalsoreporthavinginadequateinformationanddataforeffectiveinvestmentplanningonlyonehalfofrespondingcountriesreportthattheirplanningprocessesarebasedonannualorbiennialreviewsandevenfewercountriesareinapositiontoperformtheirplanningbasedonreliabledatafromnationalinformationsystems

bullover90ofcountrieshavedecentralizedresponsibilityforwaterandsanitationbutoperationaldecentralizationhasbeenaccompaniedbyfiscaldecentralizationinonly40ofcountriessurveyedpotentiallyweakeningthecapacityoflocalgovernmenttoplananddeliverservices

bullcountriesareprogressivelyadoptingapreventiveldquowatersafetyplanningrdquoapproachtodrinking-waterqualitymanagement

bullDespiteaclearrecognitionoftheimportantcontributionthathygienemakestohealthnationaltargetshavegenerallynotbeenestablishedforhygienepromotionprogrammes

2PolicieSPlANNiNGANDcoorDiNATioN

21 PolicyADoPTioN

countriesrecognizetheimportanceofdevelopingnationalsanitationanddrinking-waterpoliciesthatestablishobjectivesdefinerolesresponsibilitiesandexpectationsandsetboundariesforgovernmentsandpartnerseffectiveandefficientservicedeliverycanbeparticularlydifficulttoachieveincountrieswheregovernment

departmentsoragenciesarenotguidedbyspecificsanitationanddrinking-waterpolicies

Globally63and77ofcountriesreportedpoliciesthathavebeenagreedandgazettedforsanitationanddrinking-waterrespectivelyThe2009ndash2011trendshowsimprovementcountriesthatrespondedtoboththe2009and2011GlAASsurveysshowstrongprogresswithanadditional

14countries(outof38commonrespondents)havingagreedandpublishedpoliciessince2009primarilyinAfricaSomecountriesnotedthatthepolicyimplementationwashinderedbyunpredictablefinancingandinadequatedisseminationofthepolicymessage

Urbanandruralsanitationpolicieshavebeenadoptedandpublishedin63ofrespondentcountriesupfrom40in2009demonstratingthatcountriesareprogressivelytacklingtheurgentneedtoaddresssanitationissuesDrinking-waterpolicyadoptionratesarehigherandshowasimilarpatternofprogress(Figure21)

Drinking-waterpolicyadoption2011

Sanitationpolicyadoption2011

Isthereasectorpolicyagreedandpublished

FIGUre21isthereasanitationandordrinking-watersectorpolicyagreedandpublished

Sources 2011 GLAAS country survey (74 country respondents) 2009ndash2010 CSO and GLAAS country survey1

policyadoption2011 trendfrom2009to2011(38countries)

forthe2010GlAASreport(Who2010)UN-WaterGlAASandtheWorldBankrsquosWaterandSanitationProgramcollaboratedtodevelopathree-partsurveyquestionnaireanddataconsultationprocessforcountriesintheAfricaregionThesecountryStatusoverviews(cSos)reportontheextenttowhichcountrieshaveputinplacetheinstitutionsandpoliciesneededtomeettheirwaterandsanitationtargetstheirfinancingrequirementsandsectorsustainabilityandincluderecommendationsonhoweachcountrycouldimproveperformanceresultsfromthe2009ndash2010cSoandGlAAScountrysurveyareusedforcomparativepurposesinsomeofthefiguresinthisreport

14

1

SANItAtIoNSustainedprogressinurbansanitationrequiresinfrastructuretokeepupwithgrowthandtheexistenceofsufficienttechnicalcapacityandfinancialresourcestomeetdemandforthecreationofsanitationfacilitiesandexcretaremovaltreatmentanddisposalAmajorityofrespondentcountriesreportedestablishingplansfortheexpansionofurbansanitationservicestogetherwithspecificpolicyprovisionstoaddresstheissueinslumsandinformalsettlementsDespitethismostcountriessubmittingdatatoGlAASindicatedthatannualoutputsaresignificantlylessthanwhatisneededtomeetnationalurbansanitationtargets

inruralsanitationonly20ofcountriesreportthatthesupplyofskilledlabourandtechniciansisadequatetoensureprogresshowevermostcountriesindicatethatgovernmentpoliciesexistorarebeingformulatedtodevelopthe

privatesectorandtofurtherdevelopsanitationproductsandservices

WAterSAFetyPoliciespromotingcontinuousvigilanceintheformofpreventiveriskmanagementwillcontributetoimprovingwaterqualityandreducingdiseaseThisvigilanceisoftenlackinghoweverinpartbecausewatersupplyoperatorsarefrequentlyoverwhelmedbytheiroperationalandfinancialchallengessuchthattheyareunabletoaddresstheirimportantpublichealthprotectionroleTheWhoGuidelinesforDrinking-waterQuality(Who2011)recommendwatersafetyplansaproactivemanagementapproachencompassingthewholewatersupplychainfromcatchmenttoconsumer

TheglobalmomentumtowardswatersafetyplanningissupportedbythefindingsfromtheGlAASreport(figure22)

Thelevelofprogresswithwatersafetyplansisillustratedinmoredetailinfigure22showingtheWhoregionsofSouth-eastAsiaandtheWesternPacificwherecertaincountrieshavemadenotableprogressofthecountriesencouragingwatersafetyplanning13outof24inSouth-eastAsiaandtheWesternPacificcurrentlyhaveapolicyorregulatoryrequirementonwatersafetyplanswhereasanadditional8countriesareplanningtoupdatetheirpoliciesandregulationstoincorporatethisapproach

Tobeeffectivewatersafetyplansneedtobecontinuallyreviewedandupdatedincludinginresponsetoexternalauditsspecifiedinregulationsinthisregardcountriesneedtotakesubstantiveadditionalactionsbeforethebenefitsofthewatersafetyplanningapproachcanberealized

Watersafetyplanningisgainingglobalmomentumwith81oftherespondentcountrieseitherencouragingorrequiringwatersafetyplansinpoliciesandregulationsorreportingpilotexperiences(Figure22)

FIGUre22isthereanationalpolicytodevelopandimplementwatersafetyplansorotherpreventiveriskmanagement

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

Isthereanationalpolicytodevelopandimplementwatersafetyplansorotherpreventiveriskmanagement

Isthereanationalpolicytodevelopandimplementwatersafetyplansorotherpreventiveriskmanagement

15

2PolicieSPlANNiNGANDcoorDiNATioN

HyGIeNeDespitewidespreadrecognitionoftheimportantcontributionofhygienetohealthhygienepromotionprogrammesarenotdrivenbytheestablishmentofnationaltargetsonly19outof74countries(26)havedefinedtargetsfornationalhygienepromotionindicatinganimportantpotentialforimprovementbysystematizingplanningandestablishinganaccountability

frameworkinstarkcontrasttothisoperationalgap90ofcountriesincludehygieneintheirhealthstrategies

DespitelowoverallratesofimplementationofprogrammesbasedonresearchonlocalknowledgeattitudesandperceptionsonhygieneGlAAScountryreportssuggestthathygieneprogrammesinformedbythis

typeofresearcharegrowinginnumberexperienceindicatesthatitisdifficulttopredictwhetherandforhowlonghygienebehaviourchangewilllastMoreovertherearefewstudieswhosefindingsconfirmthepersistenceofhygienebehaviourlongaftercessationofprogrammeimplementation

FewcountrieshaveestablishedtargetsforhygienepromotionNationalbehaviourchangeprogrammesarenotsufficientlyinformedbyassessmentsoflocalattitudesandarefrequentlylimitedtosmall-scaleimplementation(Figure23)

Arenationalbehaviourchangeprogrammesbasedonresearchandaretherehygienepromotiontargets

FIGUre23Arenationalbehaviourchangeprogrammesbasedonresearchandaretherehygienepromotiontargets

Source 2011 GLAAS country survey (74 country respondents)

16

22 PlANNiNGANDcoorDiNATioN

Anenablingframeworkforprogressinsanitationanddrinking-watermustsupportthetranslationofpoliciesintoactionimportantfactorsincludeleadershipcoordinationlocalcapacityeffectivemonitoringandencouragementofbroadparticipationtoensureaccountabilitycoordinationcanbechallenginginthecommonscenariowhereresponsibilitiesfordifferentaspectsofWASharefragmentedoveranumberofgovernmentagenciesthatdevoteonlyasmallshareoftheiroverallresourcestothisareaWhereoverallresponsibilityisunclearaccountabilityforperformanceistypicallyweakAgenciesmaynotnecessarilybeheldaccountableandissuesthatareperceivedtobeoflesserpriorityorevenmarginalinaspecificinstitutionalcontextwillhavedifficultyinsecuringadequatefinancialandhumanresourceseventhoughtheymaybeessentialcomponentsoftheoverallsanitationanddrinking-waterframework

The2011surveyindicatessomeprogressinovercomingthemajorobstaclesidentifiedbyGlAASrespondentcountriesin2009whichincludedthefollowing

bull Approachesusedfordevelopingpoliciesarenotcoherentandholisticwithineachministry

bull Agenciesareworkingindependentlyonspecificpolicyaspectsratherthanbeingguidedbyanoverallframework

bull leadinstitutionsarenotdefinedespeciallyforsanitation

bull Thereisnostrategicplanonhowtargetsfordrinking-waterandsanitationwillbemetorforthepromotionofhygiene

bull Thereislowcapacityatlocallevelsintermsofoversightandservicedelivery

eighty-fivepercentofcountriesidentifiedaleadgovernmentagencyforsanitationindicatingaclearimprovementoverthesituationin2009onemayspeculatethatthisprogressmayhavebeenlinkedto

Leadinstitutionsforsanitationaredefinedinover85ofrespondingcountriesAdditionallymorethanhalfofrespondingcountriesreportthatcoordinationmechanismsamongdrinking-waterinstitutionsarebothdefinedandoperational(Figure24)

Sanitationleadgovernmentagencyinplace2011

Institutionalleadandrolesdefined2011

Drinking-waterinstitutionalrolesclearlydefined2011

Isthereagovernmentleadagencyareinstitutionalrolesclearlydefined

trendfrom2009to2011(38countries)

FIGUre24isthereagovernmentagencywithaclearmandatetoleadandcoordinatepolicydevelopment(sanitation)Areinstitutionalrolesofruralandurbanplayersclearlydefinedandoperational(drinking-water)

Sources 2011 GLAAS country survey (74 country respondents) 2009ndash2010 CSO and GLAAS country survey

17

2PolicieSPlANNiNGANDcoorDiNATioN

risinginternationalattentiongiventosanitationsuchasthroughtheinternationalyearofSanitation(2008)Whileleadagencieshavebeenidentifiedcountriescommentthatpoorcoordinationstillexistsamongimplementingagenciesparticularlyforsanitationinmanycountriesgovernmentcoordinationstructureshavebeenestablishedatthenationallevelbutthisprocessoffirmingupcoordinationstillneedstotrickledowntoprovincialandlocallevelsalthoughadmittedlythebarrierstocoordinationmaybeloweratthoselevels

TheGlAASsurveydidnotaskcountriestoreportontheexistenceofadefinedleadgovernmentinstitutionfordrinking-watersimplybecausethisisconsideredestablishedpracticehoweveronehalfofthecountriessurveyedreportedthattheyhadaccomplishedthemoredifficulttaskofbothdefiningandoperationalizingtherolesofthemultipleinstitutionsresponsiblefordrinking-watersystemsandservices

Commitmentstobettercoordination

Theneedtostrengthenlinkagesbetweensectorsandimprovecoordinationwas

recognizedattheSWAhighlevelMeetingin2010andcountriesmadecommitments

specificallyrelatingtothisissueAngolahassinceheldaNationalinterministerial

Meeting(ministriesofwaterenvironmenthealtheducationterritorialadministration

andfinance)Angolaalsocommittedtostrengtheningaccountableinstitutionswhere

theyarelackingandismakingprogressonexertingstrongnationalleadershiptobring

coherencetothesectorsplansandstrategiesethiopiareportsmakingprogress

onitscommitmenttoimprovingtheWAShplanningandcoordinationprocessby

strengtheningnationalplansandpartnershipsBurkinafasohasalreadyestablished

theWaterandSanitationPartnershipframeworkthatitcommittedtocreateThis

frameworkwillimprovepartneranddonorcoordinationandisexpectedtoleadto

increasedfinancingofsanitationanddrinkingwaterwithinthenationalbudget

Ghanatranslatesstrongpoliciesintooutputsforwatersupply

SuccessfultranslationintooutputsneedsstrongpoliciestobeaccompaniedbyeffectiveimplementationarrangementsandadequatefinancingforexampleGhanahasexceededitsMDGtargetof77watersupplycoveragebyenablingover10millionpeopletogainaccesstodrinking-waterfromanimprovedsourcebetween1995and2010(WhoUNicef2012)itssuccesscanbeattributedinparttoeffectiveimplementationarrangementsthatareinplaceforruralandurbanwatersupplythroughthecommunityWaterandSanitationAgencyandtheGhanaWatercompanylimitedclarityonbudgetsthroughseparatelineitemsandanexistingregulatoryframework

forsanitationGhanapublishedaNationalenvironmentalSanitationActionPlanandinvestmentPlanin2010andhasadoptedcommunity-ledTotalSanitationasastrategyWhilehouseholdsareexpectedtoinvestinsanitationthereishowevernoclarityonfinancingforsanitationsoftware(iedemandgenerationandbehaviourchangeactivities)

Mostcountrieshaveestablishedplanningandcoordinationprocessesbuttheyarenotnecessarilysupportedbyadequateinformationanddata(table21)

tABLe2 1Planningcoordinationandmonitoringprocessesprogressonselectedindicators(ofcountriesthatreportedestablishmentofkeyurbanruralsanitationanddrinking-waterprocesses)

Regionalbreakdown Leadgovernmentagencyforsanitationinplace1

Institutionalrolesclearlydefinedandoperational

fordrinkingwater

Annualreviewusedforplanning

(waterandsanitation)

Investmentprogrammeagreedandpublished(waterandsanitation)

Usenationalinformationsystem

(waterandsanitation)

NorthernAfricaEasternCentralandWesternAsiaandtheCaucasus

78 68 63 93 51

LatinAmericaandCaribbean

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 Duetothedifferentlevelsofrigorforthequestionsongovernmentcoordinationsanitationappearstobedoingbetterthandrinking-waterhoweverthequestiononsanitationmerelyindicatestheexistenceofaleadagencywhereasthedrinking-waterquestionassessesthelevelofcoordinationamongkeyactorsSpecificallyforsanitationthequestionaskedwhethertherewasaldquogovernmentagencywithaclearmandatetoleadandcoordinatethepolicydevelopmentandplanningofinstitutionsrdquofordrinking-waterthequestionaskedwhethertheldquoinstitutionalrolesofruralandurbanplayers[nationalandlocalgovernmentutilitieswaterboardsregulatorsetc]areclearlydefinedandoperationalrdquo

Source 2011 GLAAS country survey (74 country respondents)

18

23 revieWSMoNiToriNGANDrePorTiNG

Thesystematicperformanceofperiodic(ieannualorbiennial)reviewstomonitorandevaluatetheperformanceofsanitationanddrinking-wateruptakeandservicesisincreasinglyusedbycountriesasabasisforplanningTheadoptionofthisapproachservestwopurposesfirsttoprovidegreaterstakeholderparticipationandjointownershipandsecondtoprovideameanstoholdgovernmentanddonorsaccountableforaccountableforacheivingexpectedresultsThisprocessisparticularlyimportantwheretherearealargenumberofactorsinsanitationanddrinking-watersinceitarticulatesandreiteratescommongoalsreducesduplicationandpromotesmutualaccountabilitySector-widereviewsthatareledandownedbynationalgovernmentandinvolveallmajorstakeholdersarekeytoimprovingWAShcoordinationandplanning

countriesthatrespondedtotheGlAASquestionnairesinboth2009and2011havemadestrongprogresswithanadditional14and9countries(outof38commonrespondents)havingestablishedperiodicreviewprocessesthatareusedforplanninginsanitationanddrinking-waterrespectivelysince2009

ethiopianministriesdefinecoordinationbutimplementationremainsweakatlowerlevelsof

government

inordertofacilitatetheintegratedimplementationofWAShinethiopiathethreeconcernedlineministriestheformerMinistryofWaterresourcestheMinistryofhealthandtheMinistryofeducationsignedaMemorandumofUnderstandingforjointcooperationin2006TheMemorandumofUnderstandinghasfosteredrobustcoordinationattheregionallevelhoweverldquotheWAShMoU[MemorandumofUnderstanding]hasonlyverypartiallybeentransferredtoloweradministrativelevelswiththeresultthattheimplementationoftheMoUisnotstronginlocal(Woreda)governmentsrdquo(Governmentofethiopia2011)

periodicsectorreviewsareincreasinglybeingusedinsanitationwith85ofcountriesreportingorganizingsuchreviewsandonehalfofcountriesreportingthattheiroutcomesareusedforsanitationplanning(Figure25)

FIGUre25isthereanannualorbiennialreviewofthesector

Sources 2011 GLAAS country survey (74 respondents) 2009ndash2010 CSO and GLAAS country survey

Sanitationannualbiennialreviewprocesses2011

Annualorbiennialreview2011

trendfrom2009to2011(38countries)

Drinking-waterannualbiennialreviewprocesses2011

Isthereanannualorbiennialreviewofthesector

19

2PolicieSPlANNiNGANDcoorDiNATioN

fourcountriesrespondedthattherewasnoprocessofreviewineithersanitationordrinking-waterreviewanddecision-makingprocessesneedtobeinformedbyreliablesectorinformationcomprehensivemonitoringonaroutinebasisisapracticethatmostsurveyedcountriesareintheprocessofdevelopingcountryrespondentsindicatethatcoordinatingthemonitoringprocessoftencarriedoutbyseveralentitiesatbothlocalandregionallevelsiscomplexandchallenginginadditioncountryrespondentsconfirmthatwhiletheremightbeeffectiveprojectorprogrammemonitoringsystemsreliablesector-wideinformationsystemsremaintobedeveloped

HighLevelMeetingcommitmentsforbettermonitoring

robustsectormonitoringincludingthemonitoringofpreviouscommitmentswasthesubjectofmanycommitmentsattheSWAhighlevelMeetingin2010Mauritaniacommittedtoincreasingfollow-upandtransparencyinthetechnicalandfinancialimplementationofwaterandsanitationprogrammesthroughsteeringcommitteesmonitoringandevaluationandauditsthecountryreportsthatthisisprogressingwellethiopiaisworkingtoachieveitscommitmenttoimprovenationalmonitoringandinformationmanagementsystemsbycreatingaWAShinventoryandstrengtheningthenationalmonitoringandinformationsystemsforhealthandwaterresourcesliberiacommittedtothedevelopmentofamonitoringandevaluationsystemfortheWAShsectorandreportsgoodprogress

Countriesreportthatonly42ofurbanruralsanitationanddrinking-watersectorsareinformedbyreliableinformationmonitoringsystems(Figure26)

Yes and used Under development No

42

42

16

FIGUre 26 is there a national information system used to informdecision-making

Source 2011 GLAAS country survey (74 country respondents)

JointSectorreviewinNepal

Nepalwherethereareanumberofstateandnon-stateactorsworkinginWAShhelditsfirstJointSectorreviewinMay2011TheJointSectorreviewdiscussedaspeciallycommissionedreportonthestatusofWAShinthecountryidentifiedandprioritizedthreetofourkeyactionsthataretobetakenbyalltherelevantstakeholdersintheyearaheadandagreedtoholdanotherJointSectorreviewin2012

Source Government of Nepal (2011)

Civilsocietyorganizationsproducejointperformancereportinethiopia

inkeepingwiththeprincipleofmutualaccountabilitythecivilsocietyorganizationsoperatinginethiopiaproducedanAnnualJointreportonWAShin2010Thisemanatedfromacommitmentmadeatamultistakeholderforumin2009thatWAShsectorcivilsocietyorganizationswouldproduceanannualperformancereportthatcouldbeincorporatedintotheNationalWAShreportproducedbytheNationalWAShcoordinationoffice

Source Government of Ethiopia (2011)

BurkinaFasoinformationsystemdetailsprocessandoutcomeindicators

Somecountrieshavemadegoodprogressinestablishingsector-wideinformationsystemsthatinformdecision-makingTheProgrammenationaldrsquoApprovisionnementeneaupotableetdrsquoAssainissementofBurkinafasopublishesanannualreportondetailedprocessandoutcomeindicatorsfordrinking-waterandsanitationbothurbanandruralTheseincludeaccesstowaterandsanitationproportionofwatersourcesthatarefunctioningcoverageofschoolshealthcentresandpublicspacesandgoodgovernanceindicatorssuchastheproportionofdrinking-waterprovisionsandtheproportionofpublictoiletsmanagedbydelegation

Source Government of Burkina Faso (2011)

20

24 DeceNTrAlizATioN

inmostdevelopingcountriesresponsibilitiesfordrinking-waterandsanitationservicesaredevolvedtothelocallevelWhendecentralizationiseffectiveitensuresthatservicesareappropriateforlocalneedsthatoperationandmaintenancerequirementsaremetandthatfacilitiescreatedaresustainedovertimeThisdoesnotimplythattheseservicescanoperatewithoutanysupportfromhigherlevelseffectivedecentralizationrequiresadequatetechnicalfinancialandhumanresourcessupporttolocalauthoritiesTheprincipleofsubsidiarityappliestheinitiativetoseeksupportshouldcomefromthelocallevelwheneverthechallengesfacedcannotbesolvedwiththetechnicalfinancialandhumanresourceslocallyavailableindependentregulationandqualitycontrolarefunctionsperformedatahigherlevel

over90ofcountriesindicatedthatservicedeliveryhasbeendecentralizedforsanitationanddrinking-watersupplyhoweverasshowninfigure27lessthanhalfhaveundertakenfullfiscaldecentralization

AsreportedrecentlybytheAfricanMinistersrsquocouncilonWater(AMcoW)ldquothemajorchallengestilltobeovercomeisthatofdecentralizationandthelocalmanagementofwatersupplyandsanitation(WSS)servicesAlllocalmanagementstakeholdersincludingthecontractingauthoritythecommune(localauthorities)theregionaltechnicaldepartmentsthatshouldsupportthemaswellasthewaterusersrsquoassociationsandthelocalprivatesectorsufferfromaseverelackofhumantechnicalandfinancialresourcesthatpreventsthemfromsuccessfullyundertakingtheirnewresponsibilitiesandensuringthatinvestmentissustainablerdquo(AMcoW2011)

only40ofcountriesthathavedecentralizedservicedeliveryhavedecentralizedfiscalresponsibilities(Figure27)

41

59

Operational and fiscal responsibilities Only operational decentralization

FIGUre27TowhatdegreehasdecentralizationofservicebeencarriedoutinsanitationNoteAsimilarproportionwasfoundfordrinking-water

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

DecentralizationofruralwaterservicedeliveryinIndia

in2010theindianPlanningcommissionperformedanevaluationstudyoftherajivGandhiDrinkingWaterMissiontheflagshipruralwaterprogrammeinindiaandfoundthatonly8ofthesurveyedhouseholdswerewillingtopayforoperationandmaintenanceTheyconsideredoperationandmaintenancetheresponsibilityoftheGramPanchayat(thevillagecommittee)howeveroveronehalfoftheGramPanchayatshaveexpressedtheirinabilitytotaketheresponsibilityofoperationandmaintenanceldquoinalargemajorityoftheGramPanchayats(50outof63)formalhand-overofoperationandmaintenanceoftheassetscreatedundertheMissionhasnotbeendonerdquo(Governmentofindia2010)

21

2PolicieSPlANNiNGANDcoorDiNATioN

25 locAlSTAKeholDerPArTiciPATioN

consultationwithinvolvementofandparticipationbylocalstakeholdersarecrucialtoensurethatpolicieslegalframeworksmonitoringreportsreformsbudgetsexpenditureprioritiesandresourceplansarereviewedandfullyownedbystakeholdersandthatusersreceivetheservicesthattheywantandarewillingtopayforconsultationcanbepromotedthroughvariousinstitutionalframeworksorprocessesatlocalnationalandregionallevelscountrieshaveattemptedtoinstitutionalizeparticipationthroughlocalwaterandsanitationcommitteesregisteredusergroupsandregulatorysystemsthatfacilitateconsumerfeedbackandldquoconsumervoicesrdquotobeheard

respondentssuggestthatsomecountrieshavelawspoliciesorplansforinformingconsultingwithandsupportingparticipationbycitizensbutthesefrequentlyarenotspecifictosanitationanddrinking-water

Asfigure28suggestsprocedurestosupportlocalstakeholderparticipationinplanningbudgetingandimplementingprogrammeshavenotbeensystematicallyappliedinamajorityofrespondingcountriesover70ofcountriesindicatedthateithertherearenoproceduresforlocalstakeholderparticipationorproceduresarenotsystematicallyimplementedrespondentssuggestthatthemechanismsthatdopromotepublicengagementonsanitationanddrinking-waterspecificallyarenotuniformlyimplementedalthoughthetrendisimprovingStrengtheningparticipatoryprocesseswillensurethatplannedinvestmentsareappropriateforthecommunityleadtogreaterlocalsupportofdecision-makingprocessesoutputsandrecurrentinvestmentneedsandimprovesustainabilityofsanitationandwaterservicescomparingthetrendsfordrinking-waterandsanitationitseemsthatpursuingcommunityengagementintheplanningandimplementationprocessesfordrinking-watermaybeeithereasierormoreattractivethandoingthesameforsanitation

Localstakeholderparticipationinplanningbudgetingandimplementingprogrammeshasimprovedsince2009withmorecountrieshavingestablishedsystematicprocessestofacilitatestakeholderparticipationbutsystematicapplicationisstilllowoverall(Figure28)

Drinking-waterproceduresforstakeholderparticipation2011

Sanitationproceduresforstakeholderparticipation2011

trendfrom2009to2011(38countries)

Arethereproceduresforinformingconsultingampsupportingparticipationbyindividualscommunity

FIGUre 28 Are there procedures for informing consulting and supportingparticipationbyindividualscommunity

Sources 2011 GLAAS country survey (74 respondents) 2009ndash2010 CSO and GLAAS country survey

Stakeholderparticipation2011

22

26 iMPlicATioNSforThefUTUre

ThissectionshowsthattheWAShsectorisbecomingmorecoherentwithgreaterfocusonsanitationandthatprogressisbeingmadeonmanyoftheldquoeasierrdquoimprovementssuchasthoserelatedtodemonstratingcommitmentthroughthesettingoftargetsprogressivelyadoptingWAShpoliciesandimprovingcoordinationincludingbyengagingmorestakeholdersinplanninghoweverthissectionalsoshowslimitedprogressonmanyofthemoreldquodifficultrdquoissuessuchassuccessfullyimplementingpoliciesdevelopingeffectiveandcoherentplanningandmonitoringsystemsandeffectivelysupportingthelocallevelinthedeliveryofservices

TacklingthedifficultissueswillrequirecontinuedstrengthandclarityofleadershipwithdefinedrolesandresponsibilitiesPlanningprocessescouldbedramaticallyimprovediftheycouldrespondtodatamadeavailablethroughmanagementinformationsystemsinthisregardWAShservicedeliverycouldundoubtedlybenefitfromastrengthenedldquowholesystemsrdquoapproachwhichwouldentailinclusionofWAShincoregovernmentsystemsforplanningandresourceallocation

23

2 Financing3

KeyMeSSAGeS

bullcentralgovernmentcontinuestobeamajorsourceoffundingforwaterandsanitationalthoughmanylow-andmiddle-incomecountriesremaindependentonexternalaidexternalfundingforWAShamountedtomorethan1ofGDPinsevendevelopingcountries

bullexistinglevelsofhouseholdandprivateinvestmentarepoorlyunderstoodbutavailabledatasuggestthattheyaresignificantsourcesoffinancingandcanmakemajorcontributionstosupportingoperationandmaintenanceofservices

bullThemajorityofcountriesreportthatsectorinformationsystemsforfinancialplanningandreportingareinadequate

bullDatasuggestthatfundsspentonoperationandmaintenanceareinsufficientAmajorityofcountriesindicatethatruralwatersupplyprogrammesarenoteffectiveduetolackoffundingwhereasonethirdofcountriesreportthaturbanutilitieslackrevenuetofundoperationandmaintenance

bullfundinglevelsforWASharereportedtoremaininsufficientespeciallyforsanitationDrinking-watercontinuestoabsorbthemajorityofWAShfundingevenincountrieswitharelativelyhighdrinking-watersupplycoverageandrelativelylowsanitationcoverage

bullMostcountriescouldnotreporthowmuchtheyspendonhygieneandforthosethatdiditwasonlyabout2ofWAShexpenditure

bullThebreakdownofexpenditureforWAShinruralandurbanareasappearsonlyweaklycorrelatedwithneeds

bulllongprocurementprocessesandheavyadministrativeburdensmeanthatmanycountriesstruggletoefficientlydisbursethelimitedfundsthatarecommittedAbsorptionofdomesticcapitalcommitmentsishigherthanthatofdonorcommitmentsbutappearstobedeclining

bullTostrengthenthecollectionofWAShfinancialinformationaharmonizedmethodofdatamonitoringisneeded(onesuchmethodisproposedinAnnexB)

3 fiNANciNG

extendingandsustainingwaterandsanitationprogrammesandinfrastructurerequireamongotherthingsadequatefundingandsoundfinancialmanagementTheseincludeinvestmentplanningsecuringfundsforproposedbudgetsmakingefficientandtimelydisbursementsandmonitoringoutcomesPreviousanalyseshaveshownthatglobalspendingisfarlessthanwhatisrequiredtomeettheMDGs(huttonampBartram2008)andanalysisofregionalspendinginAfricaforexampleshowsthatexpenditureisonequarterofwhatisrequiredfordrinking-waterservicesalone(fosterampBricentildeo-Garmendia2010)inadequatefundingforsanitationanddrinking-waterinfrastructureandforitslong-termoperationandmaintenancewasthemostfrequentlycitedobstaclebyGlAASsurveyrespondents

31 SoUrceSoffUNDiNGANDhoWMUchiSBeiNGSPeNT

fundingforwaterandsanitationisrequiredfornewcapitalinvestmentandforrecurrentexpensesofoperations(operationalexpenditure)capitalmaintenance(long-termrenewalsandrehabilitationusuallyrecoveredasanannualldquodepreciationrdquocharge)andanycostsofcapital(interestpaymentsonloansandanyrequireddividendreturnstoequityproviders)fundingforthesewaterandsanitationcostscancomefromthreemainsourcescommonlyreferredtoastheldquo3TsrdquoofWAShldquotariffsrdquowhicharefundscontributedbyusersofWAShservices(andalsoincludingthevalueoflabourandmaterialinvestmentsofhouseholdsmanagingtheirownwatersupply)ldquotaxesrdquowhichrefertofundsoriginatingfromdomestictaxesthatarechannelledtothesectorbythecentralregionalandlocalgovernmentsandldquotransfersrdquowhichrefertofundsfrominternationaldonorsandcharitablefoundationsTransfersincludegrantsandconcessionalloanssuchasthosegivenbytheWorldBankwhichincludeagrantelementintheformofasubsidizedinterestrateoragraceperiodTheldquo3TsrdquoarediscussedinAnnexBaspecialGlAASthematicsectionthatreviewsthestateoftheevidenceonWAShfinancialflowsandproposesamethodologytoencourageandharmonizecountrymonitoring

ofthe74countriesparticipatinginGlAAS providinghalfofthereportedUS$198only17submitteddataonsourcesof billioninfinancialflows(figure31)fundingandjust4wereabletoprovidefiguresonthecontributionsmadeby Thesecondanalysiscoveredallofthehouseholdthroughthepaymentof ldquo3TrdquosourcesoffundingmdashtariffsfromtariffsTable31showsthesehousehold householdstaxesandtransfersmdashbutcontributionsrangingfrom30to61of

wasnecessarilylimitedtoonlythefourtotalreportedsanitationanddrinking-watercountriesthatwereabletosubmitthisfundingfromallsourcescombiningcapitalfulldatasetThisanalysisindicatesthatinvestmentandrecurrentcostsThesehouseholdcontributionsaccountforalimiteddataconfirmfindingsinprevious

reports(WorldBank2008oecD2009a) significantshareofinvestmentinthesefourindicatingthathouseholdcontributions countriesaccountingfor44offundingcompriseasignificantportionoffinance ascomparedwithnationalgovernmentforsanitationanddrinking-water whichcontributedonly18ofthereported

US$101billionwithinwaterandsanitationTwoanalyseswereperformedtodetermine finance(Table31)relativecontributionsoffinancingfromvarioussourcestosanitationanddrinking-

ThesedataconfirmtheimportanceofwaterThefirstanalysiswasconfined

financialcontributionsfromhouseholdtoassessingthefinancialdataontaxestariffsandself-supplyparticularlyandtransfersfromthe17respondentforrecurrentexpenditureandcapitalcountriesThisanalysisshowsthatcentral

governmentremainsthemajorsource expenditurefornon-networkedservicesofinvestmentinsanitationanddrinking- andtheneedtomonitortheseinthefuturewaterinmostofthecountriessurveyed

HouseholdfundingforWASHthroughtariffsandself-supplyisgenerallynotmonitoredLimiteddatasuggestthathouseholdfundingcontributesasignificantshareoftheoverallWASHfinancing(table31)

tABLe31contributionofhouseholdtariffs(andcostsassociatedwithself-supply)

Country ContributionofhouseholdtariffstototalWASHfunding

Contributionofhouseholdtariffstototal

operationalexpenditure1

Iran(IslamicRepublicof) 61 100

Bangladesh 36 87

Thailand 32 Datanotavailable

Lesotho 30 82

1 Progressivelyincreasingtheproportionofoperationalexpenditurefundedthroughhouseholdtariffsto100allowsforsustainablerecoveryofcostsassociatedwithoperationandminormaintenanceovertimethecombinationoftariffsandtaxationneedstofundoperationalexpenditurepluslong-termcapitalmaintenanceandanyinterestcostsofloans

Source 2011 GLAAS country survey

CentralgovernmentbudgetallocationanddisbursementarethemajorsourceoffinancingforrespondentcountriesHouseholdcontributionsarepoorlyunderstoodbutcouldbeequallyifnotmoresignificant(Figure31)

FIGUre31Sourcesoffinancingforsanitationanddrinking-water

Source 2011 GLAAS country survey

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-waterexcludinghouseholds(17countriesUS$198billion)

Sourcesoffundingforsanitationanddrinking-waterinclusiveofhouseholdtariffandself-supply(4countriesUS$101billion)

26

exterNALSUpportinmanyrespondentcountriesexternaldevelopmentaidremainsamajorsourceoffinancingforsanitationanddrinking-water(Table32)mostlikelyforcapitalinvestmentinthesecasesstrongcoordinationamongdonorsandalignmentwithWAShinvestmentprioritiesareessentialGlAASdataindicatethatcoordinationmechanismsaremorelikelytobeinplaceforcountrieswithmultipledonors

Asdiscussedfurtherinsection6overUS$89billionindevelopmentaidwasdirectedtosanitationanddrinking-water

in2009MajorrecipientcountriesintermsofaidamountsincludechinaindiaindonesiaPeruTurkeytheUnitedrepublicofTanzaniaandvietNamcomprisingoverUS$15billioninannualsanitationandwateraid(2008ndash2009average)oDAtomiddle-incomecountriessuchaschina1indiaandTurkeyisprimarilycomposedofloansthathaveagrantelementofatleast25Sanitationanddrinking-wateraidcomprisedover1ofGDPforsevencountriesasshowninTable33b

Section6providesfurtherdetailsonexternalfinancialsupportforWASh

externalsupportcanbeamajorsourceoffinancingforsomecountrieshighlightingtheneedforstrongdonorcoordinationandalignmentwithsectorinvestmentpriorities(table32)

tABLe32respondentcountriesreportinggreaterthan25donorfinance

Country Donorfinance(asofgovernmentfinance)

Majordonors2 Numberofdonors Sectorwideapproachorothersectoralframeworkimplementedforwaterandsanitation

Investmentplanimplemented

Madagascar 26 WorldBankAfricanDevelopmentBankEU 12 Yes Yes

Honduras 39 SpainJapanWorldBank 14 Beingdefined Underpreparation

Kenya 41 GermanyWorldBankFrance 24 Yes Underpreparation

Afghanistan 46 WorldBankUSAGermany 13 Beingdefined Ruralwatersupply

Yemen 46 WorldBankGermanyNetherlands 12 Yes Yes

Bangladesh 63 AsianDevelopmentBankJapanWorldBank 19 Drinking-wateronly Yes

Lesotho 67 IrelandWorldBankUSA 9 Drinking-wateronly Urbanruralsupply

EUEuropeanUnionUSAUnitedStatesofAmerica

Sources 2011 GLAAS country survey OECD (2012)

ManydevelopingcountriesremaindependentonexternalaidforWASHItaccountsformorethan1ofGDpinsevendevelopingcountriesonlyoneAfricancountryisatopWASHaidrecipient(table33)

tABLe33Topaidrecipientsforsanitationandwateraidin2008ndash2009

a)TopWAShaidrecipientsbydollaramount(oDA) b)TopWAShaidrecipientsbyofGDP(oDA)

Country Averagedonordisbursementforsanitationanddrinkingwater

2008 2009(US$million)

DonorfinancingforWASH(asofGDP)

China 296 001

VietNam 274 029

India 252 002

Turkey 167 003

UnitedRepublicofTanzania 161 077

Indonesia 157 003

Peru 139 011

Country Averagedonordisbursementforsanitationanddrinkingwater

2008 2009(US$million)

DonorfinancingforWASH(asofGDP)

Timor-Leste 11 194

Samoa 9 180

Burundi 17 131

Nicaragua 74 120

Lesotho 21 118

Liberia 10 115

Haiti 69 105

Sources World Bank (2011) OECD (2012)

1 inadditiontoanaverageannualaidofUS$296millionchinareceivedanaverageannualamountofUS$332millioninnon-concessionallendingforwaterandsanitationin2008ndash20092 DataderivedfromoecDwiththeexceptionofBangladesh

27

3 fiNANciNG

32AllocATioNoffUNDiNGWhATiSMoNeyBeiNGSPeNToN

onemeasureusedtogaugepoliticalcommitmentandpriorityistheamountofpublicfundsexpendedinsanitationanddrinking-waterassessedasatrendorcomparedwithspendinginothersectorsforexamplethe2008eThekwiniDeclarationsignatoriessetatargetofspending05ofGDPonsanitationinthe2011GlAAScountrysurveyalimitednumber(13outof74)ofrespondentcountriesreportedtotalsanitationanddrinking-waterexpendituresonlyfromgovernmentandexternalfundingsources(multilateralandbilateraldonorsandcommerciallenders)forrespondingcountrieswithsufficientdatatheseexpenditureswerecomparedwithGDPAmedianannualexpenditureforsanitationanddrinking-watercoveringtaxes(domesticgovernment)andtransfers(donors)butexcludinghouseholdexpenditureswas073ofGDP

Increasingbudgetallocationstosanitationanddrinking-water

Alargeproportionofthecommitmentsmadeatthe2010SWAhighlevelMeetingrelatedtoincreasingtheallocationstowaterandsanitationfromdevelopingcountriesrsquoownbudgetsMorethan20specificcommitmentsweremadeby12countriesinthisrespectAfewstandoutbecausetheyweresignificantlyinfluencedbythehighlevelMeetingprocessandbecausethecountriesreporteitherhavingfulfilledthecommitmentorthattheyaremakinggoodprogressGhanamadeprogressonincreasingitsallocationsforwaterandsanitationinits2011budgetcreatingabudgetlineinwhichspecificallocationsweremadeforactivitiesrelatedtothecountryrsquos2010highlevelMeetingcommitmentsTimorlestereportsprogressonincreasinggovernmentinvestmentintheWAShgoingfromUS$2millionin2009toUS$112millionin2010andthentoUS$35millionin2011

Governmentexpenditure(fromtaxesandtransfers)onsanitationanddrinking-waterrangedfrom037to35ofGDp(Figure32)

Lesotho Honduras

Kenya Egypt

Thailand Nepal

Yemen Iran (Islamic Republic of)

Panama Colombia

Madagascar Bangladesh

Pakistan

351 116

111 092

080 080

073 069

046 045 042

038 037

00 10 20 30 40 Government-coordinated expenditure on WASH as a of GDP

FIGUre32Publicspending(fromfundsobtainedthroughdomestictaxesandexternal transfers) on sanitation and drinking-water as a percentage of GDP(2010data)

NoteNotallcountriesreportedcontributionsfromregionalandlocalgovernments(ieegyptKenyaandyemen)

Sources 2011 GLAAS country survey World Bank (2012)

Summarydatafromrespondentcountriesindicatethatmediangovernmentexpenditureonsanitationanddrinking-waterisonethirdofthatforhealthandonesixthofthatforeducation(table34)

tABLe34GovernmentexpenditureonhealtheducationandWASh

Country Governmentexpenditureonhealth(ofGDP)1

Governmentexpenditureoneducation(ofGDP)

Governmentexpenditureonsanitationanddrinkingwater

(ofGDP)

Bangladesh 11 242 04

Colombia 54 47 05

Egypt3 19 382 09

Honduras 46 mdash 12

India 13 mdash 02

Iran(IslamicRepublicof)

23 47 07

Kenya3 21 691 11

Lesotho 84 mdash 35

Madagascar 27 32 04

Nepal 17 47 08

Panama 61 382 05

Thailand 37 41 08

Yemen3 14 mdash 07

Minimum 11 32 02

Maximum 84 140 35

Median 23 55 07

1 2010data2 2008data3 Notallcountriesreportedcontributionsfromregionalandlocalgovernments

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

28

CApItALexpeNDItUreCoMpAreDWItHreCUrreNtoperAtIoNANDMAINteNANCeexpeNDItUreAsnotedpreviouslyrespondentcountriesindicatethatthereareinsufficientresourcestoattainMDGandcountrytargetsAssuchitisimportantthatlimitedfinancialresourcesbecarefullybalancedbetweennewinvestmenttoprovideservicetotheunservedandrecurrentexpendituretosustainexistinginvestmentsAscoveragelevelsincreasecapitalassetsincreaseasdoestheneedforrevenuetocoverrecurrentcostsforhumanresourcesandforpartsandsuppliestooperateandensurethelong-termmaintenanceofexistingsystemshoweverasshowninfigure33a31ofWAShfundsexpendedin11respondentcountriesweredirectedtowardsoperationandmaintenanceGiventhatmostcountriesreportthatoperationandmaintenanceprogrammesforruralwatersupplyareinadequateandthaturbanutilitiesfrequentlylacksufficientrevenuetocoveroperationandmaintenancecosts(seesection37)thisraisesquestionsastowhetherexistingfundingforoperationandmaintenanceissufficienttosustainWAShsystemsMoreoverascitedin

thepreviousGlAASreport75oftheestimatedfinancingneedsforsanitationanddrinking-waterconsistofrecurrentoperationalandmaintenancecostsforexistingservices(huttonampBartram2008)

SANItAtIoNCoMpAreDWItHDrINKING-WAterexpeNDItUreAreviewofexpenditurebreakdownscanindicatepotentialissuesofhowfinancialresourcesaretargetedThe2010GlAASreportindicatedthatsanitationcomprisesapproximatelyonefifthofthefinancingdevotedtosanitationanddrinking-watercombinedThe13countriesthatwereabletoprovidedataforthisreportindicatedthat27oftotalWAShfundswerespentonsanitation(figure33b)Accordingtoglobalestimatesthesesame13countrieshaveapproximately990millionpeoplewhodonothaveaccesstoimprovedsanitationcomparedwith190millionpeoplewhodonothaveaccesstoanimprovedsourceofdrinking-waterinotherwordsunimprovedsanitationwhichrepresents84ofthetotalWAShunservedinthesecountriesreceivesonly27ofthetotalWAShfunding

UrBANCoMpAreDWItHrUrALexpeNDItUreSimilarlytheurbanversusruralpiechartinfigure33cindicatesthatfor10respondentcountries75ofexpenditureistargetedaturbansettingshoweverthesesame10countrieshaveapproximately44millionand129millioninurbanandruralpopulationsrespectivelywhodonothaveaccesstoimprovedsanitationordrinking-waterfromanimprovedsourcePeoplewithoutaccesstoimprovedsanitationordrinking-waterfromanimprovedsourceinruralareascomprise75oftheunservedbutbenefitfromonly25oftheexpendituresforsanitationanddrinking-water

HyGIeNeproMotIoNexpenditureforhygieneeducationandpromotionwasprovidedbysevenrespondentcountriesTheamountspentonhygieneeducationandpromotionprogrammesacrosstheserespondentsrangedfrom03to82oftotalreportedpublicexpenditureinWAShAfghanistanBangladeshandKenyaeachreportedover4oftotalWAShexpenditureforhygieneeducationandpromotion

Limitedsanitationanddrinking-waterexpendituredataprecludemakingglobalstatementsconcerningfinancialallocationsderivedfromtaxesandtransfersbuthintathowexpendituresaretargeted(Figure33)

a)capitalversusoperationandmaintenanceexpenditure(11countriesUS$126billion)

b)Sanitationversusdrinking-waterexpenditure(13countriesUS$127billion)

c)Urbanversusruralexpenditure(10countriesUS$76billion)d)hygienepromotionversusotherWAShexpenditure

(7countriesUS$51billion)

FIGUre33Breakdownsofexpendituresacrossdifferentcategories

Source 2011 GLAAS country survey

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

Fundingoperationandmaintenanceinruralwater

supply

fundingandtechnicalsupportforoperationandmaintenanceofruralwatersupplyareclearlynotadequate47outof70countriesreportthatmaintenanceprogrammesdonotexistorarelimitedineffectivenessorscopeGlAASfindingsindicateavarietyofcontributingfactorsincludinganinadequatesupplychainofsparepartsandout-of-dateornon-existentinventoriesofruralwaterpointsTheadequacyoffundingtosustainurbanwatersupplyoperationsisdiscussedattheendofthissection

33 USeofcoMMiTTeDfUNDS

efficientandtimelyreleaseofcommittedfundsisanotherkeyaspectofaneffectivefinancingsystemlowannualdisbursementratesofallocatedbudgetsduetolongprocurementprocessesandheavyadministrativeburdenswerecitedbymanycountryrespondentsasconstraintstoreachingsanitationanddrinking-waterplanningtargets(figure34)

UseofaidcanbeimprovedbybettercoordinationamongdonorsandaligningwithcountryprocessesAsanexamplesectorharmonizationhasbeenimprovedinethiopiabythethreelargestofficialdevelopmentpartnersmdashtheWorldBanktheUnitedKingdomDepartmentforinternationalDevelopmentandtheAfricanDevelopmentBankmdashwhichhaveallharmonizedunderasinglefinancingmodalitychannelledthroughtheMinistryoffinanceandeconomicDevelopmentMeanwhilemostotherwatersectorofficialdevelopmentpartnersmdashalthoughstilloperatinginprojectmodemdashhaveadoptedtheemergingsector-wideapproachreplacingseparateindividualprojectmissionsandproject-basedfieldvisitswithbiannualJointTechnicalreviewsandanannualWAShMultistakeholderforum

Averageabsorptionratesofcentralgovernmentcapitalcommitmentsarelowandshowadecliningtrend(Figure34)

FIGUre34Whatisthepercentageofofficialdomesticcapitalcommitmentsutilized

Source 2011 GLAAS country survey (74 respondents) 2009ndash2010 CSO and GLAAS country survey

Drinking-waterabsorptionofcommitteddomesticfunds2011

Sanitationabsorptionofcommitteddomesticfunds2011

trendfrom2009to2011(38countries)

Whatisthepercentageofdomesticcapitalcommitmentsutilized

Absorptionratesndashdomesticcommitments2011

30

AnanalysiswasundertakentoidentifycountrieshavinghighorlowcapacitytouseorabsorbfundsagainsttheirWAShfundingneedsTodothisafinancialldquoabsorptioncapacityrdquoindexwascreatedwhichamalgamatedcountryresponsesoninvestmentprogrammesdomesticanddonorabsorptioncapacityandwhetherfundinglevelsforlocalgovernmentsandoperatingentitieswereinlinewithdecentralizationpoliciesThisindexwascomparedwithcountryresponsesonthesufficiencyoffundingTheresultsconfirmpreviousevidence(WaterAid2011b)suggestingthatthosecountriesingreatestneedandthatalsolackthecapacitytoabsorbandspendfundseffectivelyarehinderedbyfundersthatarereluctanttoinvestmdashthuscreatingaviciouscycleThissuggeststhatimprovementsininvestmentplanningandfinancialprocurementcouldmakeapositivedifferencetowardsimprovingfundingsufficiencyandcreatingavirtuouscycleresultsforurbandrinking-waterareshowninfigure36

theUnitedrepublicoftanzaniaidentifiesfactorsforpoor

utilizationofaid

ApublicexpenditurereviewofthewaterandsanitationsectorintheUnitedrepublicofTanzaniain2009(vandenBergetal2009)identifiedthelackofpredictabilityofdonordisbursementsasamajorreasonforpoorutilizationofaidldquoUnpredictabilityislinkedtothefollowingfactors(i)theplanningandimplementationofdonorfundingisnotalignedwiththegovernmentrsquosbudgetcalendarespeciallyifthegovernmentanddonorcountriesworkwithdifferentfinancialyears(ii)theuseofparallelsystemsthatmakeithardtoobtainfullinformationontheexpectedassistanceflowsand(iii)theseasonalityinprojectimplementationrdquoTheseinefficienciesarefurtherexacerbatedbythefragmentationofdonorfundingwhichresultsinhightransactioncostsfordonorsandgovernmentalike

Averageabsorptionratesofdonorcapitalcommitmentsareevenlowerthandomesticcapitalabsorptionrates(Figure35)

FIGUre35Whatisthepercentageofdonorcapitalcommitmentsutilized

Sources 2011 GLAAS country survey (74 respondents) 2009ndash2010 CSA and GLAAS country survey

Drinking-waterabsorptionofcommitteddonorfunds2011

Sanitationabsorptionofcommitteddonorfunds2011

trendfrom2009to2011(38countries)

Whatisthepercentageofdonorcapitalcommitmentsutilized

Absorptionratesndashdonorcommitments2011

31

3 fiNANciNG

Keyobservationsassociatedwithfinancialabsorption

ArecentWaterAidreport(WaterAid2011a)highlightskeyobservationsassociatedwithfinancialabsorptioncommontoinfrastructuresectors

bull highabsorptionratesappeartobeagoodindicatoroftheoverallhealthandefficiencyofthesector

bull comparisonofWAShwithothersectorssuggeststhatgenericissuessuchasthequalityofpublicfinancialmanagementorprogressondecentralizationhaveanimpactacrossallbasicservicesectors

bull capitalbudgetsaremorelikelythanrecurrentbudgetstobeunderspentsotherelativelycapital-intensivenatureofWAShplacesitatgreaterrisktoabsorptionconstraintsprocurementprocessesmayalsohavecontributedtoWASh-specificabsorptionproblems

bull DonorfundsaremuchmoresusceptiblethannationalfundstodelayandunderspendingWiththemajorityofdonorfundsallocatedtocapitalbudgetsthisoverlapswiththepreviousbulletbuttheevidenceshowsthatdonorprocurementandreportingrequirementsaretooburdensomeonalready-strainedgovernmentcapacity

bull Thechallengesforeffectiveabsorptionaregreateracrossallsectorsinfragilestates

Manyofthesamerespondentcountriesthatindicatealackoffinancingasaconstraintmaynothaveaninvestmentprogrammeinplaceorhavelowusageratesfordomesticandexternaldonorcommitments(Figure36)

Inde

x of

cap

acity

to in

vest

and

abs

orb

fund

s

Low

M

ediu

mH

igh Ethiopia

Kyrgyzstan

Angola Cameroon Indonesia Mongolia Rwanda Thailand

Uzbekistan Zimbabwe

Azerbaijan Bhutan

Iran (Islamic Republic of) Morocco

Nepal Panama

South Africa Sri Lanka

Bangladesh Central African Republic Benin

Chad FijiEl Salvador

Gambia Lebanon Egypt Guinea Mali Ghana Jordan

Lao Peoplersquos Democratic Republic Madagascar

Mozambique Niger

Kenya Lesotho

Philippines TajikistanSenegal

South Sudan Timor-Leste Viet Nam

Cocircte drsquoIvoire Democratic Republic of the Congo

Dominican Republic Guinea-Bissau

Haiti

Cambodia Equatorial Guinea

Myanmar

Bolivia (Plurinational State of) Paraguay

Honduras Mauritania

Sierra Leone Togo

Countries where low capacity to spend funds and high funding lt50 of funds needed 50ndash75 gt75 of funds

needs cause of concern of funds needed needed

Sufficiency of funds to meet MDG target

FIGUre36Sufficiencyoffundsversusinvestmentandabsorptioncapacity(urbandrinking-water)

Noteindexbasedonatotalscoreforfourquestionsincluding1)isaninvestmentprogrammeimplemented2)Percentageofdonorcapitalcommitmentused3)Percentageofdomesticcapitalcommitmentused4)isfundnginlinewithdecentralizationpoliciesThisanalysissimilartoothersinthisreportisbasedonself-reportedcountrydata

Source 2011 GLAAS country survey (57 respondents)

32

34 fiNANciAlMoNiToriNGANDTrANSPAreNcyhoWcANWeTrAcKWhATiSBeiNGSPeNT

comprehensivemonitoringofbudgetsandexpenditureatdifferentlevelsofgovernmentandfromallsourcesofrevenuecaninformresourcetargetingitprovidesabetterunderstandingofrelativeabsorptionratesandtheeffectivenessofpoliciesandprogrammesandcanprovideinsightintothecost-effectivenessofapproachesusedtoreachWAShtargetsSeveralrespondentcountriesindicatedthatlackofamonitoringframeworkandpost-projectfinancialassessmentsconstrainedfinancialplanning

Transparentbudgetsandpublicationoffinancialstatementsenablestakeholderstoidentifyprioritiesfundingsourcesandpotentialfundinggapsfigure38highlightshowrespondentcountriesareprogressingintermsofbudgettransparencyandcomprehensiveness

furtherdiscussionoffinancinginthisreport(ieAnnexB)willfocusonthedevelopmentofastandardmethodologyfortrackingfinancialflowstosanitationanddrinking-wateratnationallevelsTheabilitytotrackfinancialflowscanhelpgovernmentsindecision-makingandmakethebusinesscaseforincreasinginvestmentsinWAShasawhole

over60ofcountrieseitherhavenofinancialinformationmanagementsystemsinplaceoruseonethatprovidesonlypartialinformation(Figure37)

FIGUre 37 is there a financial information management system to trackinvestments and expenditures in drinking-water sanitation and hygienepromotionatanationallevel

Source 2011 GLAAS country survey (74 respondents)

Useoffinancialsystemsinruralareas

Isthereafinancialinformationmanagementsystemtotrackinvestmentsandexpendituresindrinking-watersanitationandhygienepromotionatanationallevel

Consolidatedbudgetandexpenditureinformationonsanitationisreportedlyavailableforonly40ofcountryrespondents(Figure38)

Required by national policy or regulation

Urban utilities have audited accounts and balance sheet Not requested for sanitation

Donor amp domestic expenditure

Expenditures vs budget reported in consolidated format

Yes all government levels

Budget structure allows separate sectors to be identified

gt75 of funds on budget

Budgets reflect both domestic Drinking-water and donor investment Sanitation

0 20 40 60 80 100 of responding countries

FIGUre38comprehensivenessoffinancialstatementsandtransparency

Source 2011 GLAAS country survey (74 respondents)

33

3 fiNANciNG

35 WAShiNveSTMeNTProGrAMMeSDocoUNTrieSKNoWhoWMUchTheyWillNeeDToSPeNDiNfUTUre

investmentprogrammeshelptodefineandprioritizecapitalneedsmatchexpectedresourceswithcostsofinfrastructureandprogrammesandimproveintergovernmentalcoordinationpredictabilityandtransparencyofbudgetingandexpenditureManyrespondentcountriescitethedevelopmentorimplementationofinvestmentprogrammesassignificantachievementsinrecentyearsTheseprogrammescanalsobelinkedtoastrategicfinancialplanningprocessthatanswersquestionssuchaswho(eguserstaxpayersdonors)shouldpayforwhat(ieoperatingcapitalexpenseswatersanitationruralurbanperiurbanareas)andwhatshouldbethefutureservicelevelThestrategicfinancialplanningprocessdetermineshowmuchmoneyisneededandwhereitwouldcomefrom(oecD2009b)

ldquoTheplannedmid-termexpenditureforsanitationdevelopmentof2010ndash2014increasesaroundfourtimescomparedtosanitationbudgetintheperiodof2005ndash2009rdquomdashIndonesia 2011 GLAAS country survey response

WASHinvestmentprogrammingmaybeimprovinggloballymdash62ofrespondentcountrieshaveestablisheddrinking-waterinvestmentprogrammesand40haveestablishedsanitationinvestmentprogrammes(Figure39)

FIGUre39isthereaninvestmentprogrammethatisagreedandpublished

Sources 2011 GLAAS country survey (74 respondents) 2009ndash2010 CSO and GLAAS country survey

Drinking-waterinvestmentprogrammes2011

Sanitationinvestmentprogrammes2011

trendfrom2009to2011(38countries)

Isthereaninvestmentprogrammethatisagreedandpublished

Statusofinvestmentprogrammes2011

34

36 ADeQUAcyoffiNANce

The2010GlAASreport(Who2010)indicatedthatfewcountrieshadsufficientfinancialresourcestoachievetheirreportedtargetsinfactonly10countrieswerereportedtohavemorethan75ofthefundsneededforsanitationMorerecentdatacollectedinthe2011GlAAScountrysurveysuggestthatdomesticbudgetallocationsforsanitationanddrinking-waterhavebeenincreasingforsomecountriesduetothedevelopmentofinvestmentplansandstrongerpoliticalcommitmenthowevermostrespondentcountriesstillreportashortageofadequatefinancialflowstomeettargetsandthatbudgets

frequentlyfallshortofspendingagreedininvestmentplans

Asevidencethatexpendituresareincreasingforsanitationanddrinking-waterfivecountriesthatreportedinboththe2009and2011GlAAScountrysurveyswerecomparedasshowninTable35fouroutofthefivecountriesindicatedincreasesinexpenditurestothesector

ldquoAStrategicenvironmentalSanitationinvestmentPlaniscurrentlybeforecabinetpendingapprovalThiswillcontributesignificantlytoimprovedsanitationfinancingmdashincreasedandpredictablefundingaswellasbettertargetingofthefundsrdquomdash Ghana 2011 GLAAS country survey response

tABLe35comparisonofexpendituresforsanitationanddrinking-water(2008ndash2010)

Country Sanitationanddrinkingwaterexpenditure(US$million)

2008 2010

BurkinaFaso 258 159

Kenya 286 355

Lesotho 33 118

Madagascar 13 107

Nepal 77 128

Sources 2011 GLAAS country survey 2009ndash2010 CSO and GLAAS country survey

Whilefinancialresourcesforsanitationanddrinking-waterhaveincreasedinsomecountriestotalfundingisreportedtoremaininadequateespeciallyforsanitation(Figure310)

Sanitationadequacyoffinancing2011

ArefinancialflowssufficienttomeetMDGtargets

Drinking-wateradequacyoffinancing2011

trendfrom2009to2011(38countries)Adequacyoffinancing2011

FIGUre310ArefinancialflowssufficienttomeetMDGtargets

Sources 2011 GLAAS country survey (74 respondents) 2009ndash2010 CSO and GLAAS country survey

35

3 fiNANciNG

37ADeQUAcyofreveNUeToSUSTAiNUrBANWATerSUPPlyoPerATioNS

GlAAScountryrespondentsreportedthatutilitieswerenotevenabletorecoveroperationandminormaintenancecoststhroughuserfeesletalonethecriticalcostsoflong-termcapitalmaintenanceManyrespondentcountriescommentedonexistinginfrastructurebeinginapoorstateofrepairoftenasaresultofalackoffundsforpreventiveandcorrectivemaintenancefordrinking-waterthiscanresultinapoorlevelofservicepoorwaterqualityorhighnon-revenuewaterWithtimedegradationoftheinfrastructurewillprogressandcanrapidlyresultinaneedformorecostlymajorassetreplacement

Threepolicyorimplementationaspectsofurbanwatermanagementthatmaypositivelyinfluencerevenuegenerationinclude

bull conductingtariffreviewsandperformingadjustmentsaccordinglymdashoverhalfofcountriesindicatethaturbantariffsarenotreviewedornotadjusteduponreview

bull Decision-makingauthoritymdashoverhalfofcountriesindicatethaturbanutilitiesdonothavedecision-makingauthoritywithrespecttoinvestmentplanning

bull Achievingreductionsinnon-revenuewatermdashoverthreequartersofcountriesindicatethatnon-revenuewaterismorethan20ofwaterproduced

onethirdofcountriesindicatethatrevenuescoverlessthan80ofoperatingcostsforurbanutilities(Figure311)

Non-revenuewaterreductionforefficientmanagementofurbannetworks

Unbilledwaterproducedbyautilitymdashnon-revenuewatermdashtogetherwithotherindicatorssuchaslossesperconnectionorlossesperkilometrecanbeanindicatoroftheldquohealthrdquoofawaterutilityThenon-revenuewaterindicatedbyrespondentstothe2011GlAAScountrysurveycorrespondstotheaveragefigureof31forutilitiesworldwidequotedbytheinternationalBenchmarkingNetworkforWaterandSanitationUtilities(vandenBergampDanilenko2011)Areductionofnon-revenuewatercanalsohelptogeneratefinanceforcapitalmaintenanceandfurtherinvestmentaswellasreducethestrainonscarcewaterresources

FIGUre311Areoperationandminormaintenancecostsforutilitiescoveredbyuserfees

Source GLAAS 2011 country survey (66 country respondents)

34

24

42

Operating ratio greater than 12

Operating ratio between 08 and 12

Operating ratio less than 08

38 iMPlicATioNSforThefUTUre

ThissectiondescribesthesourcesvolumeandtargetingoffundingforWAShThelimiteddatasubmittedsuggestthathouseholdscentralgovernmentandexternaldonorsallcontributesignificantlytoWAShfundingThedataindicatethatfundingisnotnecessarilytargetedtothoseinneedthattheWAShsectorfrequentlyhasdifficultyabsorbingfundingandthatallocationsmaynotbesufficienttosupportsustainable

operationandmaintenanceThesectionoverwhelminglyhighlightsalackofrobustinformationonWAShfinancingitconfirmsthatfinancialdataaregenerallynoteffectivelytrackedandthusnotavailabletoinformdecision-makingStrengtheningthemonitoringoffinancialflowsThroughamethodolgythatensuresharmonizationcomparabilityandconsistencyisurgentandrequiredAproposedmethodologyispresentedinAnnexB

LiberiaCompact

inlate2010followingsuccessfulparticipationatthefirstSWAhighlevelMeetingtheGovernmentofliberiaactivelyengagedSWApartnerstomobilizeresourcesinsupportofliberiarsquosWAShsectorinApril2011theSWApartnershipundertooktosupportnational-levelwaterandsanitationplanninginliberiawithajointPartnerMissionTheMissiontookplaceundertheleadershipoftheGovernmentofliberiaincludingparticipationbyPresidentellenJohnsonSirleafandseveralministersitsetinmotionaprocesstostrengthenplanningandbothmultiministerialandmultidonorcoordinationTheMissionengagedliberia-basedandexternalSWApartnersincludingtheGovernmentofGhana(asGhanahadrecentlycreatedacompactofitsown)theDutchdevelopmentagency(Directorate-Generalforinternationalcooperation)theUnitedStatesAgencyforinternationalDevelopmenttheAfricanDevelopmentBankcivilsocietypartnersWaterAidtheWorldBankrsquosWaterandSanitationProgramUNicefandtheUnitedNationsDevelopmentProgramme(UNDP)TheMissionresultedinatwo-yearcompactformalizinganagreementamongtheministriesdevelopmentpartnersandcivilsocietyorganizationssettingoutactionsinthekeyareasofinstitutionalreformserviceprovisionsectormonitoringandfinancingTheMissiondemonstratedhowinternationalsupportcanbetranslatedintonational-levelactionmdashincreasinglocalownershipimprovingcoordinationandimportantlymakingtheWAShsectormoreldquoinvestmentreadyrdquotobothfinanceministriesanddevelopmentpartnersinacountrywherewatercoverageandsanitationcoverageareestimatedtobeonly73and18respectivelytheMissionandtheresultingWAShcompactareseenascriticalstepsindeliveringsustainableandequitableaccess

36

23 HumanHumanresources44 resources

KeyMeSSAGeS

bullonehalfofcountriesdidnotreportonhowmanyWAShstaffwereinplaceindicatingasignificantlackofinformationonhumanresources

bullonly40ofrespondingcountriesreportedsufficienthumanresourcestooperateandmaintainurbandrinking-watersystemsandlessthan20fordrinking-watersystemsinruralareas

bullTherewasaperceivedacuteshortageofextensionstaffforsanitationandhygienepromotion

bullWomenmakeuplessthan10oftheprofessionalormanagerialwaterandsanitationstaffinhalfofthecountriesthatrespondedtothesurvey

bulllackofadequatefundingandlackoftechniciansandskilledlabourarecommonlyreportedbarrierstoachievingsustainability

4 hUMANreSoUrceS

operatingandmaintainingsanitationanddrinking-watersystemsanddeliveringsanitationanddrinking-waterservicesrequireadiverserangeofpeoplewithavarietyoftrainingexperienceandskillsincludingmanagersplannersengineerslaboratorytechniciansmicrobiologistsmasonsplumbersandhygienepromotersWhatmakessanitationanddrinking-waterperhapsmorecomplexstillistheinvolvementofabroadrangeofgovernmentbodies(frequentlytwoorthreeministriesatthenationallevelfurthermultipliedatlowerlevelsofadministration)ThisinstitutionalinfrastructureiscomplementedbyparastatalauthoritiesandnongovernmentalentitiesincludingtheprivatesectorandcivilsocietyorganizationsthataredirectlyinvolvedinplanningdesignandimplementationThehumanresourcesavailabletoensurethatadequatesanitationanddrinking-waterservicesaredeliveredandsustainedarethereforeanaggregateofthehumanresourcecapacityofallthesedifferentinstitutionscoordinationamongthedifferentorganizationsisessentialwhenitcomestooverallhumanresourceplanningforsanitationanddrinking-water

Thehealthsectorplaysavitalroleinpromotingsanitationandhygieneinmanycountriesaswellasinmonitoringthesafetyofdrinking-watersuppliedtousersinadditiontheeducationandhealthsectorsneedtoensurethatdrinking-waterandsanitationfacilitiesareprovidedandmaintainedintheirschoolsclinicsandhospitals

inthiscomplexanddiverseinstitutionallandscapeitisadauntingtasktodeterminetheroleofeachorganizationandtomapthehumanresourcecapacityandrequirementstodelivertheservicesneededThereforeitshouldcomeasnosurprisethatsomecountrieshadproblemsreportingtoGlAASonhumanresourceissuesThatsaidmanycountriessuggestedthattheircapacitytomeettheMDGtargetswascriticallyhamperedbyalackofhumanresources

41 ADeQUAcyofhUMANreSoUrceDATA

Nearlyonehalfofthecountriessurveyedwereunabletoanswerthequestiononhowmanystafftheyhadinplaceforeitherdrinking-waterorsanitationin2011ofthosethatwereabletorespondtheanswersvariedwidelyforexamplecertaincountriesreportedhavingfewerthan10staff

workingondrinking-wateratthecentrallevelwhereasothercountriesreportedstaffnumbersinthethousandsorhigherWhilethishighlightssomeapparentserioushumanresourceshortagesinwaterandsanitationthevariationmayalsocastdoubtsonthereliabilityofavailablecountrydataonlyonethirdofrespondingcountrieswereabletoindicateanticipatedstaffinglevelsorprojectedstaffingneedsfor2016

Assessinghumanresourcecapacity

ldquoMindtheGaprdquoastudyfundedbytheUnitedKingdomDepartmentforinternationalDevelopmentandledbytheinternationalWaterAssociationcommencedin2008andpilotedthefirstmethodofitskindforsanitationanddrinking-watertocollectdataonhumanresourcegaps(skills)andshortages(numberofworkers)atthenationallevelinitialconclusionsindicatethat

bull Decentralizationisoftennotaccompaniedbythenecessarytransferofhumanandfinancialresources

bull Graduateslackpracticalexperienceinpartduetoinadequatecoordinationbetweeneducationalinstitutesandemployers

bull PrivatecompaniesNGosanddonoragenciestendtoattractthemostskilledlabourwiththehighestqualificationsbutthereisalsostrongcompetitionfromcutting-edgeindustriessuchasthetelecomindustryandmarketingcompanies

bull lowsalarieslackofbenefitsandpoorworkingconditionsinthepublicsectorespeciallyforthoseworkinginremoteareasmakeitdifficulttoattractandretaingoodstaff

followingthisinitialstudyinfivecountriestheinternationalWaterAssociationwiththeassistanceoftheAustralianAgencyforinternationalDevelopmentandtheUnitedStatesAgencyforinternationalDevelopmentiscarryingoutsimilarassessmentsofhumanresourcecapacityinafurther10countrieswithcertainadjustmentsofthemethodtoobtainevenmorerobustandreliabledata(iWA2011)

ethiopiarsquosHealthextensionprogramme

ThehealthextensionProgrammeinethiopiawaslaunchedin2003inresponsetoalackoftrainedhealthworkersWomenareselectedwhohavemorethan10yearsofformaleducationandwhowanttoworkintheircommunitieshealthextensionworkersaregiventrainingonfamilyhealthpreventionandcontrolofcommunicablediseaseshygieneandenvironmentalsanitationandhealtheducationandcommunicationBy2009therewere30000healthworkersThesuccessofthisprogrammeisaresultofinvestmentintrainingbydonorswidespreadacceptancewithincommunitiesandinvestmentininformationsystemsonfamilyhealthdemographicdataanduseofservices

38

42 SUfficieNcyofSTAffiNG

Somecountriesthatreportedonwaterandsanitationstaffinglevelsprovidedastaffingfigureoffewerthan1000fortheentirecountry(egcoveringcentralandlocalstaff)Whileacknowledgingthattheseestimatesmaybeinaccuratetheyneverthelesspointtoamassivegapinavailabledrinking-watersanitationandhygienestaffoftenintheverycountriesthataremostseriouslyoff-tracktomeettheMDGtargetsforexamplefewcountriesreportedhavingsufficientstaffinplacetomeettheirneedsforhygienepromotion

Humanresourcecommitments

AspartoftheSWAinitiativeanumberoffirmcommitmentsrelatingtoidentifyingandaddressinghumanresourcecapacitygapsweremadebyseveralcountriesatthe2010highlevelMeetingsomewerereaffirmationsofexistinginitiativesforexampleinTimorlestethegovernmentisimplementingextensivetrainingprogrammestobuildhumanresourcecapacityAngolahasalsoreconfirmeditsintentiontoaddresshumanresourcecapacitygapsatalllevelsaswellasestablishingaprofessionaltrainingcentreforthewaterandsanitationsectorSomecountriesweresignificantlyinfluencedbythemessagesconveyedatthehighlevelMeetingMauritaniaforexamplecommittedtohireandtrainsufficientstaffindecentralizedhydraulicsandsanitationservicesandreportsgoodprogressinthisregard

furtheronly40ofcountriesreported Staffingisalsoaconcerninruralhavingsufficientstafftomeetthe sanitationwherelessthan20ofoperationandmaintenanceneedsof respondentcountriesconsiderthetheirurbandrinking-watersystems supplyofskilledlabourandtechniciansforruraldrinking-watersystemsthe adequatelydevelopedtomeettheirsituationwasworsewithlessthan20 needs(figure42)ofcountriesreportingsufficientstafftooperateandmaintaintheirsystems(figure41)evenwhereruralschemesaredesignedtobehandedovertocommunitiessomedegreeofoversightandsupportbytechnicallyqualifiedpeopleisrequiredWithoutthemsystemsareboundtomalfunctionandcommunitieshavenochoicebuttoreturntoaccessingunimprovedwatersources

Countriesreportinsufficientstafftooperateandmaintainurbanandruraldrinking-watersystems(Figure41)

FIGUre41 is theresufficientstaff tooperateandmaintainurbanand ruraldrinking-watersystems

Source 2011 GLAAS country survey (67 country responses)

Yes sufficient to meet demand

Yes but insufficient to meet demand

No

Num

ber o

f cou

ntrie

s Urban drinking-water Rural drinking-water

27

40

2 11

51

7

0

10

20

30

40

50

60

Lessthan20ofrespondentcountriesconsiderthesupplyofskilledlabourandtechniciansadequatelydevelopedtomeetneedsinruralsanitation(Figure42)

FIGUre 42 Are there sufficient supply-side artisanstechnicians to meetneedsinruralsanitation

Source 2011 GLAAS country survey (73 country respondents)

18

68

14

Capacity well developed

Capacity under development

None

39

4 hUMANreSoUrceS

43 STAffiNceNTiveSANDcoNTiNUiNGeDUcATioN

countriesreporthavinginsufficientincentivesfordrinking-watersanitationandhygienestaffStrengtheningmotivationcanbefosteredbyanumberoffactorsincludingcreatingopportunitiestodevelopskillsandincreaseexperienceAlthoughmanycountriesreportthatsuitablein-countryeducationandtraininginstitutionsdoexisttheyalsoreportthatthereareinsufficientcoursesavailabletomeettheneedsoftheexistingstaffMappingoftraininginstitutionsthatofferappropriatecourseswouldbeanimportantfirststepinstrengtheninghumanresourcecapacityacrosstheregionsThepossibleroleofnationalinstitutionsforpublicadministrationandmanagementneedstobeexploredastheseusuallyprovidetrainingforcivilservantsirrespectiveofthesectorinwhichtheyworktheycanthereforecontributetoovercomingthefragmentationofthehumanresourcebaseandoftheinstitutionalenvironmentinwhichpeopleoperate

44 GeNDer

GiventhecentralrolethatwomenplayincontributingtoimprovingaccesstoWAShcountrieswereaskedtoreportontheproportionoffemalestaffforsanitation(includingbothprofessionalandskilledworkerssuchashygienepromoters)andfordrinking-water(professionalworkersonly)inthestaffingforbothsanitationanddrinking-waterwomenareaclearminorityhalfoftheGlAASrespondentcountriesreportedthatwomenmakeuplessthan10oftheprofessionalmanagerialstaff

45 BArrierSiMPeDiNGDeveloPMeNTofhUMANreSoUrceS

countrysurveyrespondentswereaskedtoidentifythemostcriticalfactoraffectingtheadequacyofhumanresourcelevelsindrinking-waterandsanitationatseverallevelsofgovernmentandforbothprofessionalsandtechnicalskilledworkersAcrosstheboardinsufficientbudgettohireandretainstaffwasviewedasthemostlimitingfactoraffectinghumanresources(figure44)Theresponsesalsoindicatethatthelackofqualifiedapplicantsplaysalargerroleinstaffingatthelocalandregionallevelsthanatthenationalorutilitylevel

Inmostcountriesthereareopportunitiesforcontinuingeducationandtrainingbuttheopportunitiesareinsufficienttomeettheneedsofthestaff(Figure43)

Yes sufficient to meet demand

Yes but insufficient to meet demand

None

Sanitation Drinking-water

8

48

14 7

58

7

0 10 20 30 40 50 60 70

Num

ber o

f cou

ntrie

s

FIGUre43istherecontinuingeducationprovidedforstaff

Source 2011 GLAAS country survey (72 country responses)

Sanitation Drinking-water

Inadequatebudgetisthereasonmostfrequentlycitedforalackofstaff(Figure44)

Sanitation Drinking-water

50 45 40 35 30 25 20 15 10 5 0

Not enough qualified

applicants

Inadequate budgets

Work context constraints

Other barriers No barrier

o

f res

pons

es(a

ll po

sts

and

gove

rnm

ent l

evel

s)

FIGUre44Mostprevalentreasonsforstaffshortagescitedbycountries

Source 2011 GLAAS country survey (65 country respondents)

Sanitation Drinking-water

40

46 hUMANreSoUrcePlANNiNG

Anumberofcountrieshavealreadydevelopedhumanresourcestrategiesfordeliveringsanitationanddrinking-waterserviceswhereasanevengreaternumberaredevelopingtheirhumanresourcestrategiesAminorityofcountrieshavenospecifichumanresourcestrategyforsanitationanddrinking-water(figure45)SeveralrespondentcountriesinthelatinAmericaandcaribbeanregionpointedtotheformulationofahumanresourcestrategyandtoplanningaspriorityareasindicatingthatalackoftargetsprogrammesandspecificpoliciesforhumanresourcemanagementareobstaclestoattractingandretainingqualifiedpersonnelforsanitationanddrinking-water

ldquolargelyduetothelackofprogrammesinthemediumandlongtermthethreespheres(federalStateandMunicipal)ofgovernmentpoliciesforhumanresourcesarestillprecariousirregularandunsystematicrdquomdash 2011 GLAAS country response from Latin America and Caribbean region

Mostcountrieseitherhaveoraredevelopinghumanresourcestrategiesforsanitationanddrinking-water(Figure45)

Sanitationhumanresources2011

Arehumanresources(Hr)addressedinnationalstrategies

YesandHRprogrammesdevelopedforbothurbanandrural

YesandHRprogrammesdevelopedforurbanorrural

HRprogrammesunderdevelopment

HRprogrammesunderdevelopmentforurbanorrural

No

Notasurveyparticipant

Datanotavailable

Notapplicable

Humanresources(Hr)2011

Sanitation384032 Drinking-water

3035

2625 21

182015 81050

YesandHRprogrammes YesbutHRprogrammes Noimplemented underdevelopment

trendfrom2009to2011(38countries)

Drinking-water

Sanitation

2009 2011

2009 2011

0 10 20 30 40 50 60 70 80 90 100

of countries that have addressed human resources in national strategy

FIGUre45Arehumanresourceshraddressedinnationalstrategies

Source 2011 GLAAS country survey (74 country respondents)

Drinking-waterhumanresources2011

Num

bero

fcou

ntrie

s

41

4 hUMANreSoUrceS

47 iMPlicATioNSforThefUTUre

ThissectionshowsthatsignificantlygreatereffortsarerequiredtoassesshumanresourcecapacitygapsandneedsThisisasignificantchallengegiventhecomplexitiesofhumanresourceplanningThisplanningincludingthedevelopmentofpostdescriptionsrequiresanappreciationofthosecompetenciesandskillsneededforthedeliveryofservicesnowandinthefutureitdemandsanunderstanding

oftheadequacyofsecondaryandtertiaryeducationalinstitutionstorespondtosocietalneedsitalsorequiresawarenessofthedemandforskilledstaffbytheprivatesectorTacklingthisalreadydifficulttaskisimpededbytheexistingpaucityofdataonhumanresourceswithinthevariousorganizationsresponsibleforplanningdesigningandimplementingWAShsystemsandservicesfurtherstudyisalsorequiredtounderstandtheimpactofaninsufficienthumanresourcebaseonthecapacityofcountriestoabsorbandusefunds

UN-WaterGlAASwillworkwithrelevantpartnerstodevelopasuitablemethodthatultimatelywillenablecountriestoassessthedemandforappropriatelyskilledpeopleAtthesametimegovernmentswillneedtoensurethattherightinstitutionalenvironmentandcareerdevelopmentincentivesareinplacefortheseopportunitiestobeseizedinorderbothtoincreaseWAShservicestotheunservedandtomaintainexistingservices

42

equity5

KeyMeSSAGeS

bullNearly80ofcountriesrecognizetherighttowaterandjustoveronehalftherighttosanitationProgressiverealizationoftheserightscanoccurascountriesrecognizetheirlegalobligationtosetoutandimplementpoliciesandprogrammesthatensureequalitypublicparticipationandaccountability

bullotherimportantaspectsofrealizingtherightstowaterandsanitationincludetargetingresourcestounservedpopulationsandensuringthattheseresourcesareutilizedeffectivelyandfairlywithoutdiscriminationhoweverjustoneinfivecountriesconsistentlyapplyequitycriteriainfundingallocationsforsanitationwhereasonethirdapplyequitycriteriatodrinking-waterinvestments

bullover60ofcountrieshavedefinedequitycriteriabutmostreportthattheyarenotsystematicallymonitored

bulloverhalf(57)ofcountriesindicatethatserviceprovidersreportperformancetotheircustomers

bullStrengtheningparticipatoryprocessesthroughwhichcommunitiesaremadeawareoftheirrightscanleadtogreaterownershipmoreinvolvementinoperationandmaintenanceandimprovedsustainabilityofsanitationandwaterservices

5 eQUiTy

inequitybetweenandwithincommunitiesinallocationofresourcesandthecorrespondingoutputsremainsaseriouschallengeforexamplelocalpoliticsmayinfluenceresourceallocationsinsuchawaythatcommunitieswithsufficientwaterandsanitationreceivemorefundingforwaterandsanitationthanthosewithoutequityandnon-discriminationcanbepromotedbytargetingresourcestothosefacingsignificantlimitationsinindependentlyaccessingWAShsuchaswomenpeoplewithdisabilitieschildrenorthechronicallyill

51 hUMANriGhTSToWATerANDSANiTATioN

GovernmentsthathaverecognizedtherightstowaterandsanitationthroughinternationaltreatiesandornationallegislationareobligedtoestablishastrategyorplanofactiontoensurethattherightsarerealizedGovernmentsneedtotaketheleadwiththesupportofallrelevantstakeholdersintakingconcretestepstoprogressivelyrealizeuniversalaccesstowaterandsanitationThisimpliesdevelopingandimplementingstrategiestoprioritizeprovisionofservicestothosewithoutaccessmdashoftenpoorvulnerableandmarginalizedgroups

reCoGNItIoNoFtHerIGHtStoWAterANDSANItAtIoNNearly80ofrespondentcountriesindicatethattherighttowaterisfullyrecognizedinpolicyorlegislation(figure51)andover50fullyrecognizetherighttosanitation(figure52)Whilecountrieshavecitedtherecognitionoftheserightsasamajoraccomplishmenttranslationofthesestatedrightsintoconcreteorexplicitequityandnon-discriminationprovisionsandpro-poorpoliciesandstrategiesappearstobeinitsearlystages

Nearly80ofrespondentcountriesindicatethattherighttowaterisfullyrecognizedinpolicyorlaw(Figure51)

FIGUre51istherighttowaterexplicitlyrecognizedinpolicyorlaw

Source 2011 GLAAS country survey (74 country respondents)

Istherighttowaterexplicitlyrecognizedinpolicyorlaw

over50ofrespondentcountriesindicatethattherighttosanitationisfullyrecognizedinpolicyorlaw(Figure52)

FIGUre52istherighttosanitationexplicitlyrecognizedinpolicyorlaw

Source 2011 GLAAS country survey (74 country respondents)

Istherighttosanitationexplicitlyrecognizedinpolicyorlaw

Internationalmilestones

in2002theUnitedNationscommitteeoneconomicSocialandculturalrightsaffirmedthatwaterwasahumanrightinitsGeneralcommentNo15whichstipulatesthattherighttowaterentitleseveryonetosufficientsafeacceptablephysicallyaccessibleandaffordablewaterforpersonalanddomesticuses(UNeconomicandSocialcouncil2002)in2010theUNGeneralAssembly(2010)andtheUNhumanrightscouncil(2010)adoptedresolutionsrecognizingsafeandcleandrinking-waterandsanitationasbasichumanrights

ldquoThehumanrighttosafedrinkingwaterandsanitationisderivedfromtherighttoanadequatestandardoflivingandinextricablyrelatedtotherighttothehighestattainablestandardofphysicalandmentalhealthaswellastherighttolifeandhumandignityrdquomdashUN Human Rights Council (2010)

44

CoMpLAINtMeCHANISMSANDLeGALreMeDIeSWhenacountryrecognizestherightstowaterandsanitationitisboundbythreetypesofobligationstorespecttoprotectandtofulfilthosehumanrightsfirststatesmustrefrainfrominterferingdirectlyorindirectlywiththeenjoymentoftherightstowaterandsanitationSecondstateshaveanobligationtopreventthirdpartiesfrominterferingwiththeenjoymentoftherightsAndthirdstateshavetoadoptthenecessarymeasuresdirectedtowardsthefullrealizationoftherightstowaterandsanitationinamajorityofcountrieswheretherightstowaterandsanitation

arerecognizedcitizencomplaintmechanisms1andthepossibilitytojudiciallyclaimtheserightsareinplaceforinstance70ofrespondentcountriesthatrecognizetherighttowaterhaveindicatedthatthisrightcanbeclaimedinadomesticcourtand75indicatethateffectivecomplaintmechanismsexistforthosewhohaveunsatisfactoryaccesscountriesindicatethatuseofthesemechanismsisstilllimitedhoweverlikelybecausetherightsapproachisrelativelyrecentandthereisaconsequentlackofawarenessamongthepopulationandcivilsociety

CaseexampleIndigenouscommunityinBotswanasuccessfullyclaimslegalrighttowater

litigationcanoftenleadtoredressforindividualvictimswhilealsobringinggreaterlegalcertaintytoclaimsontherightstowaterandsanitationThisisofparticularimportanceincaseswherewateraccessmaybetiedtolandownershipforinstanceinJanuary2011thefinaljudgementwasdeliveredonalawsuitbroughtbyrepresentativesofagroupoftheBasarwaindigenouscommunitylivinginthecentralKalahariGamereserveinBotswanaunderthecountryrsquosWaterActtoenforcetheirrighttowaterThecommunityfounditselfinthepositionoflawfullyresidinginthereservebutnotbeingallowedtomakeuseoftheexistingboreholefortheirwaterneedsThecommunitysufferedfromthelackofaccesstowaternothavingsufficientwaterforpersonalhygieneandotherpersonalanddomesticusesleadingtoseriousconsequencesfortheirhealthThecourtnotedthatthecorrectinterpretationoftheWaterActallowedanyoneoccupyinglandtodrillboreholesfordomesticusewithoutaspecificwaterrightAdditionallyinformedbyGeneralcommentNo15ofthecommitteeoneconomicSocialandculturalrights(UNeconomicandSocialcouncil2002)andthe2010resolutionsoftheUNGeneralAssembly(2010)andtheUNhumanrightscouncil(2010)ontherightstowaterandsanitationthecourtupheldtheBasarwasrsquoclaimthatdeprivationofwatercanamounttodegradingtreatmentunderthecountryrsquosconstitution

twenty-threecountriesindicatethattherighttowaterandorsanitationhasbeenclaimedinadomesticcourt(Figure53)

12

32 28

16

33

21

0 5

10 15 20 25 30 35

Yes and claims filed Yes but no claims filed No

Num

ber o

f cou

ntrie

s

Sanitation Drinking-water

FIGUre53canpeopleclaimtheirhumanrighttosanitationanddrinking-waterinadomesticcourt

Source 2011 GLAAS country survey (72 country respondents)

Informingcitizensoftheirrightsandmechanismstolodge

complaintsinKenya

A2010pilotstudyledbytheUNDPinKenyarsquosBondoDistrict(APSconsultantsundatedUNDP2010)helpedspreadawarenessoftherighttogainregularaccesstosafeaccessiblesufficientandaffordablewaterbutalsoabouttheirresponsibilitiesPeoplewereinformedoftheirrightsandofamechanismtolodgecomplaintsspecificallyconcerningwatercorruptionandvandalismoneofthemainlessonslearntwasthatcommunitieshavenotbeensituatedaskeystakeholdersintheplanningdesignandimplementationofWAShprojectsasaresulttheirparticipationintheseprocesseshasbeenverylimitedTheprojecthighlightedthatwhererightsholdershadbeenpartofthedecision-makingtheyhadastrongersenseofownershipandweremoreinvolvedinoperationandmaintenancetoensuresustainabilityofthewatersupply

ldquocivilsocietyisnotawareofthehumanrighttodrinking-waterrdquomdashDemocratic Republic of the Congo 2011 GLAAS country survey response

1complaintmechanismscanbeusedbycitizenstovoicetheirconcernsregardingthelackofservicethequalityofthewaterandbillingandtariffissuestoreportvandalismblockagesandspillsetcWhiletheexistenceofcomplaintmechanismsiscitedasstandardgoodutilitypracticeitisalsoacriticalaspectinaparticipatoryapproachsetforthinthehumanrightsframework

45

5 eQUiTy

proGreSStoWArDSreALIzAtIoNTocreateanenvironmentconducivetotherealizationoftherightstowaterandsanitationcountriesareexpectedtoembracebasicprinciplesof1)non-discriminationandequality2)meaningfulparticipationindecision-makingandempowermentand3)accountabilityandtransparencyThroughtheGlAASquestionnairecountryrespondentswereabletoreportonalimitednumberofelementslinkedtotherealizationoftherightstowaterandsanitation

figure54showsthepercentageofrespondentcountriesthathaveappliedkeynon-discriminationorequityprovisionsinnationalstrategyandfundingdecisionsincludingwhethertheseprovisionsincludemarginalizedorvulnerablepopulationsThechartalsoshowswheretherearedefinedproceduresforlocalparticipationandthetransparencyofbudgetingandutilityperformancereporting

pUBLICreportINGoNperForMANCeToimproveaccountabilityandincreasetransparencywaterutilitiesare

progressivelyrecognizingthevalueofmeasuringandpubliclyreportingontheperformanceofservicesmdashonarangeofoperationalfinancialandtariffindicatorsPublicrecordsofperformanceallowforbenchmarkingwhichcreatesincentivestocontinuouslyimproveservicesMoreovercomparisonofcurrentperformancewithhistoricalperformanceorwithnationalorinternationalstandardsisexpectedtotriggerinternalreformsintermsofpolicy-makingandmonitoringbetterresourceplanningbetteraccountingauditingandprocurementandbetterperformance

Implementationofelementsassociatedwithrealizingtherightstowaterandsanitationremain

0 20 40

Drinking-water regulator Specific plans for serving the urban poor

Utility reporting of performance Specific provisions to address women Monitoring and action on affordability Equity criteria for funding allocations

Specific provisions for slums and informal settlements Specific provisions for people with disabilities

Defined procedures to support citizen participation Transparency of budgets

More than 25 of budget allocated to poor communities Equity criteria and targets for unserved

limited(Figure54)

Drinking-water

Sanitation

60 80 100 of responding countries

FIGUre54Progressonequityparticipationandaccountabilityelements (ofcountrieswithelementsorprovisionsappliedorimplemented)

Source 2011 GLAAS country survey (64 country respondents)

overhalf(57)ofcountriesreportthatserviceprovidersreportperformancetotheircustomers(Figure55)

8

31 31

20 24

28

0 5

10 15 20 25 30 35

Yes required by policy or regulation

Yes but done voluntarily or not systematically

No

Num

ber o

f cou

ntrie

s

Sanitation Drinking-water

FIGUre55Doutilitiesreporttheirperformanceresultstotheircustomersintheirannualreportorinbills

Source 2011 GLAAS country survey (72 country respondents)

enforcingbuildingcodesinGhanatoincreaseaccesstosanitation

Themajorityoflow-incometenantsinGhanalackaccesstosanitationfacilitiesintheirhomesdespiterequirementsthathousesincludealatrinemdashbuildingcodesandby-lawshavebeeninexistencesince1948Developersoftenmodifyplanstoexcludetoiletsinordertomaximizethenumberofroomstheycanrentout

46

52 USeofeQUiTycriTeriAToAllocATereSoUrceS

consistentuseofcriteriatoallocateresourcestounservedanddisadvantagedpopulationsisakeytooltoimprovetheequitableallocationofresourcesBudgetallocationoftentendstofavoururbanareaswhichresultsininequitableoutcomesbetweenruralandurbanareas

Inclusivewaterandsanitation

ldquoPersonswithdisabilitiesincludethosewhohavelong-termphysicalmentalintellectualorsensoryimpairmentswhichininteractionwithvariousbarriersmayhindertheirfullandeffectiveparticipationinsocietyonanequalbasiswithothersrdquomdashConvention on the Rights of Persons with Disshyabilities (UN General Assembly 2006)

MostdisabledpeoplelivewithoutaccesstoinclusivewaterandsanitationfacilitieswhichcanexacerbateimpairmentsandpovertyStigmaanddiscriminationcanalsoresultinthedenialofaccesstosanitationanddrinking-watermakingthedisabledevenmorevulnerableinGlAASanumberofcountrieshavewaterandsanitationpoliciesthatrefertopeoplewithdisabilitieshoweverforthemostpartconsiderationofpeoplewithdisabilitiestendstobeincludedonlyintheprojectsofNGos

onefifthandonethirdofcountrieshaveconsistentlyappliedequitycriteriainfundingallocationsforsanitationanddrinking-waterrespectively(Figure56)

Sanitationuseofequitycriteria2011

Drinking-wateruseofequitycriteria2011

Arethereagreedcriteriausedtoallocatefundingequitablytocommunitiesandaretheybeingapplied

Yesandconsistentlyappliedforbothurbanandrural

Yesandconsistentlyappliedforurbanorrural

Yesforurbanandruralbutnotconsistentlyapplied

Yesforeitherurbanorruralbutnotconsistentlyapplied

Noforbothurbanandrural

Notasurveyparticipant

Datanotavailable

Notapplicable

Useofequitycriteria2011Sanitation Drinking-water35 30 29 2730

25

Num

ber o

f cou

ntrie

s

13

25

19

Yes and they are applied Yes but not applied No

WaterAidanditspartnersinMadagascarhavemadethedrinking-watersupplysanitationandhygienefacilitiesinstalledmoreaccessibleThe

20 15 10 5 0remodifieddesignshavemadethe

waterandsanitationfacilitieseasierto consistently consistently useandmoreaccessibleformanyinthecommunitiesincludingchildren trendfrom2009to2011(38countries)olderpeoplethosewhoareillandpregnantwomen

2009

2009

2011

2011

0 10 20 30 40 50 60 70 80 90 100

of countries using equity criteria in funding allocation

Source Randrianarisoa (2010) Drinking-water

Sanitation

FIGUre 56 have criteria been agreed to allocate funding equitably tocommunitiesandaretheybeingapplied

Source 2011 GLAAS country survey (74 country respondents)

47

5 eQUiTy

53PerioDicASSeSSMeNTofeQUiTyPolicieS

PeriodicassessmentsbycivilsocietyandgovernmentsofhowresourcesarebeingallocatedcanhelptoensurethatpoorpeoplegettheirfairshareofpublicspendingonservicesSuchassessmentshelptoincreasecitizensrsquoparticipationespeciallythatofexcludedsocialgroupsintheformulationandimplementationofsanitationanddrinking-waterpoliciesandcanoftendelivermoreeffectiveandequitableresultsWheretherearediscrepanciesbetweenpolicystatementsandactualdeliverycivilsocietyorganizationsplayakeyroleinscrutinizingbudgetsanddemandingmoreequitableresourceallocationforwatersupplymdashsometimesresultinginimprovementsinpublicspendingonservicesusedbypoorpeopleandensuringthatpublicspendingactuallyreachesandbenefitspoorpeoplecivilsocietyorganizationshavealsoplayedaroleinstrengtheningroutinemonitoringsystemsofWAShthroughmappingruralwatersupplyandusingthedatatochallengethisinequitableresourceallocationthuscontributingtostrengtheneddemocracyandimprovedaccountability

Womenrsquosparticipationisencouragedindecision-makingatthecommunitylevelandisoftenprescribedinnationalwaterandsanitationpolicyandimplementingstrategieshoweverwomenstillfaceobstaclestoparticipatingindecision-makingThekeychallengeistotranslatepolicyandaffirmativeactionintoaprocessinwhichwomenrsquosparticipation(aspublicservantsandserviceprovidersaswellasconsumers)ismeaningfulnotjustsymbolic

onthewholetheimpactofequitypoliciesforvulnerableandmarginalizedgroupstendsnottobemeasuredtoseeiftheyhaveinfactresultedingreateraccesscountriesconfirmthatthereisalackofbothquantitativeandqualitativeevidenceonequityandinclusionissuesinWASh

54 iMPlicATioNSforThefUTUre

ThissectionshowsthatwhilemostcountrieshaverecognizedtherightstowaterandtoalesserextentsanitationgreatereffortsarerequiredtoprogressivelyrealizetheserightsTheseincludeestablishingandmonitoringtheimpactofpoliciesthatpromoteequityandnon-discriminationpublicparticipationandaccountabilityaswellasimprovedtargetingofthepoorandthevulnerablewithincountriesThisimpliesencouragingmultistakeholderparticipationindecision-makingthroughconsultationwithusersandthroughregularWAShreviewsinvolvementoflocalcommunitieswilllikelynotonlyimproveequitableoutcomesbutduetoincreasedownershipoveroperationandmaintenancealsopromotesustainedbenefitsforthoseusingexistingWAShserviceshowtoscaleupinclusionandequityissueshowtodesignservicesthataresuitableforeveryoneandhowtoholdserviceproviderstoaccountforthisallremainoutstandingissuesthatneedfocusedattention

Commitmentstoimprovetargetingtothepoorandvulnerable

AttheSWAhighlevelMeetingin2010manycountriesmadecommitmentsrelatedtoimprovingtargetingofthepoorandvulnerableManyrelatedthistotheuseofdataandevidencetoidentifygroupsinneedAngolaethiopiaandTimorlestecommittedtousingaccessandcoveragedatatoensurethatallocationsoffundsreachedtheunservedallhavereportedprogressindoingthisAngolahassinceestablishedaninformationsystemforwaterandsanitationtoprovidereliabledataforplanningbudgetingandevaluatingimplementationTimorlesteintroducedawaterinformationsystemcalledSistemainformasaunBeetomonitoraccesstoimprovedwatersourcesthisisusedtotargetunservedpopulationsespeciallyinruralareaswheresignificantdisparitiesexistTheinformationisalsousedtotargetvulnerablehouseholdsinthedevelopmentofdistrictplansThesystemhasbeenexpandedtoincludeaccesstoimprovedsanitationfacilitiesSenegalcommittedtostrengtheningitsexistingpro-poorpolicylikewisedonorsmadecommitmentstolinkidentifiedgapswithaidallocationsandreportgoodprogressTheUnitedKingdomisusingcoveragedatatohelpdeterminethetypeofsupportthatthepoorestcountriesneedTheAfricanDevelopmentBankisrespondingtotheevidenceofgapsinAfricabyfocusingonruralareaswhilealsomaintainingsupportforperiurbanareassmallandmedium-sizedtownsandurbansanitation

opportunitiesexistformoreinvolvementofcivilsocietyinassessingtheapplicationofequitycriteria(Figure57)

12 16

41

15 23

33

0

10

20

30

40

50

Yes both government and civil society

Yes but only government

No

Num

ber o

f cou

ntrie

s

Sanitation Drinking-water

FIGUre57Dogovernmentandcivilsocietyorganizationsperiodicallyassessandanalysewhetherequitycriteriasetbygovernmenthavebeenapplied infunding

Source 2011 GLAAS country survey (74 country respondents)

48

quity5 eexternal66 support

KeyMeSSAGeS

bullDespitetheglobalfinancialcrisisthetotalamountofdevelopmentaidforsanitationanddrinking-waterincreasedby3from2008to2010toUS$78billionNon-concessionallendingforsanitationandwaterincreasedfromUS$25billionin2008toUS$44billionin2010

bullonly7ofsanitationanddrinking-wateraidisdirectedatthemaintenanceofsystemsandservices

bullDevelopmentaidforsanitationanddrinking-watertofragileandconflict-affectedstatesincreasedby50fromUS$560millionin2007toUS$840millionin2010andincreasedfromalowof5oftotalWAShaidin2004to11oftotalWAShaidin2010

bullonlyhalfofsanitationanddrinking-wateraidistargetedatregionswhere70oftheglobalunservedlivethesub-SaharanAfricaSouthernAsiaandSouth-easternAsiaMDGregions

bullAidforbasicsystemscomprised26ofaidforsanitationandwaterin2010anincreasefrom16in2008

bullopportunitiesexistforincreasingalignmentwithcountryprioritiesthroughsectorbudgetsupportwhichiscurrentlyusedforlessthan5ofWAShdisbursements

6 exTerNAlSUPPorT

DespitethedeepglobalfinancialcrisiseSAsremaincommittedtosupportingcountriesintheirquesttohelpgovernmentsachievetheMDGsThiscommitmenthasbeenthekeyargumentforring-fencingpartsoftheaidbudgetsingeneralandforsanitationanddrinking-waterinparticularThecommitmentisfurtherreflectedinagraduallyrisingaidbudgetgloballydrivenbythestrongpushfromtheeuropeanUnion(eU)anumberofbilateralagenciesandinternationalfinancinginstitutions

eSAshaveanequallystrongdesiretoensurethatthecommitmentsmadetranslateintoresultsthatcanbemeasuredThispushbyanumberofeSAstoenhancetheaccountabilityagendaemergesasmoreeSAsareinthespotlightfromtheirownelectoratesorconstituenciesTheaddedpressuretoattributesuccesstoanindividualeSArsquosprogrammeorprojectmayreduceuseofflexiblecountry-ledfundingmechanismssuchasgeneralbudgetsupportorsectorbudgetsupporteSAsincreasinglydemandthattherecipientcountriesreportinmoredetailhowaidhasbeenusedandhowtherecipientcountriesthemselvesreporttotheirownconstituenciesThisincreasedopennessisreflectedintheinternationalAidTransparencyinitiativewhichgrewoutofthehighlevelforaonAideffectivenessthatstartedinromein2002andsubsequentlytookplaceinParisin2005inAccrain2008andmostrecentlyinBusanin2011inBusanparticipantsrecognizedtheheavyburdenplacedondevelopingcountriesbytheincreaseinthenumberofdonorsthatprovideaidtorecipientcountriesupfromanaverageoftwodonorsperreceivingcountryin1960to28donorsin2006fiveguidingprinciplesemergedfromthesehighlevelforalocalownershipalignmentofdevelopmentprogrammesaroundacountryrsquosdevelopmentstrategyharmonizationofpracticestoreducetransactioncostsavoidanceoffragmentedeffortsandthecreationofresultsframeworks

Areliableandaccessibledatabaseofinformationisnecessarygiventheemphasisonincreasedaccountabilityandtransparencyandontheneedtodemonstrateresultscomparedwithothersectorshoweverinparticularhealthandeducationthe

sanitationanddrinking-watersectorslackbasicinformationsuchaswhatdifferentinterventionscosthowmuchgovernmentstheprivatesectorandhouseholdsinvestinsanitationanddrinking-waterandspendonmaintainingandimprovingthefacilitiestheyhavewhathumanresourcesareavailabletosanitationanddrinking-waterandwhathumanresourcegapsneedtobefilled

TheworldiscomingunderincreasedpressuresfromtheeffectsofpopulationgrowthincreasedwealthandconsumptionpatternsbringaddedpressuresonwaterresourcesandwaterusagebyhouseholdsWhileglobalizationbringspeopleclosertogetheritalsobringsconflictsfromremoteplacesclosertothedonorcountriescountriessufferingfromfragilityandconflictareincreasinglybecomingthefocusofattentionforexternalsupportrecognizingthatthesecountrieshavethepotentialtoundotheresultsofconcerteddevelopmenteffortsandreversemanyofthegainsofthelasttwodecadesinreducingglobalpoverty

61 TArGeTiNGofAiDSecTorS

AidcommitmentsfromdonorsreportingtotheoecD-crStotalledUS$164billionin2010(US$163billionatconstant2009prices)upfromUS$160billionin2008mdashanincreaseof25comparing2008and2010aidcommitmentsforwaterandsanitationincreasedfromUS$75billiontoUS$78billiona32increase

itisnotablethat2009appearstobeanexceptionalyearwhenaidcommitmentsforwaterandsanitationincreased17fromthepreviousyearlargelyduetoaone-yearincreaseofUS$11billioninaidcommitmentsfromJapan

Developmentaidcommitmentstosanitationanddrinking-waterwerelowerthanthoseformostsocialsectorsincludinghealthandeducationandlowerthanthoseforgovernmentandcivilsocietytransportandstorageenergyandagriculture

Aidcommitmentstowaterandsanitationremainedat47(US$78billion)oftotalreporteddevelopmentaidin2010(Figure61)

Government and civil society Transport and storage

Multisectoral cross-cutting Education

Energy Humanitarian aid

HIVAIDS reproductive health Agriculture forestry and fisheries

Health Water and sanitation

Administrative cost of donors General environmental protection

Other social infrastructure Actions relating to debt

General budget support Refugees

Banking and financial services Industry mining and construction

Business services Food aid

Trade policies regulations tourism Reconstruction relief and rehabilitation Disaster prevention and preparedness

Communications Unspecified

Other commodity assistance

0 2 4 6 8 10 12 14 16 18 20

Commitments 2010 (US$ billion)

FIGUre 61 Sanitationanddrinking-wateraidcommitments in relation toallotheroDAcommitments2010

Source OECD (2012)

50

BycomparisontheUS$133billioncommittedtoeducationrepresents80oftotaldevelopmentaidandtheUS$195billioncommittedforhealthpopulationreproductivehealthandhumanimmunodeficiencyvirusacquiredimmunodeficiencysyndrome(hivAiDS)represents119ofaidfromdonorsreportingtooecD(figure62)Thisrelativelyhighproportionofaidforhealthandeducationismirroredintheresponsestothe2011GlAASeSAsurveyinwhichboththesesectorswerefrequentlycitedasbeingatornearthetopoftheirprioritieswhereassanitationanddrinking-waterwerefrequentlycitedasbeinginthetoponethirdoftheirprioritiesThiscomparativeanalysisisnottosuggestthatdevelopmentaidshouldbeshiftedfromothersectorstowaterandsanitationhoweveritisintendedtoprovideinsightintothetrendsandprioritiesofeSAsoverall

62 exTerNAlfiNANciNGfloWS

externaldevelopmentassistancetosanitationanddrinking-waterisprovidedbycountriesmultilateralorganizationsNGosandprivatefoundationsAidisprovidedthrougharangeoffundingchannelsandforvariouspurposesincludinggeneralbudgetsupportandsectorbudgetsupportaswellastoprojectsdirectlyforinfrastructuredevelopmentplanningtrainingadvocacyeducationandmonitoringfinancialaidcanbeintheformofgrantsconcessionalloansorcreditsandmaycoverthemajorityofnational(governmentandexternalbutnotincludinghousehold)spendingonsanitationanddrinking-watermdashinsomecountriesnear90

Aidfordrinking-waterandsanitationhasrisenslowlyasapercentageoftotaldevelopmentaidsincethelowpointof2002butisstillsignificantlybelowaidforsocialsectorssuchashealthandeducation(Figure62)

13

12

11

10

9

8

7

6

5

4

3

2

1

0

Sanitation and water

Aid

com

mitm

ents

as

a

of t

otal

OD

A c

omm

itmen

ts Education Health population HIVAIDS US$ 195 billion

US$ 133 billion

US$ 78 billion

1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010

FIGUre62TrendsinaidforwaterandsanitationeducationandhealthpopulationhivAiDSasapercentageoftotaloDAcommitments1995ndash2010

Source OECD (2012)

51

6 exTerNAlSUPPorT

thetotalamountofdevelopmentaidforsanitationanddrinking-waterincreasedtooverUS$78billionin2010fromUS$75billionin2008Non-concessionallendingincreasedfromUS$25billionin2008toUS$44billionin2010(figure6364)

AIDCoMMItMeNtS amountedtomorethanUS$78billion figure63showsthegeographical(2008ndash2010AverAGe) (asreportedtooecD-crS)ofthis distributionofUS$78billioninannualin2010thegrantandloanaid amountUS$36billionwasintheform averagecommitmentsmadefrom2008commitmentsofbilateralandmultilateral ofgrantswhereasUS$42billionwas to2010(in2009constantUSdollars)eSAstosanitationanddrinking-water intheformofconcessionaloDAloans

FIGUre63commitmentspercapitamadetosanitationanddrinking-water2008ndash2010average

Source OECD (2012)

AIDDISBUrSeMeNtS(2010) multilateralagenciesTheirtotalexternal of10fromtheUS$56billionreportedDisbursementdataareavailable aiddisbursementsforsanitationand in2009foroecDDevelopmentAssistance drinking-wateramountedtoUS$62committeemembersandseveral billionin2010(figure64)anincrease

FIGUre64Disbursementspercapitamadetosanitationanddrinking-water2010

Source OECD (2012)

52

NoN-CoNCeSSIoNALLoANCoMMItMeNtS(2010)Non-concessionalloancommitments(ieldquootherofficialflowsrdquonotclassifiedasoDA)comprisedUS$44billionincommitmentsforwaterandsanitationin2010Thisrepresentsa78increaseinnon-concessionalloancommitmentssince2008ThisincreaseisreflectedinthedoublingofloandisbursementsforwaterandsanitationfromUS$16billiontoUS$34billionfrom2009to2010

rAtIooFDISBUrSeMeNtStoCoMMItMeNtSWaterandsanitationdevelopmentaidcommitmentsanddisbursementsamountedtoUS$78billionandUS$62billionrespectivelyin2010Thisrepresentsadisbursementtocommitmentratioof08forfundsin2010whichishigherthanthelong-termaverageof071lowcapacitytospendthefundscommittedbydonorswasreportedasanissuebycountriesinthe2011GlAAScountrysurvey

Thisdifferencebetweencommitmentsanddisbursementscanbeseenmoreclearlyfromfigure65wheretheratiosarecomparedovertwofive-yearperiods2006ndash2010fordisbursementsand2005ndash2009forcommitmentstheone-yeartimelagallowingforprojectprogrammeadministrationtobeputinplaceitcanbeseenthatbothhealthandeducationdisbursenearly100ofthecommitmentsmadewhereaswaterandsanitationdisbursementisnear70ofthecommitmentsmadeThisisprimarilyduetothefocusonhighercapitalexpenditureasaproportionofdisbursementsinwaterandsanitationprogrammescomparedwiththeemphasisonrecurrentexpenditureinhealthandeducationinfrastructuresectorssuchastransportandconstructionaresimilartowaterandsanitationintheirdisbursementtocommitmentratioswhereastheagricultureforestryandfisheriessectorissignificantlyhigheratover85

theratioofdevelopmentaiddisbursedversuscommittedisapproximately071forwaterandsanitationwhichislowcomparedwiththoseforhealthandeducationbutcomparablewiththoseforinfrastructuresectors(Figure65)

FIGUre65ratioofdisbursements (2006ndash2010) tocommitments (2005ndash2009)forsanitationandwater

Source OECD (2012)

Education

Health

HIVAIDS reproductive health

Government and civil society

Agriculture forestry and fisheries

Energy

Industry mining and construction

Transport and storage

Water and sanitation

00 02 04 06 08 10

Disbursement (2006ndash2010) to commitment (2005ndash2009) ratio

Donorcommitments

The2010SWAhighlevelMeetingwasaforumatwhichmanydonorsmadepublicstatementsrelatingtotheirplanstoincreasefundingcommitmentstowaterandsanitationTheAsianDevelopmentBankannouncedthatitexpectedfundingcommitmentstoincreasefrom85in2003ndash2007toabout17for2008ndash2010andtodoubleinvestmentintheWAShsectortoUS$10billionduring2006ndash2010BothofthesetargetshavesincebeenachievedTheAfricanDevelopmentBankstatedthatitplanstoincreaseannualfundingfromUS$460millionin2009tooverUS$1billionby2013Germanystatedthatbecauseitrecognizesthechallengesinsub-SaharanAfricaitplannedtodoubletheresourcesmadeavailablethroughtheGermanfederalMinistryforeconomiccooperationandDevelopmentbetween2008and2010andin2012itreportedthatthiscommitmenthasbeenmetThecommitmenttothewatersectorinAfricadoubledwithanincreasefromeuro149millionin2008uptoalmosteuro300millionin2010Theeuropeancommissionrepeateditscommitmentofeuro200millionwiththeobjectiveofhelpingtoachievetheMDGsandcontributetoimprovingwatergovernanceandtothesustainabledevelopmentofhydraulicinfrastructureJapanreiterateditsgrantandtechnicalassistanceofyen30billionforwaterandsanitationinAfricancountriesforfiveyearsbetween2008and2012SeveraldonorsmadestatementsrelatingspecificallytocatchinguponsanitationSwitzerlandannouncedthatapproximately45ofitsWAShexpenditure(3ofitstotaloDA)isspentonsanitationandtheNetherlandsandGermanystatedthat31and40respectivelyoftheirdevelopmentassistancebudgetsforWAShareallocatedtosanitation

53

6 exTerNAlSUPPorT

63 PrioriTiziNGcoUNTrieSANDreGioNS

eSAsuseanumberofcriteriatoselectcountriestowhichtoallocatedevelopmentaidtosanitationanddrinking-waterrecognizedneedsbasedonpovertylevelsandonsanitationanddrinking-wateraccessandusedatainfluencethedecisionsofalltheeSAswithoutexceptionasdoestheactualeSApresenceintheparticularcountryTheinfluenceofqualityofthegovernanceorreformeffortsorthenumberofdonorsworkinginaparticularsectorislesscertaineSAsareparticularlyinfluencedbywhetheracountryisafragileorconflict-affectedstate(withthesecountriesbeingapriorityformanydonors)converselythepresenceofahumanrightsframeworkforsanitationanddrinking-waterthusfarseemstohavelimitedinfluenceonthedecisionastowhethertosupportaparticularrecipient(figure66)

LoW-INCoMepopULAtIoNSTheworldrsquospoorarenolongerstrictlyconfinedtolow-incomecountriesWitheSAsprioritizingpoorpeopleknowinghowtoreachthemisimportantWhilethemajorityofpoorpeopleusedtoliveinlow-incomecountriesmdash20yearsago93oftheworldrsquospoorlivedinlow-incomecountriesmdashdevelopmentinanumberofthesecountrieshasmovedthemintothemiddle-incomecountrycategoryandthreequartersoftheworldrsquos13billionpoornowliveinmiddle-incomecountries(Sumner2010)AtthesametimerecentworkbytheWorldBankunderlinestheneedforstrongleadershipandconcertednationalandinternationaleffortsinfragileandconflict-affectedstateswheremanyofthepoorestpeopleliveandthesecountrieshavebecomeanincreasedfocusformanyeSAs(WorldBank2011)

FrAGILeANDCoNFLICt-AFFeCteDStAteSfragileandconflict-affectedcountriesarefurthestawayfromachievingtheMDGsmdashnolow-incomefragileorconflict-affectedcountryhasyettoachieveasingleMDG(WorldBank2011)ingeneral30ofoDAisspentinfragileandconflict-affectedcontexts(oecD2011a)butforwaterand

sanitationthefigurewasonly11in December2011anumberofcountries2010(upfromalowof5in2004) andinternationalorganizationsTherearemanycurrentinitiativesto endorsedanagreementonanewglobalincreaseattentiontothesecountries directionforengagementwithfragileforinstanceatthefourthhighlevel statesforumonAideffectivenessinBusanrepublicofKoreainNovember

Multiplefactorsinfluencedonoraidprioritization(Figure66)

Need (poverty)

Established in-country presence

Need (coverage)

Relevance and significance of contribution

Fragile or conflict-affected state

Strategic dialogue with country

Strong sector plans and budgets

Published targets for coverage or spending

Quality of governance or reform efforts

Limited donor presence

Human rights framework for WASH

0 20 40 60 80

of ESAs using criteria

FIGUre66PercentageofeSAsusingcriteria toselectpriorityrecipientcountriesregions

Source 2011 GLAAS ESA survey

Developmentaidforsanitationanddrinking-watertofragileandconflict-affectedstatesincreasedby50fromUS$560milliontoUS$840millionfrom2007to2010(Figure67)

FIGUre67Trends insanitationandwateraidcommitments for fragileorconflict-affectedstates2004ndash2010

Source OECD (2012)

0

200

400

600

800

1000

1200

2004 2005 2006 2007 2008 2009 2010

Aid

com

mitm

ent (

US

$ m

illio

ns c

onst

ant 2

009

$US

)

Fragile or conflicted-affected states

Represents 5 of water and sanitation aid in 2004

Represents11 of water and sanitation aid in 2010

54

reGIoNALtArGetINGSeventypercentoftheworldrsquospopulationwithoutsustainableaccesstobasicsanitationandsafedrinking-waterliveinthesub-SaharanAfricaSouthernAsiaorSouth-easternAsiaMDGregionsin2010sub-SaharanAfricareceivedthemostaidforsanitationanddrinking-waterofanyregioninabsolutetermsfollowedbytheSouthernAsiaandWesternAsiaregions

reLAtIoNSHIpBetWeeNAIDALLoCAtIoNSANDWAterANDSANItAtIoNCoverAGeTodeterminetherelationshipbetweendonoraidtargetingandcoveragerecipientaid(averagecommitmentsfrom2008ndash2010reportedtooecD)percapitaiscomparedwithaveragecoveragelevelforsanitationanddrinking-waterforeachaidrecipientcountryTwelvecountrieswithlessthan50averagecoveragewerefoundto

receivelessthanthemedianaidpercapitaamountofUS$280ifcountrycoveragelevelisanimportantfactorfordonorswhenselectingprioritycountriesitwouldbeexpectedthatmoreofthesecountrieswouldreceivehigheraidlevels

Half(50)ofsanitationanddrinking-wateraidistargetedtothesub-SaharanAfricaSouthernAsiaandSouth-easternAsiaMDGregionsthosepartsoftheworldwhere70oftheunservedlive(Figure68)

FIGUre68SanitationandwateraidcommitmentsbyMDGregion2010

Sources 2011 GLAAS ESA survey OECD (2012)

g7+countries

in2010agroupofsevenoftheworldrsquosmostfragilestatesformedtheg7+Thegrouphasgrownto19statesandnowincludescountriesacrossAsiaAfricaandthePacificrepresenting350millionpeoplegloballyParticipatingcountriesintheg7+areAfghanistanBurundithecentralAfricanrepublicchadcocirctedrsquoivoiretheDemocraticrepublicofthecongoethiopiaGuineaGuinea-BissauhaitiliberiaNepalPapuaNewGuineaSierraleoneSolomonislandsSomaliaSouthSudanTimor-lesteandTogoTheg7+meetsregularlywithintheframeworkoftheinternationalDialogueonPeacebuildingandStatebuildinghighontheagendaofreformsbeingpromotedbytheg7+arestrengtheningdemocraticprocessesimprovementsinsecurityandbetterresourceandrevenuemanagement(verhoevenampfonseca2012)

Manycountrieswithlowcoveragelevelsreceivelowlevelsofwaterandsanitationaidpercapita(Figure69)

55

$001

$010

$100

$1000

$10000

0 10 20 30 40 50 60 70 80 90 100

Least developed countries Other low-income countries Lower middle income countries Upper middle income countries

Niger DRC

Somalia

Madagascar

Chad

Ethiopia

Guinea

Nigeria

Togo

Congo

Afghanistan

Guinea-Bissau

Median aid per capita = US$ 280

Average coverage (sanitation and drinking-water) percentage 2010

Don

or a

id c

omm

itmen

ts p

er c

apita

200

8ndash20

10 a

vera

ge

FIGUre69Donoraid(averageannualcommitment2008ndash2010constant2009$US)percapitaversusaveragecoverageincountries

DrcDemocraticrepublicofthecongo

Sources OECD (2012) UNICEFWHO (2012)

AcknowledgementsUN-WaterandWhogratefullyacknowledgethefinancial ThepreparationofthisreportinvolvedcontributionsfromsupportprovidedbytheDepartmentforinternational hundredsofindividualsrepresentingallregionsoftheworldDevelopmentUnitedKingdomtheSwissAgencyfor UN-WaterandWhowouldliketoextendtheirgratitudetoallDevelopmentandcooperationtheDirectorate-General thoseindividualsandorganizationsthatcontributedtotheforinternationalcooperationtheNetherlandsandthe developmentofthisreportmdashespeciallythoseindividualswhoGovernmentofKuwait submittedinformationfromcountriesandexternalsupport

agenciesAfulllistingofindividualswhocontributedtothisreportandtheiraffiliationsisgiveninAnnexG

Acronymsandabbreviations3Ts tariffstaxesandtransfersADB AsianDevelopmentBankADf AsianDevelopmentfundAsianDevelopmentBankAfD AgencefranccedilaisedeDeacuteveloppementAfDB AfricanDevelopmentBankAfDf AfricanDevelopmentfundAfricanDevelopmentBankAfeSD ArabfundforeconomicandSocialDevelopmentAMcoW AfricanMinistersrsquocouncilonWatercSo countryStatusoverview(WorldBankWaterandSanitationProgram)eBrD europeanBankforreconstructionandDevelopmenteSA externalsupportagencyeU europeanUnionGDP grossdomesticproductGlAAS GlobalAnalysisandAssessmentofSanitationandDrinking-water(formerlyGlobalAnnualAssessmentof

SanitationandDrinking-water)GoAlWaSh GovernanceAdvocacyandleadershipforWaterSanitationandhygiene(UnitedNationsDevelopmentProgramme)hivAiDS humanimmunodeficiencyvirusacquiredimmunodeficiencysyndromehr humanresourcesiDA internationalDevelopmentAssociationWorldBankiDB inter-AmericanDevelopmentBankifrc internationalfederationofredcrossandredcrescentSocietiesiSic internationalStandardindustrialclassificationJMP WhoUNicefJointMonitoringProgrammeforWaterSupplyandSanitationlDc leastdevelopedcountryMDG MillenniumDevelopmentGoalNDP nationaldevelopmentplanNGo nongovernmentalorganizationoampM operationandmaintenanceoDA officialdevelopmentassistanceoecD organisationforeconomicco-operationandDevelopmentoecD-crS oecDcreditorreportingSystemofiD oPecfundforinternationalDevelopmentoPec organizationofPetroleumexportingcountriesPrSP povertyreductionstrategypaperSeeA-Water SystemofenvironmentaleconomicAccountingforWaterSWA SanitationandWaterforAllTicADiv fourthTokyointernationalconferenceonAfricanDevelopmentUN UnitedNationsUNDP UnitedNationsDevelopmentProgrammeUNicef UnitedNationschildrenrsquosfundUSA UnitedStatesofAmericaWASh watersanitationandhygieneWho WorldhealthorganizationWSP-Africa WaterandSanitationProgramWorldBankWSP watersafetyplan

V

31 Sourcesoffundingandhowmuchisbeingspent2632 Allocationoffundingwhatismoneybeingspenton2833 Useofcommittedfunds 3035 WAShinvestmentprogrammesdocountriesknowhowmuchtheywillneedtospendinfuture3436 Adequacyoffinance3538 implicationsforthefuture 36

4 humanresources37

41 Adequacyofhumanresourcedata3842 Sufficiencyofstaffing3943 Staffincentivesandcontinuingeducation4044 Gender4045 Barriersimpedingdevelopmentofhumanresources4046 humanresourceplanning4147 implicationsforthefuture 42

5 equity43

51 humanrightstowaterandsanitation4453 Periodicassessmentofequitypolicies 4854 implicationsforthefuture 48

tableofcontentsforewordiv

Acknowledgementsv

Acronymsandabbreviationsv

executivesummary3

context6

1 Politicalwillandaccountability9

2 Policiesplanningandcoordination13

21 Policyadoption1422 Planningandcoordination1723 reviewsmonitoringandreporting1924 Decentralization2125 localstakeholderparticipation2226 implicationsforthefuture 23

3 financing25

1

6 externalsupport49

61 Targetingofaidsectors 5062 externalfinancingflows5163 Prioritizingcountriesandregions5464 Aidallocationbreakdowns5665 Alignmentandcoordination5966 futuretargets6167 fundingchannels6168 implicationsforthefuture 62

7 Specialfocusonwatersanitationandhygieneinschoolsandhealth-carefacilities63

71 Sanitationandhygieneinschools6472 Watersanitationandhygieneinhealth-carefacilities6673 implicationsforthefuture 67

references68

AnnexAMethodology71

AnnexBTrackingnationalfinancialflowstoWASh74

AnnexcGlossary82

AnnexDSummaryofresponsesto2011GlAAScountrysurvey85

AnnexeSummaryofresponsesto2011GlAASexternalsupportagencysurvey95

AnnexfSupplementaryinformationondonorcountrycoordination97

AnnexGlistofcontributors99

2

executivesummarytheobjectiveoftheUN-WaterGlobalAnalysisandAssessmentofSanitationandDrinking-Water(GLAAS)istomonitortheinputsrequiredtoextendandsustainwatersanitationandhygiene(WASH)systemsandservicesThisincludesthecomponentsoftheldquoenablingenvironmentrdquodocumentinggovernmentpolicyandinstitutionalframeworksthevolumesourcesandtargetingofinvestmentthesufficiencyofhumanresourcesprioritiesandgapswithrespecttoexternalassistanceandtheinfluenceofthesefactorsonperformanceAmorechallengingsecondarygoalistoanalysethefactorsassociatedwithprogressorlackthereofinordertoidentifydriversandbottleneckstoidentifyknowledgegapstoassessstrengthsandweaknessestoidentifychallengesprioritiesandsuccessesandtofacilitatebenchmarkingacrosscountries

Thissecond1UN-WaterGlAASreportpresentsdatareceivedfrom74developingcountriescoveringalltheMillenniumDevelopmentGoal(MDG)regionsandfrom24externalsupportagencies(eSAs)representingapproximately90ofofficialdevelopmentassistance(oDA)forsanitationanddrinking-water

TherehavebeenremarkablegainsinWAShThe2012progressreportoftheWorldhealthorganization(Who)UnitedNationschildrenrsquosfund(UNicef)JointMonitoringProgrammeforWaterSupplyandSanitation(JMP)announcedthattheMDGtargetfordrinking-waterwasmetin2010theproportionofpeoplewithoutaccesstoimproveddrinking-watersourceshadbeenmorethanhalved(from24to11)since1990howevertheprogressreportalsonotedthatthebenefitsareveryunevenlydistributed

MajorgainshavebeenmadewiththeMDGdrinking-watertargetbeingmetin2010mdashbutchallengesremaintoreducedisparitiesandtoincreasesanitationcoverage

forexampleonlylimitedprogressisevidentintheincreaseofaccesstodrinking-wateramongthepoorestinsub-SaharanAfricaortosanitationamongthepoorestinSouthAsiaMorethanthreequartersofthosewholackaccesstosafedrinking-waterandbasicsanitationliveinruralareas

Thefactthatbetween1990and2010over2billionpeoplegainedaccesstoimprovedwatersourcesand18billionpeoplegainedaccesstoimprovedsanitationfacilitiesdemonstrateswhatcountriescanachievewithsustainedcommitmentadequateresourcesandeffectiveimplementationapproachesTheseresultsalsopointtotheachievementsmadebydevelopmentpartnersthathaveprovidedexternalsupportring-fencingofbilateralsupportforwaterandsanitationatcurrenttimesoffinancialcrisisstemsdirectlyfromthehigh-levelcommitmentsmadein

ThefirstGlAASreportwaspublishedin2010afteraldquoproofofconceptrdquowaspilotedin2008

theMillenniumDeclarationPoliticalwillandcommitmenttoactionevidence-basedplanningandpolicy-makingandsufficienthumanandfinancialresourcesarehoweverkeytosustainedsuccess

Asthisreportshowsinmanycountriespoliciesandprogrammeshavefartoolittleemphasisonensuringadequatefinancialandhumanresourcestobothsustaintheexistinginfrastructureandexpandaccesstosanitationdrinking-waterandhygieneservicesThedangerofslippageagainsttheMDGtargetisarealone

Focusingoneffectivelymanagingassetstosustainservicescanbeasimportantasfocusingonnewinfrastructure

The2012GlAASreportdrawsonthelatestinformationincludingdatafromtheorganisationforeconomicco-operationandDevelopment(oecD)creditorreportingSystem(crS)anddatagatheredthroughtwosetsofquestionnairesoneforlow-andmiddle-incomecountriesandoneforeSAsThesequestionnaireshaveallowedcountriesanddonorstoscoretheirprogressandWAShinputsaccordingtoobjectivecriteriaWhiletheresponsesarebasedonconsensusfrommultiplestakeholdersandaresubjecttovalidationitisacknowledgedthattheaccuracyofresponseswillshowvariabilityThustosomeextenttheresponsesshouldbeinterpretedasaself-assessmentofcountryanddonorprioritiesandthedatashouldbeusedwithcautionwhenmakingcomparisonsbetweencountriesandbetweendonorsTheGlAASmethodologyispresentedinAnnexA

Lackofrobustdataparticularlyonfinancialflowsisamajorconstrainttoprogress

Thereport

bull warnsofasignificantriskofslippageonthegainsmadeinextendingWAShservicesunlessmoreattentionisgiventomaintainingthoseservicesandassets

bull acknowledgesthatdespitetheseverefinancialcrisisfacedbymanyhigh-incomecountriesaidforsanitationanddrinking-watercontinuestorisewhiletargetingtobasicMDG-typeservicesisimproving

bull showsthatsomecountriesarereportinggoodprogresstowardsnationalWAShtargetsbuthighlightsthatforthemajorityofcountrieshumanandfinancialresourceconstraintsespeciallyforsanitationaresignificantlyimpedingprogress

ThefocusonenhancingaccountabilityisincreasinglystrongandisakeycomponentoftheSanitationandWaterforAll(SWA)partnershiptowhichmanyGlAASrespondentsbelongAccountabilityisbeingfurtherenhancedbytheincreasedattentionpaidtothehumanrighttoWaterandSanitationsincetherecognitionofthisrightbytheUnitedNations(UN)

3 1

Sections1and2ofthereportdescribethegrowingpoliticalwillforWAShimplementationamongreportingcountriesandtheincreasingeffortsofcountriestobeaccountableandtoplanandcoordinateeffectivelyKeyfindingsincludethefollowing

bull countriesreportrecentandsubstantivepoliticalcommitmentstoWAShincreasingfundingallocationsandincreasingleadershipandcoordinationamongimplementingagencies

bull ThemajorityofcountrieshaveestablishedtransparentWAShserviceprovisiontargetsandhaveputinplacesupportingpoliciesManycountriesaremonitoringagainstthesetargetsAccountabilitycanbeimprovedasmostcountriesdonotincludeconsumersinplanningandonlyhalfhaveestablishedregularreviewprocesses

bull DespiteimpressiveglobalgainsmostcountriesarefallingshortonmeetingtheirownnationalWAShcommitmentswith83and70ofcountriesreportedlyfallingsignificantlybehindthetrendsrequiredtomeettheirdefinednationalaccesstargetsforsanitationanddrinking-waterrespectively

bull Althoughtheimportantcontributionthathygienemakestohealthisclearlyrecognizednationaltargetshavegenerallynotbeenestablishedforhygienepromotionprogrammes

Section3presentsdataonfinancialflowsWhilethelimiteddatasubmittedprecludemakingdefinitivestatementsaboutglobalfinancialallocationscountriesreportinsufficientfinancingforWAShoverallwithparticularlyseriousshortfallsforsanitationKeyfindingsincludethefollowing

bull ManyofthegovernmentsreportinginadequatefundingallocationsforWAShalsopointtoapoorabsorptioncapacitymdashthatisdifficultiesinspendingthelimitedfundsthatarereceived

bull Drinking-watercontinuestoabsorbthemajorityofWAShfundingevenincountrieswitharelativelyhighdrinking-watersupplycoverageandarelativelylowsanitationcoverage

bull insufficientfundingforoperationandmaintenanceunderminesthesustainabilityofservicesinamajorway

Thisreportpresentschartsanddescriptivetabularsummariesfornumerousdrinking-waterandsanitationindicatorsandbenchmarksfinancialdatapresentedinthetablesorchartsareinamajorityofcasesfor2010forsomekeyindicatorsadashboardofmapsandfiguresisprovidedtopresentageographicalsummaryglobalsummarystatisticsandtrendschartsandtabularsummariesalsogenerallyindicatethenumberofresponsesthatwereconsideredintheanalysisorparticularquestionThisnumberdoesnotnecessarilyequalthetotalnumberofrespondentstothesurveyasnoteverycountryoreSAansweredallpartsofthequestionnairesandinmanycasesthedatawerecollectedfromanalreadyexistingsource(egtheoecD-crS)

bull fundsaredisproportionatelytargetedforextendingservicesinurbanareasevenincountrieswhereurbanareasarerelativelywellservedandruralareasareoff-track

bull Althoughdataonhouseholdfundingcontributionsarelimitedwhatinformationthereissuggeststhatthesearesignificantandcanmakeamajorcontributiontosustainingservices

bull TostrengthenthecollectionofWAShfinancialinformationaharmonizedmethodofdatamonitoringisneeded(onesuchmethodisproposedinAnnexA)

Section4examinestheadequacyofthehumanresourcebasetoimplementWAShinterventionsandhighlightsthegapsindataKeyfindingsincludethefollowing

bull onehalfofcountriesdidnotreportonhowmanyWAShstaffwereinplaceindicatingasignificantlackofinformationonhumanresources

bull Thereisinsufficientstaffinplacetooperateandmaintainsanitationanddrinking-waterinfrastructure

bull halfthecountriessurveyedreportedthatwomenmakeuplessthanatenthofprofessionalWAShstaff

bull lackofsupply-sidetechniciansandskilledlabourstandsoutasakeybarriertothesustainabilityofservices

Section5confirmsthattherighttowaterandsanitationisbeginningtobeacceptedbygovernmentsanddescribesthesuccessesandconstraintstoextendingWAShcoverageinanequitablewayKeyfindingsincludethefollowing

bull Nearly80ofcountriesrecognizetherighttowaterandover50therighttosanitation

bull Mostcountrieshavenotestablishedequitycriteriafortheallocationoffinancingforwaterandsanitation

Section6describespriority-settingtargetingofdevelopmentaidandthecoordinationandalignmentofeSAassistancewithcountryprogrammesKeyfindingsincludethefollowing

bull Despitetheeconomiccrisisaidforsanitationanddrinking-watercontinuestoriseThetotalamountofdevelopmentaidforsanitationandwaterincreasedby3from2008to2010toUS$78billionNon-concessionallendingforsanitationandwaterincreasedfromUS$25billionin2008toUS$44billionin2010

bull Aidforbasicsystemscomprised26ofaidforsanitationanddrinking-waterin2010anincreasefrom16in2008

bull only7ofaidisdirectedatmaintainingservices

bull Developmentaidforsanitationandwatertofragileandconflict-affectedstatesincreasedby50between2007and2010fromUS$560milliontoUS$840million

4

bull onlyhalfofdevelopmentaidforsanitationanddrinking-wateristargetedtotheMDGregionssub-SaharanAfricaSouthernAsiaandSouth-easternAsiawhere70oftheglobalunservedlive

bull SectorbudgetsupportfromdonorsforWAShislessthan5oftotalWAShaidopportunitiesexistforincreasingalignmentwithcountryprioritiesandstrengtheningnationalWAShsystemsthroughincreasingsectorbudgetsupportwherevertransparencyandaccountabilitymechanismsareinplace

Section7focusesonsanitationhygieneanddrinking-waterinschoolsandhealth-carefacilitiesreportingonaccesstoWAShservicesinthesepublicinstitutionsKeyfindingsincludethefollowing

bull halfthecountriesdidnotreportonaccesstoadequatesanitationinschoolsorhealth-carefacilitiessuggestingalackofmonitoringsystemsandcapacity

bull onaverage34ofprimaryschoolsand25ofruralhealth-carecentreslackimprovedsanitationfacilities

inresponsetothefindingthatthereisaseriouslackofrobustdataonin-countryfinancialflowstosanitationanddrinking-waterthisreportaddressesthesubjectingreaterdepthinAnnexBTheannexdescribestheworkthathasbeendonesofarondevelopingamethodologyfortrackingnationalfinancialflowsotherannexescontainthesurveymethodology(AnnexA)aglossary(Annexc)andcountryandeSAdata(AnnexesDanderespectively)aswellassupplementaryinformationondonorcountrycoordination(Annexf)

Basedontheevidenceemergingfromthisreportanumberofissuesstandoutasrequiringurgentattentionandactionby

bull NationalgovernmentsandcountryWAShstakeholdersto

continuetoimprovethestrengthandclarityofleadershipforWASh

strengthenthedevelopmentofrobustnationalplansforWAShserviceprovision

strengthensystem-widesupportofthedeliveryofWAShandlinkWAShservicestocoregovernmentsystemsforplanningandresourceallocation

focusonbuildinginstitutionalandhumanresourcecapacityforbothincreasingWAShservicestotheunservedandmaintainingexistingservicesbydirectingmoreresourcestooperationsandmaintenance

consideradoptingahuman-rightsbasedapproachtofocusattentiononthevulnerableandtoensurethattheyarenotexcludedfromthebenefitsofWAShservices

improvetargetingofinvestmentstothepoorandvulnerable

developandstrengthenmonitoringandestablishnationalWAShManagementinformationSystems

createandtrackspecificbudgetsforsanitationandwater

encouragemultistakeholderparticipationindecision-makingaroundWAShthroughconsultationwithusersandthroughregularreviews

bull externalsupportagenciesto

improvetargetingofaidtothepoorandvulnerableincludingtargetingoff-trackcountries

considerincreasingsectorbudgetsupportwherethisisexpectedtoleadtostrongersystemstodeliverservicesandincreasecoverage

considerdirectingmoreexternalfundingtosupportoperationandmaintenanceofexistingWAShservices

bull Allstakeholdersto

intensifyharmonizationandcollaborationamongnationallineagenciesdonorsandNGos

5

Contextitisclearthattherehavebeenremarkablegainsparticularlybysomecountriesinimprovingaccesstosanitationanddrinking-waterThe2012JMPprogressreport(UNicefWho2012)estimatesthat63oftheworldrsquospopulationhasaccesstoimprovedsanitation(figure1)and89oftheglobalpopulationnowusesimproveddrinking-watersources(figure2)

Sanitationanddrinking-waterareuniversallyacceptedasbeingessentialforhumanlifedignityandhumandevelopmenthoweversanitationanddrinking-waterissueshavenotinthepastreceivedthehigh-levelpoliticalattentionthattheydeserveAnumberofdonorsinternationalnongovernmentalorganizations(NGos)andUNagenciesinrecognitionofthiscametogethertoraisethepoliticalprofileofsanitationanddrinking-waterfollowingtheleadoftheUNhumanDevelopmentreport(UNDP2006)inhighlightingsomeoftheprincipalshortcomingswithintheinternationalarchitectureTheseincludethelackofasingleinternationalbodytospeakonbehalfofsanitationanddrinking-water

FIGUre1Percentageofpopulationusingimprovedsanitationfacilities(2010)

Source UNICEFWHO (2012)

FIGUre2Percentageofpopulationobtainingdrinking-waterfromanimprovedsource(2010)

Source UNICEFWHO (2012)

SanitationandWaterforAll

UsingtheevidencebaseestablishedbyUN-WaterGlAAStheSWApartnershipaimstoaddresscriticalbarrierstoachievinguniversalandsustainablesanitationanddrinking-waterThesebarriersincludeinsufficientpoliticalprioritizationweaksectorcapacitytodevelopandimplementeffectiveplansandstrategiesanduncoordinatedandinadequateinvestmentsintheseplansandstrategiesSWAaimstoprovideacommonvisionandasetofvaluesandprinciplesforatransparentaccountableandresults-orientedframeworkforactiontoaddresstheobstaclestoglobalprogress

eighty-onemembersmakeuptheSWApartnershipwhichisbasedonmutualtrustsupportandcommitmenttoprinciplesofaideffectivenessincludingnationalownershipofplansdonorharmonizationandmutualaccountability

TheSWAhighlevelMeetingheldeverytwoyearsbringstogetherministersoffinancefromdevelopingcountriesministersofdevelopmentcooperationfromdonorcountriesandhigh-levelrepresentativesfromdevelopmentbanksandotherdonorinstitutionstoaddressthelackofprioritygiventosanitationandwaterasadevelopmentinterventionthepoortargetingofaidinthesectorandtheneedforrobustplanningandinstitutionsThefirstSWAhighlevelMeetingheldinApril2010influencedsectorprogressandcatalysedactionatthecountrylevelinparticularparticipantsreportedthatthe2010highlevelMeetingstrengthenedrelationsbetweenWAShsectorministriesandfinanceministriestriggeredstrongersectorcoordinationinmanycountriescreatedacrucialcontextforadvocacyonsanitationencouragedpoliticalandfinancialdecision-makerstouseevidenceforbetterdecision-makingandraisedawarenessaboutsanitationwithinsectorandfinanceministries

ThecommitmentsmadeatthefirsthighlevelMeetingfocusedonSWArsquosthreekeypriorityareasmdashincreasedpoliticalprioritizationimprovedevidence-baseddecision-makingandstrengthenednationalplanningprocessesParticipantstabledover200specificcommitmentsandagreedtoreportonthemregularly

TheGlAASreportistheprimarymechanismforreportingontheprogressofcountriesinachievingthesecommitmentsandonsuccesseswithintheWAShsectorinovercomingobstaclestoprogress

6

TheresultistheSWAinitiativewithitscomponentofbiennialhighlevelMeetingsoftopdecision-makerssupportedbyGlAASastheglobalmonitoringreportthathighlightstheevidencedriversandblockagesaffectingprogressinincreasingsanitationanddrinking-watercoverageTheSWAinitiativealsoendeavourstolinkwithandstrengthenexistingnationalprocesses

AnsweringthequestionldquoWhatworkstoeffectivelyextendandsustainWAShserviceprovisionrdquoisbecomingevermoredifficultwiththerapidlychangingfinancialpoliticalandphysicalenvironmentTheregionalandglobalfinancialcriseshavecontributedtocreatingunpredictableandtightergovernmentanddonorbudgetsManycountrieshaveexperiencedoveralldevelopmentbutattheexpenseofgrowinginequitybetweentherichandthepoorThecontinuedtrendofpopulationgrowthandrapidurbanizationfurtherstrainsadeterioratingwaterandsanitationinfrastructureThecrisisofgrowing

waterscarcitycoupledwiththeothershort-andlong-termrisksposedbyclimatechangeisapotentialthreattohealthsecurityandequitableserviceprovision

ThecaseforevengreatereffortsisundeniableeveniftherateofprogresscitedintheJMPreport(UNicefWho2012)weretocontinueuntiltheendoftheMDGperioduniversalwaterandsanitationcoveragewouldstillbefaroffmdashin2015605millionpeoplewouldremainwithoutaccesstoanimproveddrinking-watersourceand24billionpeoplewouldbewithoutaccesstoimprovedsanitationfacilitiesGiventhisscenariobillionswillremainatriskofWASh-relateddiseasessuchasdiarrhoeawhichin2011killed2millionpeopleandcaused4billionepisodesofillness(figure3)

WithoutrapidprogressinWAShthegrowthofnationaleconomieswillcontinuetobeimpededevidencesuggeststhatlackofaccesstosafedrinking-waterandadequatesanitation

costscountriesbetween1and7oftheirannualgrossdomesticproduct(GDP)(WSP-Africa2012)

crucialasdiseasepreventionandeconomicgrowtharethebenefitsofinvestinginWAShgobeyondhealthandbeyondeconomicdevelopmentTheytouchonarangeofcriticalissuesthatcannoteasilybemeasuredTheseincludecontributingtoeveryindividualrsquospersonaldignityandcomfortsocialacceptancesecurityforwomenschoolattendanceespeciallyforgirlsandproductivityatschoolandwork

With2015fastapproachingpreparationsarealreadyinplacetofocusonuniversalaccesstowaterandsanitationinthepost-MDGperiodconsideringthevastresourcesthatthiscontinuingeffortwillrequireitisvitalthatwehaveanimprovedunderstandingofwhatisbeingdonebywhomitisbeingdoneandthecriticalinputsassociatedwithsuccessinordertobettertargetandmoreefficientlyusescarceresources

FIGUre3PercentageofdeathsattributabletoWASh-relateddiseaseorinjury

Source Pruumlss-Uumlstuumln et al (2008)

7

politicalwilland1 accountability

KeyMeSSAGeS

bullAllcountrieshavemadesomeformofpoliticalorfinancialcommitmenttosanitationanddrinking-watersince2010withthevastmajorityhavingestablishedtransparentWAShserviceprovisiontargets

bullDespiteimpressiveglobalgainsmostcountriesarefallingshortonmeetingtheirownnationalWAShcommitmentswith83and70ofcountriesreportedlyfallingsignificantlybehindthetrendsrequiredtomeettheirdefinednationalaccesstargetsforsanitationanddrinking-waterrespectively

bullinvestmentsinsanitationanddrinking-waterareincreasinglybeingscrutinizedwhiletransparencyisimprovingaccountabilityforresultsachievedremainsweak

1 PoliTicAlWillANDAccoUNTABiliTy

high-levelpoliticalcommitmentunderpinsalleffortstoaccelerateandsustainimprovementsinaccesstoadequateandsafedrinking-watersanitationandhygieneservicesSuccessfulimplementationofthiscommitmentrequiresasteadyfocusonthewaterandsanitationprioritiesadequateallocationofresourcesandtheestablishmentofaregularandtransparentmonitoringframeworktoensurethatallstakeholderscanbeheldaccountableagainsttheiragreedcommitmentsrolesandresponsibilitiesSuchresponsibilitiesincludeenforcingrelevantlegalframeworksensuringeffectiveregulatorymechanismsmaintainingandstrengtheninginstitutionalarrangementsandapplyingup-to-datetechnicalknowledgethroughbestpracticeTheyalldependultimatelyonpoliticalresolvetogivebalancedsupporttoallessentialelements

AllcountriesthatrespondedtotheGlAASquestionnairereportedthattheyhadmadesomeformofhigh-levelpoliticalorfinancialcommitmenttosanitationanddrinking-wateroften

attheministeriallevelsince2010SeventeenofthemmadecommitmentsattheSWAhighlevelMeetingin2010andmanyothersmadecommitmentssubsequentlyinresponsetonationalandinternationalinitiativesandeventsearlieratAfricaSaniiin2008inDurbanSouthAfricaforexampleministersbelongingtotheAfricanMinistersrsquocouncilonWatercommittedtothemeasurabletime-boundsanitationtargetsenshrinedintheeThekwiniDeclarationandmadeapledgeonbudgetlinesforsanitationandhygiene

ethekwiniDeclaration

TheeThekwiniDeclarationwassignedbyover30AfricangovernmentministersinDurbaninfebruary2008Thedeclarationrecognizedtheimportanceofsanitationandcommittedthesignatorygovernmentstoestablishingspecificpublicsectorbudgetallocationsforsanitationwiththeaimofspending05ofGDPonsanitationSource WSP-Africa (2008)

Inmanycasespoliticalwillhasnotyetcatalysedtheenablingenvironmentrequiredtosecureadequateprogressagainstnationalsanitationanddrinking-watertargets(table11)

tABLe11Meetingpoliticalcommitmentsprogresstowardsattainingsanitationanddrinking-waterobjectives(ofcountriesreportingattainmentofkeyurbanruralsanitationanddrinking-waterobjectives)

Regionalbreakdown Targetsinplace Policiesadopted Adequatefinance(perceived) Adequateoutputs1

NorthernAfricaEasternCentralandWesternAsiaandtheCaucasus

97 88 44 49

LatinAmericaandCaribbean 100 52 30 32

SouthernandSouth-easternAsiaandOceania

86 63 32 36

Sub-SaharanAfrica 94 73 9 20

TOTAL 93 70 22 30

Thepercentagesshownarebasedonprogressineachofthefourldquosub-sectorrdquoareasofWASHservices(urbansanitationruralsanitationurbandrinking-waterandruraldrinking-water)expressedasanaggregatefigureForexampleifacountryreportedadequatefinancingforurbanwatersupplybutnotfortheotherthreeldquosub-sectorsrdquotheaggregatescorewouldbeexpressedas25

1 Annualprogressat75ormoretomeettarget

Source 2011 GLAAS country survey (74 country respondents)

10

Nearlytwothirdsofcountriesrespondingtothe2011GlAASquestionnaireindicatedtheircommitmenttotrackingandpubliclyreportingonprogressmadeatinternationaleventssuchastheonesmentionedaboveThesefindingstakentogetherwiththereportedincreasesinexpenditureforwaterandsanitationbyseveralcountriesfrom2009to2011areevidenceofconcreteactionresultingfromnationalandinternationalWAShcommitmentsTheeffortsoftheSWApartnershiprunthroughthisconsistentlyandareaimedatcoordinatingleveragingandenhancingcommitments

The2012JMPprogressreport(UNicefWho2012)describesthesuccessofmanycountriesinreducingtheproportionofpeoplewithoutaccesstoimproveddrinking-watersourcesandtoimprovedsanitationfacilitiesAtthenationallevelprogressfrequentlyexceedsthatrequiredtomeettheMDGtargetsAnumberofcountriesfromlatinAmericaNorthernAfricaandWesternAsiareportthattheyareontrackinmeetingnationaltargetsandsurpassingtheJMPharmonizedglobalcriteriaforimprovedwaterandsanitationsuchasuniversalaccesstoapipedseweragesystem

Whenitcomestomeetingself-imposednationalwaterandsanitationtargets(asopposedtothegloballyagreedMDGtarget)howevermostcountriesreportthattheyarefallingshort83and70ofcountriesreportfallingsignificantly

behindthetrendsrequiredtomeetnationalaccesstargetsforsanitationanddrinking-waterrespectivelyAdditionallyonehalfofrespondingcountriesreportthattheyarenotontracktoachievetargetsdeclaredattheregionalorinternationallevel(egtheeThekwinigoalofallocating05ofGDPtosanitation)

AccountabilityisstrengthenedbyensuringthatnationalregionalandlocalplanningandreviewprocessesareopenandinclusiveinvolvingawiderangeofstakeholdersincludinglocalcommunitiesGlAASdatashowthatapproximatelyonehalfoftherespondingcountriesreportedtheexistenceofperiodicreviewsystemsandonly28ofcountrieshaveputinplaceandsystematicallyapplyproceduresforlisteningtoconsumerinput

inadditiontomakingsomeformofministerial-levelpoliticalorfinancialcommitmenttosanitationanddrinking-waterallcountriesparticipatinginGlAAShavetakenstepstoincreasetransparencybyallowingtheircommitmentsandactionstobeinthepublicdomainThisisevidencedbytheirindividualparticipationintheGlAASsurveyandtheincreasednumberofcountriesrespondingtothesurvey(Table12)itisalsoevidencedbytheireagernesstoattendtheSWAhighlevelMeeting

progresstowardsHighLevelMeetingcommitmentsrelatingtopoliticalwillandinternaladvocacy

Manyofthecommitmentsmadebyministersortheirrepresentativesatthe2010SWAhighlevelMeetingreflectedanincreasedpoliticalwillandaddressedraisingthepriorityofsanitationandwateratthenationallevelSeveraloftheircountriesalreadyhavereportedprogressThePresidentofliberiaforexamplehasbeenahigh-profileandcommittedproponentofwaterandsanitationprovidingleadershiptothedevelopmentofanSWAldquoWAShcompactrdquowhichshesignedinearly2012in2010thePresidentofBurkinafasopersonallylaunchedthenewsanitationandhygienecampaigninSenegalthegovernmenthastakenstepstoenhancetheimportanceofdrinking-waterandsanitationwithinthenewnationaleconomicandsocialpolicyThegovernmentofMongoliahaspromotedtheimportanceofdrinking-waterandsanitationamongministryofficialsanddecision-makersSeveralcountrieshavealsocommittedtomeetingtheircommitmentsmadeunderotherinitiativesforinstanceethiopiahasdevelopedaplantomeetitssanitationcommitmentsinlinewiththeeThekwiniDeclaration

tABLe12Developingcountriesparticipatinginthe2012GlAASreport1evidenceofincreasedaccountability(74respondents)

MDGregion Countriesparticipatingin2011GLAASsurvey2 Proportion()ofpopulationrepresentedin

theregion

EasternAsia Mongolia lt1

CentralAsiaandCaucasus azerbaijankyrgyzstantajikistanuzbekistan 18

LatinAmericaandCaribbean Bolivia (Plurinational state of) Brazilcolombiadominican republicel salvadorhaitiHondurasPanamaParaguay

50

NorthernAfrica egyptMorocco 68

Oceania fijisamoa 10

SouthernAsia afghanistanBangladeshBhutanIndiaIran (Islamic republic of)MaldivesNepalPakistansri lanka 100

South-easternAsia CambodiaIndonesiaLaoPeoplersquosDemocraticRepublicMyanmarPhilippinesThailandTimor-LesteVietNam

94

Sub-SaharanAfrica AngolaBeninBurkinaFasoBurundiCameroonCentralAfricanRepublicChadcongoCocirctedrsquoIvoireDemocraticRepublicoftheCongoequatorial guineaEthiopiagabongambiaGhanaguineaguinea-BissauKenyaLesotholiberiaMadagascarMalawiMaliMauritaniaMozambiqueNigernigeriaRwandaSenegalSierraLeoneSouthAfricaSouthSudanTogoUgandaZimbabwe

85

WesternAsia JordanlebanonOmanyemen 17

1 AdescriptionofthemethodologyemployedbyGlAASisfoundinAnnexAcountryresponseswerecoordinatedbygovernments2 TherearethirtyfournewrespondentcountriestoGlASSsurveythesearehighlightedinblue

11

overalldataindicatesthatdecision-makershavedemonstratedtheirgoodintentionstoimproveWAShservicesBecauseofanincreasedcommitmenttoaccountabilitycountriesrsquoWASh-relatedeffortsandoutputsarebetterunderstoodanddocumentedfromthisevidencehoweveritisclearthatavarietyofbarriersdiscussedlaterinthereportarecontinuingtoimpedethedeliveryoftangibleresultsifmoresubstantiveprogressistobemadeWAShdecision-makersneedtobecomemoreseriousandengagedinthefollow-uptotheircommitmentstodeliverresults

12

policiesplanning2 andcoordination

KeyMeSSAGeS

bullGloballyprogresshasbeenmadeintheadoptionofnationalpolicieswith63and77ofrespondingcountrieshavingadoptedandpublishedpoliciesforsanitationanddrinking-waterrespectivelyManycountrieshaveagreedandpublishedpoliciessincethelastGlAASreport

bullMostcountrieshaveestablishednationalsectorplanningandcoordinationprocessesbutmanyalsoreporthavinginadequateinformationanddataforeffectiveinvestmentplanningonlyonehalfofrespondingcountriesreportthattheirplanningprocessesarebasedonannualorbiennialreviewsandevenfewercountriesareinapositiontoperformtheirplanningbasedonreliabledatafromnationalinformationsystems

bullover90ofcountrieshavedecentralizedresponsibilityforwaterandsanitationbutoperationaldecentralizationhasbeenaccompaniedbyfiscaldecentralizationinonly40ofcountriessurveyedpotentiallyweakeningthecapacityoflocalgovernmenttoplananddeliverservices

bullcountriesareprogressivelyadoptingapreventiveldquowatersafetyplanningrdquoapproachtodrinking-waterqualitymanagement

bullDespiteaclearrecognitionoftheimportantcontributionthathygienemakestohealthnationaltargetshavegenerallynotbeenestablishedforhygienepromotionprogrammes

2PolicieSPlANNiNGANDcoorDiNATioN

21 PolicyADoPTioN

countriesrecognizetheimportanceofdevelopingnationalsanitationanddrinking-waterpoliciesthatestablishobjectivesdefinerolesresponsibilitiesandexpectationsandsetboundariesforgovernmentsandpartnerseffectiveandefficientservicedeliverycanbeparticularlydifficulttoachieveincountrieswheregovernment

departmentsoragenciesarenotguidedbyspecificsanitationanddrinking-waterpolicies

Globally63and77ofcountriesreportedpoliciesthathavebeenagreedandgazettedforsanitationanddrinking-waterrespectivelyThe2009ndash2011trendshowsimprovementcountriesthatrespondedtoboththe2009and2011GlAASsurveysshowstrongprogresswithanadditional

14countries(outof38commonrespondents)havingagreedandpublishedpoliciessince2009primarilyinAfricaSomecountriesnotedthatthepolicyimplementationwashinderedbyunpredictablefinancingandinadequatedisseminationofthepolicymessage

Urbanandruralsanitationpolicieshavebeenadoptedandpublishedin63ofrespondentcountriesupfrom40in2009demonstratingthatcountriesareprogressivelytacklingtheurgentneedtoaddresssanitationissuesDrinking-waterpolicyadoptionratesarehigherandshowasimilarpatternofprogress(Figure21)

Drinking-waterpolicyadoption2011

Sanitationpolicyadoption2011

Isthereasectorpolicyagreedandpublished

FIGUre21isthereasanitationandordrinking-watersectorpolicyagreedandpublished

Sources 2011 GLAAS country survey (74 country respondents) 2009ndash2010 CSO and GLAAS country survey1

policyadoption2011 trendfrom2009to2011(38countries)

forthe2010GlAASreport(Who2010)UN-WaterGlAASandtheWorldBankrsquosWaterandSanitationProgramcollaboratedtodevelopathree-partsurveyquestionnaireanddataconsultationprocessforcountriesintheAfricaregionThesecountryStatusoverviews(cSos)reportontheextenttowhichcountrieshaveputinplacetheinstitutionsandpoliciesneededtomeettheirwaterandsanitationtargetstheirfinancingrequirementsandsectorsustainabilityandincluderecommendationsonhoweachcountrycouldimproveperformanceresultsfromthe2009ndash2010cSoandGlAAScountrysurveyareusedforcomparativepurposesinsomeofthefiguresinthisreport

14

1

SANItAtIoNSustainedprogressinurbansanitationrequiresinfrastructuretokeepupwithgrowthandtheexistenceofsufficienttechnicalcapacityandfinancialresourcestomeetdemandforthecreationofsanitationfacilitiesandexcretaremovaltreatmentanddisposalAmajorityofrespondentcountriesreportedestablishingplansfortheexpansionofurbansanitationservicestogetherwithspecificpolicyprovisionstoaddresstheissueinslumsandinformalsettlementsDespitethismostcountriessubmittingdatatoGlAASindicatedthatannualoutputsaresignificantlylessthanwhatisneededtomeetnationalurbansanitationtargets

inruralsanitationonly20ofcountriesreportthatthesupplyofskilledlabourandtechniciansisadequatetoensureprogresshowevermostcountriesindicatethatgovernmentpoliciesexistorarebeingformulatedtodevelopthe

privatesectorandtofurtherdevelopsanitationproductsandservices

WAterSAFetyPoliciespromotingcontinuousvigilanceintheformofpreventiveriskmanagementwillcontributetoimprovingwaterqualityandreducingdiseaseThisvigilanceisoftenlackinghoweverinpartbecausewatersupplyoperatorsarefrequentlyoverwhelmedbytheiroperationalandfinancialchallengessuchthattheyareunabletoaddresstheirimportantpublichealthprotectionroleTheWhoGuidelinesforDrinking-waterQuality(Who2011)recommendwatersafetyplansaproactivemanagementapproachencompassingthewholewatersupplychainfromcatchmenttoconsumer

TheglobalmomentumtowardswatersafetyplanningissupportedbythefindingsfromtheGlAASreport(figure22)

Thelevelofprogresswithwatersafetyplansisillustratedinmoredetailinfigure22showingtheWhoregionsofSouth-eastAsiaandtheWesternPacificwherecertaincountrieshavemadenotableprogressofthecountriesencouragingwatersafetyplanning13outof24inSouth-eastAsiaandtheWesternPacificcurrentlyhaveapolicyorregulatoryrequirementonwatersafetyplanswhereasanadditional8countriesareplanningtoupdatetheirpoliciesandregulationstoincorporatethisapproach

Tobeeffectivewatersafetyplansneedtobecontinuallyreviewedandupdatedincludinginresponsetoexternalauditsspecifiedinregulationsinthisregardcountriesneedtotakesubstantiveadditionalactionsbeforethebenefitsofthewatersafetyplanningapproachcanberealized

Watersafetyplanningisgainingglobalmomentumwith81oftherespondentcountrieseitherencouragingorrequiringwatersafetyplansinpoliciesandregulationsorreportingpilotexperiences(Figure22)

FIGUre22isthereanationalpolicytodevelopandimplementwatersafetyplansorotherpreventiveriskmanagement

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

Isthereanationalpolicytodevelopandimplementwatersafetyplansorotherpreventiveriskmanagement

Isthereanationalpolicytodevelopandimplementwatersafetyplansorotherpreventiveriskmanagement

15

2PolicieSPlANNiNGANDcoorDiNATioN

HyGIeNeDespitewidespreadrecognitionoftheimportantcontributionofhygienetohealthhygienepromotionprogrammesarenotdrivenbytheestablishmentofnationaltargetsonly19outof74countries(26)havedefinedtargetsfornationalhygienepromotionindicatinganimportantpotentialforimprovementbysystematizingplanningandestablishinganaccountability

frameworkinstarkcontrasttothisoperationalgap90ofcountriesincludehygieneintheirhealthstrategies

DespitelowoverallratesofimplementationofprogrammesbasedonresearchonlocalknowledgeattitudesandperceptionsonhygieneGlAAScountryreportssuggestthathygieneprogrammesinformedbythis

typeofresearcharegrowinginnumberexperienceindicatesthatitisdifficulttopredictwhetherandforhowlonghygienebehaviourchangewilllastMoreovertherearefewstudieswhosefindingsconfirmthepersistenceofhygienebehaviourlongaftercessationofprogrammeimplementation

FewcountrieshaveestablishedtargetsforhygienepromotionNationalbehaviourchangeprogrammesarenotsufficientlyinformedbyassessmentsoflocalattitudesandarefrequentlylimitedtosmall-scaleimplementation(Figure23)

Arenationalbehaviourchangeprogrammesbasedonresearchandaretherehygienepromotiontargets

FIGUre23Arenationalbehaviourchangeprogrammesbasedonresearchandaretherehygienepromotiontargets

Source 2011 GLAAS country survey (74 country respondents)

16

22 PlANNiNGANDcoorDiNATioN

Anenablingframeworkforprogressinsanitationanddrinking-watermustsupportthetranslationofpoliciesintoactionimportantfactorsincludeleadershipcoordinationlocalcapacityeffectivemonitoringandencouragementofbroadparticipationtoensureaccountabilitycoordinationcanbechallenginginthecommonscenariowhereresponsibilitiesfordifferentaspectsofWASharefragmentedoveranumberofgovernmentagenciesthatdevoteonlyasmallshareoftheiroverallresourcestothisareaWhereoverallresponsibilityisunclearaccountabilityforperformanceistypicallyweakAgenciesmaynotnecessarilybeheldaccountableandissuesthatareperceivedtobeoflesserpriorityorevenmarginalinaspecificinstitutionalcontextwillhavedifficultyinsecuringadequatefinancialandhumanresourceseventhoughtheymaybeessentialcomponentsoftheoverallsanitationanddrinking-waterframework

The2011surveyindicatessomeprogressinovercomingthemajorobstaclesidentifiedbyGlAASrespondentcountriesin2009whichincludedthefollowing

bull Approachesusedfordevelopingpoliciesarenotcoherentandholisticwithineachministry

bull Agenciesareworkingindependentlyonspecificpolicyaspectsratherthanbeingguidedbyanoverallframework

bull leadinstitutionsarenotdefinedespeciallyforsanitation

bull Thereisnostrategicplanonhowtargetsfordrinking-waterandsanitationwillbemetorforthepromotionofhygiene

bull Thereislowcapacityatlocallevelsintermsofoversightandservicedelivery

eighty-fivepercentofcountriesidentifiedaleadgovernmentagencyforsanitationindicatingaclearimprovementoverthesituationin2009onemayspeculatethatthisprogressmayhavebeenlinkedto

Leadinstitutionsforsanitationaredefinedinover85ofrespondingcountriesAdditionallymorethanhalfofrespondingcountriesreportthatcoordinationmechanismsamongdrinking-waterinstitutionsarebothdefinedandoperational(Figure24)

Sanitationleadgovernmentagencyinplace2011

Institutionalleadandrolesdefined2011

Drinking-waterinstitutionalrolesclearlydefined2011

Isthereagovernmentleadagencyareinstitutionalrolesclearlydefined

trendfrom2009to2011(38countries)

FIGUre24isthereagovernmentagencywithaclearmandatetoleadandcoordinatepolicydevelopment(sanitation)Areinstitutionalrolesofruralandurbanplayersclearlydefinedandoperational(drinking-water)

Sources 2011 GLAAS country survey (74 country respondents) 2009ndash2010 CSO and GLAAS country survey

17

2PolicieSPlANNiNGANDcoorDiNATioN

risinginternationalattentiongiventosanitationsuchasthroughtheinternationalyearofSanitation(2008)Whileleadagencieshavebeenidentifiedcountriescommentthatpoorcoordinationstillexistsamongimplementingagenciesparticularlyforsanitationinmanycountriesgovernmentcoordinationstructureshavebeenestablishedatthenationallevelbutthisprocessoffirmingupcoordinationstillneedstotrickledowntoprovincialandlocallevelsalthoughadmittedlythebarrierstocoordinationmaybeloweratthoselevels

TheGlAASsurveydidnotaskcountriestoreportontheexistenceofadefinedleadgovernmentinstitutionfordrinking-watersimplybecausethisisconsideredestablishedpracticehoweveronehalfofthecountriessurveyedreportedthattheyhadaccomplishedthemoredifficulttaskofbothdefiningandoperationalizingtherolesofthemultipleinstitutionsresponsiblefordrinking-watersystemsandservices

Commitmentstobettercoordination

Theneedtostrengthenlinkagesbetweensectorsandimprovecoordinationwas

recognizedattheSWAhighlevelMeetingin2010andcountriesmadecommitments

specificallyrelatingtothisissueAngolahassinceheldaNationalinterministerial

Meeting(ministriesofwaterenvironmenthealtheducationterritorialadministration

andfinance)Angolaalsocommittedtostrengtheningaccountableinstitutionswhere

theyarelackingandismakingprogressonexertingstrongnationalleadershiptobring

coherencetothesectorsplansandstrategiesethiopiareportsmakingprogress

onitscommitmenttoimprovingtheWAShplanningandcoordinationprocessby

strengtheningnationalplansandpartnershipsBurkinafasohasalreadyestablished

theWaterandSanitationPartnershipframeworkthatitcommittedtocreateThis

frameworkwillimprovepartneranddonorcoordinationandisexpectedtoleadto

increasedfinancingofsanitationanddrinkingwaterwithinthenationalbudget

Ghanatranslatesstrongpoliciesintooutputsforwatersupply

SuccessfultranslationintooutputsneedsstrongpoliciestobeaccompaniedbyeffectiveimplementationarrangementsandadequatefinancingforexampleGhanahasexceededitsMDGtargetof77watersupplycoveragebyenablingover10millionpeopletogainaccesstodrinking-waterfromanimprovedsourcebetween1995and2010(WhoUNicef2012)itssuccesscanbeattributedinparttoeffectiveimplementationarrangementsthatareinplaceforruralandurbanwatersupplythroughthecommunityWaterandSanitationAgencyandtheGhanaWatercompanylimitedclarityonbudgetsthroughseparatelineitemsandanexistingregulatoryframework

forsanitationGhanapublishedaNationalenvironmentalSanitationActionPlanandinvestmentPlanin2010andhasadoptedcommunity-ledTotalSanitationasastrategyWhilehouseholdsareexpectedtoinvestinsanitationthereishowevernoclarityonfinancingforsanitationsoftware(iedemandgenerationandbehaviourchangeactivities)

Mostcountrieshaveestablishedplanningandcoordinationprocessesbuttheyarenotnecessarilysupportedbyadequateinformationanddata(table21)

tABLe2 1Planningcoordinationandmonitoringprocessesprogressonselectedindicators(ofcountriesthatreportedestablishmentofkeyurbanruralsanitationanddrinking-waterprocesses)

Regionalbreakdown Leadgovernmentagencyforsanitationinplace1

Institutionalrolesclearlydefinedandoperational

fordrinkingwater

Annualreviewusedforplanning

(waterandsanitation)

Investmentprogrammeagreedandpublished(waterandsanitation)

Usenationalinformationsystem

(waterandsanitation)

NorthernAfricaEasternCentralandWesternAsiaandtheCaucasus

78 68 63 93 51

LatinAmericaandCaribbean

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 Duetothedifferentlevelsofrigorforthequestionsongovernmentcoordinationsanitationappearstobedoingbetterthandrinking-waterhoweverthequestiononsanitationmerelyindicatestheexistenceofaleadagencywhereasthedrinking-waterquestionassessesthelevelofcoordinationamongkeyactorsSpecificallyforsanitationthequestionaskedwhethertherewasaldquogovernmentagencywithaclearmandatetoleadandcoordinatethepolicydevelopmentandplanningofinstitutionsrdquofordrinking-waterthequestionaskedwhethertheldquoinstitutionalrolesofruralandurbanplayers[nationalandlocalgovernmentutilitieswaterboardsregulatorsetc]areclearlydefinedandoperationalrdquo

Source 2011 GLAAS country survey (74 country respondents)

18

23 revieWSMoNiToriNGANDrePorTiNG

Thesystematicperformanceofperiodic(ieannualorbiennial)reviewstomonitorandevaluatetheperformanceofsanitationanddrinking-wateruptakeandservicesisincreasinglyusedbycountriesasabasisforplanningTheadoptionofthisapproachservestwopurposesfirsttoprovidegreaterstakeholderparticipationandjointownershipandsecondtoprovideameanstoholdgovernmentanddonorsaccountableforaccountableforacheivingexpectedresultsThisprocessisparticularlyimportantwheretherearealargenumberofactorsinsanitationanddrinking-watersinceitarticulatesandreiteratescommongoalsreducesduplicationandpromotesmutualaccountabilitySector-widereviewsthatareledandownedbynationalgovernmentandinvolveallmajorstakeholdersarekeytoimprovingWAShcoordinationandplanning

countriesthatrespondedtotheGlAASquestionnairesinboth2009and2011havemadestrongprogresswithanadditional14and9countries(outof38commonrespondents)havingestablishedperiodicreviewprocessesthatareusedforplanninginsanitationanddrinking-waterrespectivelysince2009

ethiopianministriesdefinecoordinationbutimplementationremainsweakatlowerlevelsof

government

inordertofacilitatetheintegratedimplementationofWAShinethiopiathethreeconcernedlineministriestheformerMinistryofWaterresourcestheMinistryofhealthandtheMinistryofeducationsignedaMemorandumofUnderstandingforjointcooperationin2006TheMemorandumofUnderstandinghasfosteredrobustcoordinationattheregionallevelhoweverldquotheWAShMoU[MemorandumofUnderstanding]hasonlyverypartiallybeentransferredtoloweradministrativelevelswiththeresultthattheimplementationoftheMoUisnotstronginlocal(Woreda)governmentsrdquo(Governmentofethiopia2011)

periodicsectorreviewsareincreasinglybeingusedinsanitationwith85ofcountriesreportingorganizingsuchreviewsandonehalfofcountriesreportingthattheiroutcomesareusedforsanitationplanning(Figure25)

FIGUre25isthereanannualorbiennialreviewofthesector

Sources 2011 GLAAS country survey (74 respondents) 2009ndash2010 CSO and GLAAS country survey

Sanitationannualbiennialreviewprocesses2011

Annualorbiennialreview2011

trendfrom2009to2011(38countries)

Drinking-waterannualbiennialreviewprocesses2011

Isthereanannualorbiennialreviewofthesector

19

2PolicieSPlANNiNGANDcoorDiNATioN

fourcountriesrespondedthattherewasnoprocessofreviewineithersanitationordrinking-waterreviewanddecision-makingprocessesneedtobeinformedbyreliablesectorinformationcomprehensivemonitoringonaroutinebasisisapracticethatmostsurveyedcountriesareintheprocessofdevelopingcountryrespondentsindicatethatcoordinatingthemonitoringprocessoftencarriedoutbyseveralentitiesatbothlocalandregionallevelsiscomplexandchallenginginadditioncountryrespondentsconfirmthatwhiletheremightbeeffectiveprojectorprogrammemonitoringsystemsreliablesector-wideinformationsystemsremaintobedeveloped

HighLevelMeetingcommitmentsforbettermonitoring

robustsectormonitoringincludingthemonitoringofpreviouscommitmentswasthesubjectofmanycommitmentsattheSWAhighlevelMeetingin2010Mauritaniacommittedtoincreasingfollow-upandtransparencyinthetechnicalandfinancialimplementationofwaterandsanitationprogrammesthroughsteeringcommitteesmonitoringandevaluationandauditsthecountryreportsthatthisisprogressingwellethiopiaisworkingtoachieveitscommitmenttoimprovenationalmonitoringandinformationmanagementsystemsbycreatingaWAShinventoryandstrengtheningthenationalmonitoringandinformationsystemsforhealthandwaterresourcesliberiacommittedtothedevelopmentofamonitoringandevaluationsystemfortheWAShsectorandreportsgoodprogress

Countriesreportthatonly42ofurbanruralsanitationanddrinking-watersectorsareinformedbyreliableinformationmonitoringsystems(Figure26)

Yes and used Under development No

42

42

16

FIGUre 26 is there a national information system used to informdecision-making

Source 2011 GLAAS country survey (74 country respondents)

JointSectorreviewinNepal

Nepalwherethereareanumberofstateandnon-stateactorsworkinginWAShhelditsfirstJointSectorreviewinMay2011TheJointSectorreviewdiscussedaspeciallycommissionedreportonthestatusofWAShinthecountryidentifiedandprioritizedthreetofourkeyactionsthataretobetakenbyalltherelevantstakeholdersintheyearaheadandagreedtoholdanotherJointSectorreviewin2012

Source Government of Nepal (2011)

Civilsocietyorganizationsproducejointperformancereportinethiopia

inkeepingwiththeprincipleofmutualaccountabilitythecivilsocietyorganizationsoperatinginethiopiaproducedanAnnualJointreportonWAShin2010Thisemanatedfromacommitmentmadeatamultistakeholderforumin2009thatWAShsectorcivilsocietyorganizationswouldproduceanannualperformancereportthatcouldbeincorporatedintotheNationalWAShreportproducedbytheNationalWAShcoordinationoffice

Source Government of Ethiopia (2011)

BurkinaFasoinformationsystemdetailsprocessandoutcomeindicators

Somecountrieshavemadegoodprogressinestablishingsector-wideinformationsystemsthatinformdecision-makingTheProgrammenationaldrsquoApprovisionnementeneaupotableetdrsquoAssainissementofBurkinafasopublishesanannualreportondetailedprocessandoutcomeindicatorsfordrinking-waterandsanitationbothurbanandruralTheseincludeaccesstowaterandsanitationproportionofwatersourcesthatarefunctioningcoverageofschoolshealthcentresandpublicspacesandgoodgovernanceindicatorssuchastheproportionofdrinking-waterprovisionsandtheproportionofpublictoiletsmanagedbydelegation

Source Government of Burkina Faso (2011)

20

24 DeceNTrAlizATioN

inmostdevelopingcountriesresponsibilitiesfordrinking-waterandsanitationservicesaredevolvedtothelocallevelWhendecentralizationiseffectiveitensuresthatservicesareappropriateforlocalneedsthatoperationandmaintenancerequirementsaremetandthatfacilitiescreatedaresustainedovertimeThisdoesnotimplythattheseservicescanoperatewithoutanysupportfromhigherlevelseffectivedecentralizationrequiresadequatetechnicalfinancialandhumanresourcessupporttolocalauthoritiesTheprincipleofsubsidiarityappliestheinitiativetoseeksupportshouldcomefromthelocallevelwheneverthechallengesfacedcannotbesolvedwiththetechnicalfinancialandhumanresourceslocallyavailableindependentregulationandqualitycontrolarefunctionsperformedatahigherlevel

over90ofcountriesindicatedthatservicedeliveryhasbeendecentralizedforsanitationanddrinking-watersupplyhoweverasshowninfigure27lessthanhalfhaveundertakenfullfiscaldecentralization

AsreportedrecentlybytheAfricanMinistersrsquocouncilonWater(AMcoW)ldquothemajorchallengestilltobeovercomeisthatofdecentralizationandthelocalmanagementofwatersupplyandsanitation(WSS)servicesAlllocalmanagementstakeholdersincludingthecontractingauthoritythecommune(localauthorities)theregionaltechnicaldepartmentsthatshouldsupportthemaswellasthewaterusersrsquoassociationsandthelocalprivatesectorsufferfromaseverelackofhumantechnicalandfinancialresourcesthatpreventsthemfromsuccessfullyundertakingtheirnewresponsibilitiesandensuringthatinvestmentissustainablerdquo(AMcoW2011)

only40ofcountriesthathavedecentralizedservicedeliveryhavedecentralizedfiscalresponsibilities(Figure27)

41

59

Operational and fiscal responsibilities Only operational decentralization

FIGUre27TowhatdegreehasdecentralizationofservicebeencarriedoutinsanitationNoteAsimilarproportionwasfoundfordrinking-water

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

DecentralizationofruralwaterservicedeliveryinIndia

in2010theindianPlanningcommissionperformedanevaluationstudyoftherajivGandhiDrinkingWaterMissiontheflagshipruralwaterprogrammeinindiaandfoundthatonly8ofthesurveyedhouseholdswerewillingtopayforoperationandmaintenanceTheyconsideredoperationandmaintenancetheresponsibilityoftheGramPanchayat(thevillagecommittee)howeveroveronehalfoftheGramPanchayatshaveexpressedtheirinabilitytotaketheresponsibilityofoperationandmaintenanceldquoinalargemajorityoftheGramPanchayats(50outof63)formalhand-overofoperationandmaintenanceoftheassetscreatedundertheMissionhasnotbeendonerdquo(Governmentofindia2010)

21

2PolicieSPlANNiNGANDcoorDiNATioN

25 locAlSTAKeholDerPArTiciPATioN

consultationwithinvolvementofandparticipationbylocalstakeholdersarecrucialtoensurethatpolicieslegalframeworksmonitoringreportsreformsbudgetsexpenditureprioritiesandresourceplansarereviewedandfullyownedbystakeholdersandthatusersreceivetheservicesthattheywantandarewillingtopayforconsultationcanbepromotedthroughvariousinstitutionalframeworksorprocessesatlocalnationalandregionallevelscountrieshaveattemptedtoinstitutionalizeparticipationthroughlocalwaterandsanitationcommitteesregisteredusergroupsandregulatorysystemsthatfacilitateconsumerfeedbackandldquoconsumervoicesrdquotobeheard

respondentssuggestthatsomecountrieshavelawspoliciesorplansforinformingconsultingwithandsupportingparticipationbycitizensbutthesefrequentlyarenotspecifictosanitationanddrinking-water

Asfigure28suggestsprocedurestosupportlocalstakeholderparticipationinplanningbudgetingandimplementingprogrammeshavenotbeensystematicallyappliedinamajorityofrespondingcountriesover70ofcountriesindicatedthateithertherearenoproceduresforlocalstakeholderparticipationorproceduresarenotsystematicallyimplementedrespondentssuggestthatthemechanismsthatdopromotepublicengagementonsanitationanddrinking-waterspecificallyarenotuniformlyimplementedalthoughthetrendisimprovingStrengtheningparticipatoryprocesseswillensurethatplannedinvestmentsareappropriateforthecommunityleadtogreaterlocalsupportofdecision-makingprocessesoutputsandrecurrentinvestmentneedsandimprovesustainabilityofsanitationandwaterservicescomparingthetrendsfordrinking-waterandsanitationitseemsthatpursuingcommunityengagementintheplanningandimplementationprocessesfordrinking-watermaybeeithereasierormoreattractivethandoingthesameforsanitation

Localstakeholderparticipationinplanningbudgetingandimplementingprogrammeshasimprovedsince2009withmorecountrieshavingestablishedsystematicprocessestofacilitatestakeholderparticipationbutsystematicapplicationisstilllowoverall(Figure28)

Drinking-waterproceduresforstakeholderparticipation2011

Sanitationproceduresforstakeholderparticipation2011

trendfrom2009to2011(38countries)

Arethereproceduresforinformingconsultingampsupportingparticipationbyindividualscommunity

FIGUre 28 Are there procedures for informing consulting and supportingparticipationbyindividualscommunity

Sources 2011 GLAAS country survey (74 respondents) 2009ndash2010 CSO and GLAAS country survey

Stakeholderparticipation2011

22

26 iMPlicATioNSforThefUTUre

ThissectionshowsthattheWAShsectorisbecomingmorecoherentwithgreaterfocusonsanitationandthatprogressisbeingmadeonmanyoftheldquoeasierrdquoimprovementssuchasthoserelatedtodemonstratingcommitmentthroughthesettingoftargetsprogressivelyadoptingWAShpoliciesandimprovingcoordinationincludingbyengagingmorestakeholdersinplanninghoweverthissectionalsoshowslimitedprogressonmanyofthemoreldquodifficultrdquoissuessuchassuccessfullyimplementingpoliciesdevelopingeffectiveandcoherentplanningandmonitoringsystemsandeffectivelysupportingthelocallevelinthedeliveryofservices

TacklingthedifficultissueswillrequirecontinuedstrengthandclarityofleadershipwithdefinedrolesandresponsibilitiesPlanningprocessescouldbedramaticallyimprovediftheycouldrespondtodatamadeavailablethroughmanagementinformationsystemsinthisregardWAShservicedeliverycouldundoubtedlybenefitfromastrengthenedldquowholesystemsrdquoapproachwhichwouldentailinclusionofWAShincoregovernmentsystemsforplanningandresourceallocation

23

2 Financing3

KeyMeSSAGeS

bullcentralgovernmentcontinuestobeamajorsourceoffundingforwaterandsanitationalthoughmanylow-andmiddle-incomecountriesremaindependentonexternalaidexternalfundingforWAShamountedtomorethan1ofGDPinsevendevelopingcountries

bullexistinglevelsofhouseholdandprivateinvestmentarepoorlyunderstoodbutavailabledatasuggestthattheyaresignificantsourcesoffinancingandcanmakemajorcontributionstosupportingoperationandmaintenanceofservices

bullThemajorityofcountriesreportthatsectorinformationsystemsforfinancialplanningandreportingareinadequate

bullDatasuggestthatfundsspentonoperationandmaintenanceareinsufficientAmajorityofcountriesindicatethatruralwatersupplyprogrammesarenoteffectiveduetolackoffundingwhereasonethirdofcountriesreportthaturbanutilitieslackrevenuetofundoperationandmaintenance

bullfundinglevelsforWASharereportedtoremaininsufficientespeciallyforsanitationDrinking-watercontinuestoabsorbthemajorityofWAShfundingevenincountrieswitharelativelyhighdrinking-watersupplycoverageandrelativelylowsanitationcoverage

bullMostcountriescouldnotreporthowmuchtheyspendonhygieneandforthosethatdiditwasonlyabout2ofWAShexpenditure

bullThebreakdownofexpenditureforWAShinruralandurbanareasappearsonlyweaklycorrelatedwithneeds

bulllongprocurementprocessesandheavyadministrativeburdensmeanthatmanycountriesstruggletoefficientlydisbursethelimitedfundsthatarecommittedAbsorptionofdomesticcapitalcommitmentsishigherthanthatofdonorcommitmentsbutappearstobedeclining

bullTostrengthenthecollectionofWAShfinancialinformationaharmonizedmethodofdatamonitoringisneeded(onesuchmethodisproposedinAnnexB)

3 fiNANciNG

extendingandsustainingwaterandsanitationprogrammesandinfrastructurerequireamongotherthingsadequatefundingandsoundfinancialmanagementTheseincludeinvestmentplanningsecuringfundsforproposedbudgetsmakingefficientandtimelydisbursementsandmonitoringoutcomesPreviousanalyseshaveshownthatglobalspendingisfarlessthanwhatisrequiredtomeettheMDGs(huttonampBartram2008)andanalysisofregionalspendinginAfricaforexampleshowsthatexpenditureisonequarterofwhatisrequiredfordrinking-waterservicesalone(fosterampBricentildeo-Garmendia2010)inadequatefundingforsanitationanddrinking-waterinfrastructureandforitslong-termoperationandmaintenancewasthemostfrequentlycitedobstaclebyGlAASsurveyrespondents

31 SoUrceSoffUNDiNGANDhoWMUchiSBeiNGSPeNT

fundingforwaterandsanitationisrequiredfornewcapitalinvestmentandforrecurrentexpensesofoperations(operationalexpenditure)capitalmaintenance(long-termrenewalsandrehabilitationusuallyrecoveredasanannualldquodepreciationrdquocharge)andanycostsofcapital(interestpaymentsonloansandanyrequireddividendreturnstoequityproviders)fundingforthesewaterandsanitationcostscancomefromthreemainsourcescommonlyreferredtoastheldquo3TsrdquoofWAShldquotariffsrdquowhicharefundscontributedbyusersofWAShservices(andalsoincludingthevalueoflabourandmaterialinvestmentsofhouseholdsmanagingtheirownwatersupply)ldquotaxesrdquowhichrefertofundsoriginatingfromdomestictaxesthatarechannelledtothesectorbythecentralregionalandlocalgovernmentsandldquotransfersrdquowhichrefertofundsfrominternationaldonorsandcharitablefoundationsTransfersincludegrantsandconcessionalloanssuchasthosegivenbytheWorldBankwhichincludeagrantelementintheformofasubsidizedinterestrateoragraceperiodTheldquo3TsrdquoarediscussedinAnnexBaspecialGlAASthematicsectionthatreviewsthestateoftheevidenceonWAShfinancialflowsandproposesamethodologytoencourageandharmonizecountrymonitoring

ofthe74countriesparticipatinginGlAAS providinghalfofthereportedUS$198only17submitteddataonsourcesof billioninfinancialflows(figure31)fundingandjust4wereabletoprovidefiguresonthecontributionsmadeby Thesecondanalysiscoveredallofthehouseholdthroughthepaymentof ldquo3TrdquosourcesoffundingmdashtariffsfromtariffsTable31showsthesehousehold householdstaxesandtransfersmdashbutcontributionsrangingfrom30to61of

wasnecessarilylimitedtoonlythefourtotalreportedsanitationanddrinking-watercountriesthatwereabletosubmitthisfundingfromallsourcescombiningcapitalfulldatasetThisanalysisindicatesthatinvestmentandrecurrentcostsThesehouseholdcontributionsaccountforalimiteddataconfirmfindingsinprevious

reports(WorldBank2008oecD2009a) significantshareofinvestmentinthesefourindicatingthathouseholdcontributions countriesaccountingfor44offundingcompriseasignificantportionoffinance ascomparedwithnationalgovernmentforsanitationanddrinking-water whichcontributedonly18ofthereported

US$101billionwithinwaterandsanitationTwoanalyseswereperformedtodetermine finance(Table31)relativecontributionsoffinancingfromvarioussourcestosanitationanddrinking-

ThesedataconfirmtheimportanceofwaterThefirstanalysiswasconfined

financialcontributionsfromhouseholdtoassessingthefinancialdataontaxestariffsandself-supplyparticularlyandtransfersfromthe17respondentforrecurrentexpenditureandcapitalcountriesThisanalysisshowsthatcentral

governmentremainsthemajorsource expenditurefornon-networkedservicesofinvestmentinsanitationanddrinking- andtheneedtomonitortheseinthefuturewaterinmostofthecountriessurveyed

HouseholdfundingforWASHthroughtariffsandself-supplyisgenerallynotmonitoredLimiteddatasuggestthathouseholdfundingcontributesasignificantshareoftheoverallWASHfinancing(table31)

tABLe31contributionofhouseholdtariffs(andcostsassociatedwithself-supply)

Country ContributionofhouseholdtariffstototalWASHfunding

Contributionofhouseholdtariffstototal

operationalexpenditure1

Iran(IslamicRepublicof) 61 100

Bangladesh 36 87

Thailand 32 Datanotavailable

Lesotho 30 82

1 Progressivelyincreasingtheproportionofoperationalexpenditurefundedthroughhouseholdtariffsto100allowsforsustainablerecoveryofcostsassociatedwithoperationandminormaintenanceovertimethecombinationoftariffsandtaxationneedstofundoperationalexpenditurepluslong-termcapitalmaintenanceandanyinterestcostsofloans

Source 2011 GLAAS country survey

CentralgovernmentbudgetallocationanddisbursementarethemajorsourceoffinancingforrespondentcountriesHouseholdcontributionsarepoorlyunderstoodbutcouldbeequallyifnotmoresignificant(Figure31)

FIGUre31Sourcesoffinancingforsanitationanddrinking-water

Source 2011 GLAAS country survey

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-waterexcludinghouseholds(17countriesUS$198billion)

Sourcesoffundingforsanitationanddrinking-waterinclusiveofhouseholdtariffandself-supply(4countriesUS$101billion)

26

exterNALSUpportinmanyrespondentcountriesexternaldevelopmentaidremainsamajorsourceoffinancingforsanitationanddrinking-water(Table32)mostlikelyforcapitalinvestmentinthesecasesstrongcoordinationamongdonorsandalignmentwithWAShinvestmentprioritiesareessentialGlAASdataindicatethatcoordinationmechanismsaremorelikelytobeinplaceforcountrieswithmultipledonors

Asdiscussedfurtherinsection6overUS$89billionindevelopmentaidwasdirectedtosanitationanddrinking-water

in2009MajorrecipientcountriesintermsofaidamountsincludechinaindiaindonesiaPeruTurkeytheUnitedrepublicofTanzaniaandvietNamcomprisingoverUS$15billioninannualsanitationandwateraid(2008ndash2009average)oDAtomiddle-incomecountriessuchaschina1indiaandTurkeyisprimarilycomposedofloansthathaveagrantelementofatleast25Sanitationanddrinking-wateraidcomprisedover1ofGDPforsevencountriesasshowninTable33b

Section6providesfurtherdetailsonexternalfinancialsupportforWASh

externalsupportcanbeamajorsourceoffinancingforsomecountrieshighlightingtheneedforstrongdonorcoordinationandalignmentwithsectorinvestmentpriorities(table32)

tABLe32respondentcountriesreportinggreaterthan25donorfinance

Country Donorfinance(asofgovernmentfinance)

Majordonors2 Numberofdonors Sectorwideapproachorothersectoralframeworkimplementedforwaterandsanitation

Investmentplanimplemented

Madagascar 26 WorldBankAfricanDevelopmentBankEU 12 Yes Yes

Honduras 39 SpainJapanWorldBank 14 Beingdefined Underpreparation

Kenya 41 GermanyWorldBankFrance 24 Yes Underpreparation

Afghanistan 46 WorldBankUSAGermany 13 Beingdefined Ruralwatersupply

Yemen 46 WorldBankGermanyNetherlands 12 Yes Yes

Bangladesh 63 AsianDevelopmentBankJapanWorldBank 19 Drinking-wateronly Yes

Lesotho 67 IrelandWorldBankUSA 9 Drinking-wateronly Urbanruralsupply

EUEuropeanUnionUSAUnitedStatesofAmerica

Sources 2011 GLAAS country survey OECD (2012)

ManydevelopingcountriesremaindependentonexternalaidforWASHItaccountsformorethan1ofGDpinsevendevelopingcountriesonlyoneAfricancountryisatopWASHaidrecipient(table33)

tABLe33Topaidrecipientsforsanitationandwateraidin2008ndash2009

a)TopWAShaidrecipientsbydollaramount(oDA) b)TopWAShaidrecipientsbyofGDP(oDA)

Country Averagedonordisbursementforsanitationanddrinkingwater

2008 2009(US$million)

DonorfinancingforWASH(asofGDP)

China 296 001

VietNam 274 029

India 252 002

Turkey 167 003

UnitedRepublicofTanzania 161 077

Indonesia 157 003

Peru 139 011

Country Averagedonordisbursementforsanitationanddrinkingwater

2008 2009(US$million)

DonorfinancingforWASH(asofGDP)

Timor-Leste 11 194

Samoa 9 180

Burundi 17 131

Nicaragua 74 120

Lesotho 21 118

Liberia 10 115

Haiti 69 105

Sources World Bank (2011) OECD (2012)

1 inadditiontoanaverageannualaidofUS$296millionchinareceivedanaverageannualamountofUS$332millioninnon-concessionallendingforwaterandsanitationin2008ndash20092 DataderivedfromoecDwiththeexceptionofBangladesh

27

3 fiNANciNG

32AllocATioNoffUNDiNGWhATiSMoNeyBeiNGSPeNToN

onemeasureusedtogaugepoliticalcommitmentandpriorityistheamountofpublicfundsexpendedinsanitationanddrinking-waterassessedasatrendorcomparedwithspendinginothersectorsforexamplethe2008eThekwiniDeclarationsignatoriessetatargetofspending05ofGDPonsanitationinthe2011GlAAScountrysurveyalimitednumber(13outof74)ofrespondentcountriesreportedtotalsanitationanddrinking-waterexpendituresonlyfromgovernmentandexternalfundingsources(multilateralandbilateraldonorsandcommerciallenders)forrespondingcountrieswithsufficientdatatheseexpenditureswerecomparedwithGDPAmedianannualexpenditureforsanitationanddrinking-watercoveringtaxes(domesticgovernment)andtransfers(donors)butexcludinghouseholdexpenditureswas073ofGDP

Increasingbudgetallocationstosanitationanddrinking-water

Alargeproportionofthecommitmentsmadeatthe2010SWAhighlevelMeetingrelatedtoincreasingtheallocationstowaterandsanitationfromdevelopingcountriesrsquoownbudgetsMorethan20specificcommitmentsweremadeby12countriesinthisrespectAfewstandoutbecausetheyweresignificantlyinfluencedbythehighlevelMeetingprocessandbecausethecountriesreporteitherhavingfulfilledthecommitmentorthattheyaremakinggoodprogressGhanamadeprogressonincreasingitsallocationsforwaterandsanitationinits2011budgetcreatingabudgetlineinwhichspecificallocationsweremadeforactivitiesrelatedtothecountryrsquos2010highlevelMeetingcommitmentsTimorlestereportsprogressonincreasinggovernmentinvestmentintheWAShgoingfromUS$2millionin2009toUS$112millionin2010andthentoUS$35millionin2011

Governmentexpenditure(fromtaxesandtransfers)onsanitationanddrinking-waterrangedfrom037to35ofGDp(Figure32)

Lesotho Honduras

Kenya Egypt

Thailand Nepal

Yemen Iran (Islamic Republic of)

Panama Colombia

Madagascar Bangladesh

Pakistan

351 116

111 092

080 080

073 069

046 045 042

038 037

00 10 20 30 40 Government-coordinated expenditure on WASH as a of GDP

FIGUre32Publicspending(fromfundsobtainedthroughdomestictaxesandexternal transfers) on sanitation and drinking-water as a percentage of GDP(2010data)

NoteNotallcountriesreportedcontributionsfromregionalandlocalgovernments(ieegyptKenyaandyemen)

Sources 2011 GLAAS country survey World Bank (2012)

Summarydatafromrespondentcountriesindicatethatmediangovernmentexpenditureonsanitationanddrinking-waterisonethirdofthatforhealthandonesixthofthatforeducation(table34)

tABLe34GovernmentexpenditureonhealtheducationandWASh

Country Governmentexpenditureonhealth(ofGDP)1

Governmentexpenditureoneducation(ofGDP)

Governmentexpenditureonsanitationanddrinkingwater

(ofGDP)

Bangladesh 11 242 04

Colombia 54 47 05

Egypt3 19 382 09

Honduras 46 mdash 12

India 13 mdash 02

Iran(IslamicRepublicof)

23 47 07

Kenya3 21 691 11

Lesotho 84 mdash 35

Madagascar 27 32 04

Nepal 17 47 08

Panama 61 382 05

Thailand 37 41 08

Yemen3 14 mdash 07

Minimum 11 32 02

Maximum 84 140 35

Median 23 55 07

1 2010data2 2008data3 Notallcountriesreportedcontributionsfromregionalandlocalgovernments

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

28

CApItALexpeNDItUreCoMpAreDWItHreCUrreNtoperAtIoNANDMAINteNANCeexpeNDItUreAsnotedpreviouslyrespondentcountriesindicatethatthereareinsufficientresourcestoattainMDGandcountrytargetsAssuchitisimportantthatlimitedfinancialresourcesbecarefullybalancedbetweennewinvestmenttoprovideservicetotheunservedandrecurrentexpendituretosustainexistinginvestmentsAscoveragelevelsincreasecapitalassetsincreaseasdoestheneedforrevenuetocoverrecurrentcostsforhumanresourcesandforpartsandsuppliestooperateandensurethelong-termmaintenanceofexistingsystemshoweverasshowninfigure33a31ofWAShfundsexpendedin11respondentcountriesweredirectedtowardsoperationandmaintenanceGiventhatmostcountriesreportthatoperationandmaintenanceprogrammesforruralwatersupplyareinadequateandthaturbanutilitiesfrequentlylacksufficientrevenuetocoveroperationandmaintenancecosts(seesection37)thisraisesquestionsastowhetherexistingfundingforoperationandmaintenanceissufficienttosustainWAShsystemsMoreoverascitedin

thepreviousGlAASreport75oftheestimatedfinancingneedsforsanitationanddrinking-waterconsistofrecurrentoperationalandmaintenancecostsforexistingservices(huttonampBartram2008)

SANItAtIoNCoMpAreDWItHDrINKING-WAterexpeNDItUreAreviewofexpenditurebreakdownscanindicatepotentialissuesofhowfinancialresourcesaretargetedThe2010GlAASreportindicatedthatsanitationcomprisesapproximatelyonefifthofthefinancingdevotedtosanitationanddrinking-watercombinedThe13countriesthatwereabletoprovidedataforthisreportindicatedthat27oftotalWAShfundswerespentonsanitation(figure33b)Accordingtoglobalestimatesthesesame13countrieshaveapproximately990millionpeoplewhodonothaveaccesstoimprovedsanitationcomparedwith190millionpeoplewhodonothaveaccesstoanimprovedsourceofdrinking-waterinotherwordsunimprovedsanitationwhichrepresents84ofthetotalWAShunservedinthesecountriesreceivesonly27ofthetotalWAShfunding

UrBANCoMpAreDWItHrUrALexpeNDItUreSimilarlytheurbanversusruralpiechartinfigure33cindicatesthatfor10respondentcountries75ofexpenditureistargetedaturbansettingshoweverthesesame10countrieshaveapproximately44millionand129millioninurbanandruralpopulationsrespectivelywhodonothaveaccesstoimprovedsanitationordrinking-waterfromanimprovedsourcePeoplewithoutaccesstoimprovedsanitationordrinking-waterfromanimprovedsourceinruralareascomprise75oftheunservedbutbenefitfromonly25oftheexpendituresforsanitationanddrinking-water

HyGIeNeproMotIoNexpenditureforhygieneeducationandpromotionwasprovidedbysevenrespondentcountriesTheamountspentonhygieneeducationandpromotionprogrammesacrosstheserespondentsrangedfrom03to82oftotalreportedpublicexpenditureinWAShAfghanistanBangladeshandKenyaeachreportedover4oftotalWAShexpenditureforhygieneeducationandpromotion

Limitedsanitationanddrinking-waterexpendituredataprecludemakingglobalstatementsconcerningfinancialallocationsderivedfromtaxesandtransfersbuthintathowexpendituresaretargeted(Figure33)

a)capitalversusoperationandmaintenanceexpenditure(11countriesUS$126billion)

b)Sanitationversusdrinking-waterexpenditure(13countriesUS$127billion)

c)Urbanversusruralexpenditure(10countriesUS$76billion)d)hygienepromotionversusotherWAShexpenditure

(7countriesUS$51billion)

FIGUre33Breakdownsofexpendituresacrossdifferentcategories

Source 2011 GLAAS country survey

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

Fundingoperationandmaintenanceinruralwater

supply

fundingandtechnicalsupportforoperationandmaintenanceofruralwatersupplyareclearlynotadequate47outof70countriesreportthatmaintenanceprogrammesdonotexistorarelimitedineffectivenessorscopeGlAASfindingsindicateavarietyofcontributingfactorsincludinganinadequatesupplychainofsparepartsandout-of-dateornon-existentinventoriesofruralwaterpointsTheadequacyoffundingtosustainurbanwatersupplyoperationsisdiscussedattheendofthissection

33 USeofcoMMiTTeDfUNDS

efficientandtimelyreleaseofcommittedfundsisanotherkeyaspectofaneffectivefinancingsystemlowannualdisbursementratesofallocatedbudgetsduetolongprocurementprocessesandheavyadministrativeburdenswerecitedbymanycountryrespondentsasconstraintstoreachingsanitationanddrinking-waterplanningtargets(figure34)

UseofaidcanbeimprovedbybettercoordinationamongdonorsandaligningwithcountryprocessesAsanexamplesectorharmonizationhasbeenimprovedinethiopiabythethreelargestofficialdevelopmentpartnersmdashtheWorldBanktheUnitedKingdomDepartmentforinternationalDevelopmentandtheAfricanDevelopmentBankmdashwhichhaveallharmonizedunderasinglefinancingmodalitychannelledthroughtheMinistryoffinanceandeconomicDevelopmentMeanwhilemostotherwatersectorofficialdevelopmentpartnersmdashalthoughstilloperatinginprojectmodemdashhaveadoptedtheemergingsector-wideapproachreplacingseparateindividualprojectmissionsandproject-basedfieldvisitswithbiannualJointTechnicalreviewsandanannualWAShMultistakeholderforum

Averageabsorptionratesofcentralgovernmentcapitalcommitmentsarelowandshowadecliningtrend(Figure34)

FIGUre34Whatisthepercentageofofficialdomesticcapitalcommitmentsutilized

Source 2011 GLAAS country survey (74 respondents) 2009ndash2010 CSO and GLAAS country survey

Drinking-waterabsorptionofcommitteddomesticfunds2011

Sanitationabsorptionofcommitteddomesticfunds2011

trendfrom2009to2011(38countries)

Whatisthepercentageofdomesticcapitalcommitmentsutilized

Absorptionratesndashdomesticcommitments2011

30

AnanalysiswasundertakentoidentifycountrieshavinghighorlowcapacitytouseorabsorbfundsagainsttheirWAShfundingneedsTodothisafinancialldquoabsorptioncapacityrdquoindexwascreatedwhichamalgamatedcountryresponsesoninvestmentprogrammesdomesticanddonorabsorptioncapacityandwhetherfundinglevelsforlocalgovernmentsandoperatingentitieswereinlinewithdecentralizationpoliciesThisindexwascomparedwithcountryresponsesonthesufficiencyoffundingTheresultsconfirmpreviousevidence(WaterAid2011b)suggestingthatthosecountriesingreatestneedandthatalsolackthecapacitytoabsorbandspendfundseffectivelyarehinderedbyfundersthatarereluctanttoinvestmdashthuscreatingaviciouscycleThissuggeststhatimprovementsininvestmentplanningandfinancialprocurementcouldmakeapositivedifferencetowardsimprovingfundingsufficiencyandcreatingavirtuouscycleresultsforurbandrinking-waterareshowninfigure36

theUnitedrepublicoftanzaniaidentifiesfactorsforpoor

utilizationofaid

ApublicexpenditurereviewofthewaterandsanitationsectorintheUnitedrepublicofTanzaniain2009(vandenBergetal2009)identifiedthelackofpredictabilityofdonordisbursementsasamajorreasonforpoorutilizationofaidldquoUnpredictabilityislinkedtothefollowingfactors(i)theplanningandimplementationofdonorfundingisnotalignedwiththegovernmentrsquosbudgetcalendarespeciallyifthegovernmentanddonorcountriesworkwithdifferentfinancialyears(ii)theuseofparallelsystemsthatmakeithardtoobtainfullinformationontheexpectedassistanceflowsand(iii)theseasonalityinprojectimplementationrdquoTheseinefficienciesarefurtherexacerbatedbythefragmentationofdonorfundingwhichresultsinhightransactioncostsfordonorsandgovernmentalike

Averageabsorptionratesofdonorcapitalcommitmentsareevenlowerthandomesticcapitalabsorptionrates(Figure35)

FIGUre35Whatisthepercentageofdonorcapitalcommitmentsutilized

Sources 2011 GLAAS country survey (74 respondents) 2009ndash2010 CSA and GLAAS country survey

Drinking-waterabsorptionofcommitteddonorfunds2011

Sanitationabsorptionofcommitteddonorfunds2011

trendfrom2009to2011(38countries)

Whatisthepercentageofdonorcapitalcommitmentsutilized

Absorptionratesndashdonorcommitments2011

31

3 fiNANciNG

Keyobservationsassociatedwithfinancialabsorption

ArecentWaterAidreport(WaterAid2011a)highlightskeyobservationsassociatedwithfinancialabsorptioncommontoinfrastructuresectors

bull highabsorptionratesappeartobeagoodindicatoroftheoverallhealthandefficiencyofthesector

bull comparisonofWAShwithothersectorssuggeststhatgenericissuessuchasthequalityofpublicfinancialmanagementorprogressondecentralizationhaveanimpactacrossallbasicservicesectors

bull capitalbudgetsaremorelikelythanrecurrentbudgetstobeunderspentsotherelativelycapital-intensivenatureofWAShplacesitatgreaterrisktoabsorptionconstraintsprocurementprocessesmayalsohavecontributedtoWASh-specificabsorptionproblems

bull DonorfundsaremuchmoresusceptiblethannationalfundstodelayandunderspendingWiththemajorityofdonorfundsallocatedtocapitalbudgetsthisoverlapswiththepreviousbulletbuttheevidenceshowsthatdonorprocurementandreportingrequirementsaretooburdensomeonalready-strainedgovernmentcapacity

bull Thechallengesforeffectiveabsorptionaregreateracrossallsectorsinfragilestates

Manyofthesamerespondentcountriesthatindicatealackoffinancingasaconstraintmaynothaveaninvestmentprogrammeinplaceorhavelowusageratesfordomesticandexternaldonorcommitments(Figure36)

Inde

x of

cap

acity

to in

vest

and

abs

orb

fund

s

Low

M

ediu

mH

igh Ethiopia

Kyrgyzstan

Angola Cameroon Indonesia Mongolia Rwanda Thailand

Uzbekistan Zimbabwe

Azerbaijan Bhutan

Iran (Islamic Republic of) Morocco

Nepal Panama

South Africa Sri Lanka

Bangladesh Central African Republic Benin

Chad FijiEl Salvador

Gambia Lebanon Egypt Guinea Mali Ghana Jordan

Lao Peoplersquos Democratic Republic Madagascar

Mozambique Niger

Kenya Lesotho

Philippines TajikistanSenegal

South Sudan Timor-Leste Viet Nam

Cocircte drsquoIvoire Democratic Republic of the Congo

Dominican Republic Guinea-Bissau

Haiti

Cambodia Equatorial Guinea

Myanmar

Bolivia (Plurinational State of) Paraguay

Honduras Mauritania

Sierra Leone Togo

Countries where low capacity to spend funds and high funding lt50 of funds needed 50ndash75 gt75 of funds

needs cause of concern of funds needed needed

Sufficiency of funds to meet MDG target

FIGUre36Sufficiencyoffundsversusinvestmentandabsorptioncapacity(urbandrinking-water)

Noteindexbasedonatotalscoreforfourquestionsincluding1)isaninvestmentprogrammeimplemented2)Percentageofdonorcapitalcommitmentused3)Percentageofdomesticcapitalcommitmentused4)isfundnginlinewithdecentralizationpoliciesThisanalysissimilartoothersinthisreportisbasedonself-reportedcountrydata

Source 2011 GLAAS country survey (57 respondents)

32

34 fiNANciAlMoNiToriNGANDTrANSPAreNcyhoWcANWeTrAcKWhATiSBeiNGSPeNT

comprehensivemonitoringofbudgetsandexpenditureatdifferentlevelsofgovernmentandfromallsourcesofrevenuecaninformresourcetargetingitprovidesabetterunderstandingofrelativeabsorptionratesandtheeffectivenessofpoliciesandprogrammesandcanprovideinsightintothecost-effectivenessofapproachesusedtoreachWAShtargetsSeveralrespondentcountriesindicatedthatlackofamonitoringframeworkandpost-projectfinancialassessmentsconstrainedfinancialplanning

Transparentbudgetsandpublicationoffinancialstatementsenablestakeholderstoidentifyprioritiesfundingsourcesandpotentialfundinggapsfigure38highlightshowrespondentcountriesareprogressingintermsofbudgettransparencyandcomprehensiveness

furtherdiscussionoffinancinginthisreport(ieAnnexB)willfocusonthedevelopmentofastandardmethodologyfortrackingfinancialflowstosanitationanddrinking-wateratnationallevelsTheabilitytotrackfinancialflowscanhelpgovernmentsindecision-makingandmakethebusinesscaseforincreasinginvestmentsinWAShasawhole

over60ofcountrieseitherhavenofinancialinformationmanagementsystemsinplaceoruseonethatprovidesonlypartialinformation(Figure37)

FIGUre 37 is there a financial information management system to trackinvestments and expenditures in drinking-water sanitation and hygienepromotionatanationallevel

Source 2011 GLAAS country survey (74 respondents)

Useoffinancialsystemsinruralareas

Isthereafinancialinformationmanagementsystemtotrackinvestmentsandexpendituresindrinking-watersanitationandhygienepromotionatanationallevel

Consolidatedbudgetandexpenditureinformationonsanitationisreportedlyavailableforonly40ofcountryrespondents(Figure38)

Required by national policy or regulation

Urban utilities have audited accounts and balance sheet Not requested for sanitation

Donor amp domestic expenditure

Expenditures vs budget reported in consolidated format

Yes all government levels

Budget structure allows separate sectors to be identified

gt75 of funds on budget

Budgets reflect both domestic Drinking-water and donor investment Sanitation

0 20 40 60 80 100 of responding countries

FIGUre38comprehensivenessoffinancialstatementsandtransparency

Source 2011 GLAAS country survey (74 respondents)

33

3 fiNANciNG

35 WAShiNveSTMeNTProGrAMMeSDocoUNTrieSKNoWhoWMUchTheyWillNeeDToSPeNDiNfUTUre

investmentprogrammeshelptodefineandprioritizecapitalneedsmatchexpectedresourceswithcostsofinfrastructureandprogrammesandimproveintergovernmentalcoordinationpredictabilityandtransparencyofbudgetingandexpenditureManyrespondentcountriescitethedevelopmentorimplementationofinvestmentprogrammesassignificantachievementsinrecentyearsTheseprogrammescanalsobelinkedtoastrategicfinancialplanningprocessthatanswersquestionssuchaswho(eguserstaxpayersdonors)shouldpayforwhat(ieoperatingcapitalexpenseswatersanitationruralurbanperiurbanareas)andwhatshouldbethefutureservicelevelThestrategicfinancialplanningprocessdetermineshowmuchmoneyisneededandwhereitwouldcomefrom(oecD2009b)

ldquoTheplannedmid-termexpenditureforsanitationdevelopmentof2010ndash2014increasesaroundfourtimescomparedtosanitationbudgetintheperiodof2005ndash2009rdquomdashIndonesia 2011 GLAAS country survey response

WASHinvestmentprogrammingmaybeimprovinggloballymdash62ofrespondentcountrieshaveestablisheddrinking-waterinvestmentprogrammesand40haveestablishedsanitationinvestmentprogrammes(Figure39)

FIGUre39isthereaninvestmentprogrammethatisagreedandpublished

Sources 2011 GLAAS country survey (74 respondents) 2009ndash2010 CSO and GLAAS country survey

Drinking-waterinvestmentprogrammes2011

Sanitationinvestmentprogrammes2011

trendfrom2009to2011(38countries)

Isthereaninvestmentprogrammethatisagreedandpublished

Statusofinvestmentprogrammes2011

34

36 ADeQUAcyoffiNANce

The2010GlAASreport(Who2010)indicatedthatfewcountrieshadsufficientfinancialresourcestoachievetheirreportedtargetsinfactonly10countrieswerereportedtohavemorethan75ofthefundsneededforsanitationMorerecentdatacollectedinthe2011GlAAScountrysurveysuggestthatdomesticbudgetallocationsforsanitationanddrinking-waterhavebeenincreasingforsomecountriesduetothedevelopmentofinvestmentplansandstrongerpoliticalcommitmenthowevermostrespondentcountriesstillreportashortageofadequatefinancialflowstomeettargetsandthatbudgets

frequentlyfallshortofspendingagreedininvestmentplans

Asevidencethatexpendituresareincreasingforsanitationanddrinking-waterfivecountriesthatreportedinboththe2009and2011GlAAScountrysurveyswerecomparedasshowninTable35fouroutofthefivecountriesindicatedincreasesinexpenditurestothesector

ldquoAStrategicenvironmentalSanitationinvestmentPlaniscurrentlybeforecabinetpendingapprovalThiswillcontributesignificantlytoimprovedsanitationfinancingmdashincreasedandpredictablefundingaswellasbettertargetingofthefundsrdquomdash Ghana 2011 GLAAS country survey response

tABLe35comparisonofexpendituresforsanitationanddrinking-water(2008ndash2010)

Country Sanitationanddrinkingwaterexpenditure(US$million)

2008 2010

BurkinaFaso 258 159

Kenya 286 355

Lesotho 33 118

Madagascar 13 107

Nepal 77 128

Sources 2011 GLAAS country survey 2009ndash2010 CSO and GLAAS country survey

Whilefinancialresourcesforsanitationanddrinking-waterhaveincreasedinsomecountriestotalfundingisreportedtoremaininadequateespeciallyforsanitation(Figure310)

Sanitationadequacyoffinancing2011

ArefinancialflowssufficienttomeetMDGtargets

Drinking-wateradequacyoffinancing2011

trendfrom2009to2011(38countries)Adequacyoffinancing2011

FIGUre310ArefinancialflowssufficienttomeetMDGtargets

Sources 2011 GLAAS country survey (74 respondents) 2009ndash2010 CSO and GLAAS country survey

35

3 fiNANciNG

37ADeQUAcyofreveNUeToSUSTAiNUrBANWATerSUPPlyoPerATioNS

GlAAScountryrespondentsreportedthatutilitieswerenotevenabletorecoveroperationandminormaintenancecoststhroughuserfeesletalonethecriticalcostsoflong-termcapitalmaintenanceManyrespondentcountriescommentedonexistinginfrastructurebeinginapoorstateofrepairoftenasaresultofalackoffundsforpreventiveandcorrectivemaintenancefordrinking-waterthiscanresultinapoorlevelofservicepoorwaterqualityorhighnon-revenuewaterWithtimedegradationoftheinfrastructurewillprogressandcanrapidlyresultinaneedformorecostlymajorassetreplacement

Threepolicyorimplementationaspectsofurbanwatermanagementthatmaypositivelyinfluencerevenuegenerationinclude

bull conductingtariffreviewsandperformingadjustmentsaccordinglymdashoverhalfofcountriesindicatethaturbantariffsarenotreviewedornotadjusteduponreview

bull Decision-makingauthoritymdashoverhalfofcountriesindicatethaturbanutilitiesdonothavedecision-makingauthoritywithrespecttoinvestmentplanning

bull Achievingreductionsinnon-revenuewatermdashoverthreequartersofcountriesindicatethatnon-revenuewaterismorethan20ofwaterproduced

onethirdofcountriesindicatethatrevenuescoverlessthan80ofoperatingcostsforurbanutilities(Figure311)

Non-revenuewaterreductionforefficientmanagementofurbannetworks

Unbilledwaterproducedbyautilitymdashnon-revenuewatermdashtogetherwithotherindicatorssuchaslossesperconnectionorlossesperkilometrecanbeanindicatoroftheldquohealthrdquoofawaterutilityThenon-revenuewaterindicatedbyrespondentstothe2011GlAAScountrysurveycorrespondstotheaveragefigureof31forutilitiesworldwidequotedbytheinternationalBenchmarkingNetworkforWaterandSanitationUtilities(vandenBergampDanilenko2011)Areductionofnon-revenuewatercanalsohelptogeneratefinanceforcapitalmaintenanceandfurtherinvestmentaswellasreducethestrainonscarcewaterresources

FIGUre311Areoperationandminormaintenancecostsforutilitiescoveredbyuserfees

Source GLAAS 2011 country survey (66 country respondents)

34

24

42

Operating ratio greater than 12

Operating ratio between 08 and 12

Operating ratio less than 08

38 iMPlicATioNSforThefUTUre

ThissectiondescribesthesourcesvolumeandtargetingoffundingforWAShThelimiteddatasubmittedsuggestthathouseholdscentralgovernmentandexternaldonorsallcontributesignificantlytoWAShfundingThedataindicatethatfundingisnotnecessarilytargetedtothoseinneedthattheWAShsectorfrequentlyhasdifficultyabsorbingfundingandthatallocationsmaynotbesufficienttosupportsustainable

operationandmaintenanceThesectionoverwhelminglyhighlightsalackofrobustinformationonWAShfinancingitconfirmsthatfinancialdataaregenerallynoteffectivelytrackedandthusnotavailabletoinformdecision-makingStrengtheningthemonitoringoffinancialflowsThroughamethodolgythatensuresharmonizationcomparabilityandconsistencyisurgentandrequiredAproposedmethodologyispresentedinAnnexB

LiberiaCompact

inlate2010followingsuccessfulparticipationatthefirstSWAhighlevelMeetingtheGovernmentofliberiaactivelyengagedSWApartnerstomobilizeresourcesinsupportofliberiarsquosWAShsectorinApril2011theSWApartnershipundertooktosupportnational-levelwaterandsanitationplanninginliberiawithajointPartnerMissionTheMissiontookplaceundertheleadershipoftheGovernmentofliberiaincludingparticipationbyPresidentellenJohnsonSirleafandseveralministersitsetinmotionaprocesstostrengthenplanningandbothmultiministerialandmultidonorcoordinationTheMissionengagedliberia-basedandexternalSWApartnersincludingtheGovernmentofGhana(asGhanahadrecentlycreatedacompactofitsown)theDutchdevelopmentagency(Directorate-Generalforinternationalcooperation)theUnitedStatesAgencyforinternationalDevelopmenttheAfricanDevelopmentBankcivilsocietypartnersWaterAidtheWorldBankrsquosWaterandSanitationProgramUNicefandtheUnitedNationsDevelopmentProgramme(UNDP)TheMissionresultedinatwo-yearcompactformalizinganagreementamongtheministriesdevelopmentpartnersandcivilsocietyorganizationssettingoutactionsinthekeyareasofinstitutionalreformserviceprovisionsectormonitoringandfinancingTheMissiondemonstratedhowinternationalsupportcanbetranslatedintonational-levelactionmdashincreasinglocalownershipimprovingcoordinationandimportantlymakingtheWAShsectormoreldquoinvestmentreadyrdquotobothfinanceministriesanddevelopmentpartnersinacountrywherewatercoverageandsanitationcoverageareestimatedtobeonly73and18respectivelytheMissionandtheresultingWAShcompactareseenascriticalstepsindeliveringsustainableandequitableaccess

36

23 HumanHumanresources44 resources

KeyMeSSAGeS

bullonehalfofcountriesdidnotreportonhowmanyWAShstaffwereinplaceindicatingasignificantlackofinformationonhumanresources

bullonly40ofrespondingcountriesreportedsufficienthumanresourcestooperateandmaintainurbandrinking-watersystemsandlessthan20fordrinking-watersystemsinruralareas

bullTherewasaperceivedacuteshortageofextensionstaffforsanitationandhygienepromotion

bullWomenmakeuplessthan10oftheprofessionalormanagerialwaterandsanitationstaffinhalfofthecountriesthatrespondedtothesurvey

bulllackofadequatefundingandlackoftechniciansandskilledlabourarecommonlyreportedbarrierstoachievingsustainability

4 hUMANreSoUrceS

operatingandmaintainingsanitationanddrinking-watersystemsanddeliveringsanitationanddrinking-waterservicesrequireadiverserangeofpeoplewithavarietyoftrainingexperienceandskillsincludingmanagersplannersengineerslaboratorytechniciansmicrobiologistsmasonsplumbersandhygienepromotersWhatmakessanitationanddrinking-waterperhapsmorecomplexstillistheinvolvementofabroadrangeofgovernmentbodies(frequentlytwoorthreeministriesatthenationallevelfurthermultipliedatlowerlevelsofadministration)ThisinstitutionalinfrastructureiscomplementedbyparastatalauthoritiesandnongovernmentalentitiesincludingtheprivatesectorandcivilsocietyorganizationsthataredirectlyinvolvedinplanningdesignandimplementationThehumanresourcesavailabletoensurethatadequatesanitationanddrinking-waterservicesaredeliveredandsustainedarethereforeanaggregateofthehumanresourcecapacityofallthesedifferentinstitutionscoordinationamongthedifferentorganizationsisessentialwhenitcomestooverallhumanresourceplanningforsanitationanddrinking-water

Thehealthsectorplaysavitalroleinpromotingsanitationandhygieneinmanycountriesaswellasinmonitoringthesafetyofdrinking-watersuppliedtousersinadditiontheeducationandhealthsectorsneedtoensurethatdrinking-waterandsanitationfacilitiesareprovidedandmaintainedintheirschoolsclinicsandhospitals

inthiscomplexanddiverseinstitutionallandscapeitisadauntingtasktodeterminetheroleofeachorganizationandtomapthehumanresourcecapacityandrequirementstodelivertheservicesneededThereforeitshouldcomeasnosurprisethatsomecountrieshadproblemsreportingtoGlAASonhumanresourceissuesThatsaidmanycountriessuggestedthattheircapacitytomeettheMDGtargetswascriticallyhamperedbyalackofhumanresources

41 ADeQUAcyofhUMANreSoUrceDATA

Nearlyonehalfofthecountriessurveyedwereunabletoanswerthequestiononhowmanystafftheyhadinplaceforeitherdrinking-waterorsanitationin2011ofthosethatwereabletorespondtheanswersvariedwidelyforexamplecertaincountriesreportedhavingfewerthan10staff

workingondrinking-wateratthecentrallevelwhereasothercountriesreportedstaffnumbersinthethousandsorhigherWhilethishighlightssomeapparentserioushumanresourceshortagesinwaterandsanitationthevariationmayalsocastdoubtsonthereliabilityofavailablecountrydataonlyonethirdofrespondingcountrieswereabletoindicateanticipatedstaffinglevelsorprojectedstaffingneedsfor2016

Assessinghumanresourcecapacity

ldquoMindtheGaprdquoastudyfundedbytheUnitedKingdomDepartmentforinternationalDevelopmentandledbytheinternationalWaterAssociationcommencedin2008andpilotedthefirstmethodofitskindforsanitationanddrinking-watertocollectdataonhumanresourcegaps(skills)andshortages(numberofworkers)atthenationallevelinitialconclusionsindicatethat

bull Decentralizationisoftennotaccompaniedbythenecessarytransferofhumanandfinancialresources

bull Graduateslackpracticalexperienceinpartduetoinadequatecoordinationbetweeneducationalinstitutesandemployers

bull PrivatecompaniesNGosanddonoragenciestendtoattractthemostskilledlabourwiththehighestqualificationsbutthereisalsostrongcompetitionfromcutting-edgeindustriessuchasthetelecomindustryandmarketingcompanies

bull lowsalarieslackofbenefitsandpoorworkingconditionsinthepublicsectorespeciallyforthoseworkinginremoteareasmakeitdifficulttoattractandretaingoodstaff

followingthisinitialstudyinfivecountriestheinternationalWaterAssociationwiththeassistanceoftheAustralianAgencyforinternationalDevelopmentandtheUnitedStatesAgencyforinternationalDevelopmentiscarryingoutsimilarassessmentsofhumanresourcecapacityinafurther10countrieswithcertainadjustmentsofthemethodtoobtainevenmorerobustandreliabledata(iWA2011)

ethiopiarsquosHealthextensionprogramme

ThehealthextensionProgrammeinethiopiawaslaunchedin2003inresponsetoalackoftrainedhealthworkersWomenareselectedwhohavemorethan10yearsofformaleducationandwhowanttoworkintheircommunitieshealthextensionworkersaregiventrainingonfamilyhealthpreventionandcontrolofcommunicablediseaseshygieneandenvironmentalsanitationandhealtheducationandcommunicationBy2009therewere30000healthworkersThesuccessofthisprogrammeisaresultofinvestmentintrainingbydonorswidespreadacceptancewithincommunitiesandinvestmentininformationsystemsonfamilyhealthdemographicdataanduseofservices

38

42 SUfficieNcyofSTAffiNG

Somecountriesthatreportedonwaterandsanitationstaffinglevelsprovidedastaffingfigureoffewerthan1000fortheentirecountry(egcoveringcentralandlocalstaff)Whileacknowledgingthattheseestimatesmaybeinaccuratetheyneverthelesspointtoamassivegapinavailabledrinking-watersanitationandhygienestaffoftenintheverycountriesthataremostseriouslyoff-tracktomeettheMDGtargetsforexamplefewcountriesreportedhavingsufficientstaffinplacetomeettheirneedsforhygienepromotion

Humanresourcecommitments

AspartoftheSWAinitiativeanumberoffirmcommitmentsrelatingtoidentifyingandaddressinghumanresourcecapacitygapsweremadebyseveralcountriesatthe2010highlevelMeetingsomewerereaffirmationsofexistinginitiativesforexampleinTimorlestethegovernmentisimplementingextensivetrainingprogrammestobuildhumanresourcecapacityAngolahasalsoreconfirmeditsintentiontoaddresshumanresourcecapacitygapsatalllevelsaswellasestablishingaprofessionaltrainingcentreforthewaterandsanitationsectorSomecountriesweresignificantlyinfluencedbythemessagesconveyedatthehighlevelMeetingMauritaniaforexamplecommittedtohireandtrainsufficientstaffindecentralizedhydraulicsandsanitationservicesandreportsgoodprogressinthisregard

furtheronly40ofcountriesreported Staffingisalsoaconcerninruralhavingsufficientstafftomeetthe sanitationwherelessthan20ofoperationandmaintenanceneedsof respondentcountriesconsiderthetheirurbandrinking-watersystems supplyofskilledlabourandtechniciansforruraldrinking-watersystemsthe adequatelydevelopedtomeettheirsituationwasworsewithlessthan20 needs(figure42)ofcountriesreportingsufficientstafftooperateandmaintaintheirsystems(figure41)evenwhereruralschemesaredesignedtobehandedovertocommunitiessomedegreeofoversightandsupportbytechnicallyqualifiedpeopleisrequiredWithoutthemsystemsareboundtomalfunctionandcommunitieshavenochoicebuttoreturntoaccessingunimprovedwatersources

Countriesreportinsufficientstafftooperateandmaintainurbanandruraldrinking-watersystems(Figure41)

FIGUre41 is theresufficientstaff tooperateandmaintainurbanand ruraldrinking-watersystems

Source 2011 GLAAS country survey (67 country responses)

Yes sufficient to meet demand

Yes but insufficient to meet demand

No

Num

ber o

f cou

ntrie

s Urban drinking-water Rural drinking-water

27

40

2 11

51

7

0

10

20

30

40

50

60

Lessthan20ofrespondentcountriesconsiderthesupplyofskilledlabourandtechniciansadequatelydevelopedtomeetneedsinruralsanitation(Figure42)

FIGUre 42 Are there sufficient supply-side artisanstechnicians to meetneedsinruralsanitation

Source 2011 GLAAS country survey (73 country respondents)

18

68

14

Capacity well developed

Capacity under development

None

39

4 hUMANreSoUrceS

43 STAffiNceNTiveSANDcoNTiNUiNGeDUcATioN

countriesreporthavinginsufficientincentivesfordrinking-watersanitationandhygienestaffStrengtheningmotivationcanbefosteredbyanumberoffactorsincludingcreatingopportunitiestodevelopskillsandincreaseexperienceAlthoughmanycountriesreportthatsuitablein-countryeducationandtraininginstitutionsdoexisttheyalsoreportthatthereareinsufficientcoursesavailabletomeettheneedsoftheexistingstaffMappingoftraininginstitutionsthatofferappropriatecourseswouldbeanimportantfirststepinstrengtheninghumanresourcecapacityacrosstheregionsThepossibleroleofnationalinstitutionsforpublicadministrationandmanagementneedstobeexploredastheseusuallyprovidetrainingforcivilservantsirrespectiveofthesectorinwhichtheyworktheycanthereforecontributetoovercomingthefragmentationofthehumanresourcebaseandoftheinstitutionalenvironmentinwhichpeopleoperate

44 GeNDer

GiventhecentralrolethatwomenplayincontributingtoimprovingaccesstoWAShcountrieswereaskedtoreportontheproportionoffemalestaffforsanitation(includingbothprofessionalandskilledworkerssuchashygienepromoters)andfordrinking-water(professionalworkersonly)inthestaffingforbothsanitationanddrinking-waterwomenareaclearminorityhalfoftheGlAASrespondentcountriesreportedthatwomenmakeuplessthan10oftheprofessionalmanagerialstaff

45 BArrierSiMPeDiNGDeveloPMeNTofhUMANreSoUrceS

countrysurveyrespondentswereaskedtoidentifythemostcriticalfactoraffectingtheadequacyofhumanresourcelevelsindrinking-waterandsanitationatseverallevelsofgovernmentandforbothprofessionalsandtechnicalskilledworkersAcrosstheboardinsufficientbudgettohireandretainstaffwasviewedasthemostlimitingfactoraffectinghumanresources(figure44)Theresponsesalsoindicatethatthelackofqualifiedapplicantsplaysalargerroleinstaffingatthelocalandregionallevelsthanatthenationalorutilitylevel

Inmostcountriesthereareopportunitiesforcontinuingeducationandtrainingbuttheopportunitiesareinsufficienttomeettheneedsofthestaff(Figure43)

Yes sufficient to meet demand

Yes but insufficient to meet demand

None

Sanitation Drinking-water

8

48

14 7

58

7

0 10 20 30 40 50 60 70

Num

ber o

f cou

ntrie

s

FIGUre43istherecontinuingeducationprovidedforstaff

Source 2011 GLAAS country survey (72 country responses)

Sanitation Drinking-water

Inadequatebudgetisthereasonmostfrequentlycitedforalackofstaff(Figure44)

Sanitation Drinking-water

50 45 40 35 30 25 20 15 10 5 0

Not enough qualified

applicants

Inadequate budgets

Work context constraints

Other barriers No barrier

o

f res

pons

es(a

ll po

sts

and

gove

rnm

ent l

evel

s)

FIGUre44Mostprevalentreasonsforstaffshortagescitedbycountries

Source 2011 GLAAS country survey (65 country respondents)

Sanitation Drinking-water

40

46 hUMANreSoUrcePlANNiNG

Anumberofcountrieshavealreadydevelopedhumanresourcestrategiesfordeliveringsanitationanddrinking-waterserviceswhereasanevengreaternumberaredevelopingtheirhumanresourcestrategiesAminorityofcountrieshavenospecifichumanresourcestrategyforsanitationanddrinking-water(figure45)SeveralrespondentcountriesinthelatinAmericaandcaribbeanregionpointedtotheformulationofahumanresourcestrategyandtoplanningaspriorityareasindicatingthatalackoftargetsprogrammesandspecificpoliciesforhumanresourcemanagementareobstaclestoattractingandretainingqualifiedpersonnelforsanitationanddrinking-water

ldquolargelyduetothelackofprogrammesinthemediumandlongtermthethreespheres(federalStateandMunicipal)ofgovernmentpoliciesforhumanresourcesarestillprecariousirregularandunsystematicrdquomdash 2011 GLAAS country response from Latin America and Caribbean region

Mostcountrieseitherhaveoraredevelopinghumanresourcestrategiesforsanitationanddrinking-water(Figure45)

Sanitationhumanresources2011

Arehumanresources(Hr)addressedinnationalstrategies

YesandHRprogrammesdevelopedforbothurbanandrural

YesandHRprogrammesdevelopedforurbanorrural

HRprogrammesunderdevelopment

HRprogrammesunderdevelopmentforurbanorrural

No

Notasurveyparticipant

Datanotavailable

Notapplicable

Humanresources(Hr)2011

Sanitation384032 Drinking-water

3035

2625 21

182015 81050

YesandHRprogrammes YesbutHRprogrammes Noimplemented underdevelopment

trendfrom2009to2011(38countries)

Drinking-water

Sanitation

2009 2011

2009 2011

0 10 20 30 40 50 60 70 80 90 100

of countries that have addressed human resources in national strategy

FIGUre45Arehumanresourceshraddressedinnationalstrategies

Source 2011 GLAAS country survey (74 country respondents)

Drinking-waterhumanresources2011

Num

bero

fcou

ntrie

s

41

4 hUMANreSoUrceS

47 iMPlicATioNSforThefUTUre

ThissectionshowsthatsignificantlygreatereffortsarerequiredtoassesshumanresourcecapacitygapsandneedsThisisasignificantchallengegiventhecomplexitiesofhumanresourceplanningThisplanningincludingthedevelopmentofpostdescriptionsrequiresanappreciationofthosecompetenciesandskillsneededforthedeliveryofservicesnowandinthefutureitdemandsanunderstanding

oftheadequacyofsecondaryandtertiaryeducationalinstitutionstorespondtosocietalneedsitalsorequiresawarenessofthedemandforskilledstaffbytheprivatesectorTacklingthisalreadydifficulttaskisimpededbytheexistingpaucityofdataonhumanresourceswithinthevariousorganizationsresponsibleforplanningdesigningandimplementingWAShsystemsandservicesfurtherstudyisalsorequiredtounderstandtheimpactofaninsufficienthumanresourcebaseonthecapacityofcountriestoabsorbandusefunds

UN-WaterGlAASwillworkwithrelevantpartnerstodevelopasuitablemethodthatultimatelywillenablecountriestoassessthedemandforappropriatelyskilledpeopleAtthesametimegovernmentswillneedtoensurethattherightinstitutionalenvironmentandcareerdevelopmentincentivesareinplacefortheseopportunitiestobeseizedinorderbothtoincreaseWAShservicestotheunservedandtomaintainexistingservices

42

equity5

KeyMeSSAGeS

bullNearly80ofcountriesrecognizetherighttowaterandjustoveronehalftherighttosanitationProgressiverealizationoftheserightscanoccurascountriesrecognizetheirlegalobligationtosetoutandimplementpoliciesandprogrammesthatensureequalitypublicparticipationandaccountability

bullotherimportantaspectsofrealizingtherightstowaterandsanitationincludetargetingresourcestounservedpopulationsandensuringthattheseresourcesareutilizedeffectivelyandfairlywithoutdiscriminationhoweverjustoneinfivecountriesconsistentlyapplyequitycriteriainfundingallocationsforsanitationwhereasonethirdapplyequitycriteriatodrinking-waterinvestments

bullover60ofcountrieshavedefinedequitycriteriabutmostreportthattheyarenotsystematicallymonitored

bulloverhalf(57)ofcountriesindicatethatserviceprovidersreportperformancetotheircustomers

bullStrengtheningparticipatoryprocessesthroughwhichcommunitiesaremadeawareoftheirrightscanleadtogreaterownershipmoreinvolvementinoperationandmaintenanceandimprovedsustainabilityofsanitationandwaterservices

5 eQUiTy

inequitybetweenandwithincommunitiesinallocationofresourcesandthecorrespondingoutputsremainsaseriouschallengeforexamplelocalpoliticsmayinfluenceresourceallocationsinsuchawaythatcommunitieswithsufficientwaterandsanitationreceivemorefundingforwaterandsanitationthanthosewithoutequityandnon-discriminationcanbepromotedbytargetingresourcestothosefacingsignificantlimitationsinindependentlyaccessingWAShsuchaswomenpeoplewithdisabilitieschildrenorthechronicallyill

51 hUMANriGhTSToWATerANDSANiTATioN

GovernmentsthathaverecognizedtherightstowaterandsanitationthroughinternationaltreatiesandornationallegislationareobligedtoestablishastrategyorplanofactiontoensurethattherightsarerealizedGovernmentsneedtotaketheleadwiththesupportofallrelevantstakeholdersintakingconcretestepstoprogressivelyrealizeuniversalaccesstowaterandsanitationThisimpliesdevelopingandimplementingstrategiestoprioritizeprovisionofservicestothosewithoutaccessmdashoftenpoorvulnerableandmarginalizedgroups

reCoGNItIoNoFtHerIGHtStoWAterANDSANItAtIoNNearly80ofrespondentcountriesindicatethattherighttowaterisfullyrecognizedinpolicyorlegislation(figure51)andover50fullyrecognizetherighttosanitation(figure52)Whilecountrieshavecitedtherecognitionoftheserightsasamajoraccomplishmenttranslationofthesestatedrightsintoconcreteorexplicitequityandnon-discriminationprovisionsandpro-poorpoliciesandstrategiesappearstobeinitsearlystages

Nearly80ofrespondentcountriesindicatethattherighttowaterisfullyrecognizedinpolicyorlaw(Figure51)

FIGUre51istherighttowaterexplicitlyrecognizedinpolicyorlaw

Source 2011 GLAAS country survey (74 country respondents)

Istherighttowaterexplicitlyrecognizedinpolicyorlaw

over50ofrespondentcountriesindicatethattherighttosanitationisfullyrecognizedinpolicyorlaw(Figure52)

FIGUre52istherighttosanitationexplicitlyrecognizedinpolicyorlaw

Source 2011 GLAAS country survey (74 country respondents)

Istherighttosanitationexplicitlyrecognizedinpolicyorlaw

Internationalmilestones

in2002theUnitedNationscommitteeoneconomicSocialandculturalrightsaffirmedthatwaterwasahumanrightinitsGeneralcommentNo15whichstipulatesthattherighttowaterentitleseveryonetosufficientsafeacceptablephysicallyaccessibleandaffordablewaterforpersonalanddomesticuses(UNeconomicandSocialcouncil2002)in2010theUNGeneralAssembly(2010)andtheUNhumanrightscouncil(2010)adoptedresolutionsrecognizingsafeandcleandrinking-waterandsanitationasbasichumanrights

ldquoThehumanrighttosafedrinkingwaterandsanitationisderivedfromtherighttoanadequatestandardoflivingandinextricablyrelatedtotherighttothehighestattainablestandardofphysicalandmentalhealthaswellastherighttolifeandhumandignityrdquomdashUN Human Rights Council (2010)

44

CoMpLAINtMeCHANISMSANDLeGALreMeDIeSWhenacountryrecognizestherightstowaterandsanitationitisboundbythreetypesofobligationstorespecttoprotectandtofulfilthosehumanrightsfirststatesmustrefrainfrominterferingdirectlyorindirectlywiththeenjoymentoftherightstowaterandsanitationSecondstateshaveanobligationtopreventthirdpartiesfrominterferingwiththeenjoymentoftherightsAndthirdstateshavetoadoptthenecessarymeasuresdirectedtowardsthefullrealizationoftherightstowaterandsanitationinamajorityofcountrieswheretherightstowaterandsanitation

arerecognizedcitizencomplaintmechanisms1andthepossibilitytojudiciallyclaimtheserightsareinplaceforinstance70ofrespondentcountriesthatrecognizetherighttowaterhaveindicatedthatthisrightcanbeclaimedinadomesticcourtand75indicatethateffectivecomplaintmechanismsexistforthosewhohaveunsatisfactoryaccesscountriesindicatethatuseofthesemechanismsisstilllimitedhoweverlikelybecausetherightsapproachisrelativelyrecentandthereisaconsequentlackofawarenessamongthepopulationandcivilsociety

CaseexampleIndigenouscommunityinBotswanasuccessfullyclaimslegalrighttowater

litigationcanoftenleadtoredressforindividualvictimswhilealsobringinggreaterlegalcertaintytoclaimsontherightstowaterandsanitationThisisofparticularimportanceincaseswherewateraccessmaybetiedtolandownershipforinstanceinJanuary2011thefinaljudgementwasdeliveredonalawsuitbroughtbyrepresentativesofagroupoftheBasarwaindigenouscommunitylivinginthecentralKalahariGamereserveinBotswanaunderthecountryrsquosWaterActtoenforcetheirrighttowaterThecommunityfounditselfinthepositionoflawfullyresidinginthereservebutnotbeingallowedtomakeuseoftheexistingboreholefortheirwaterneedsThecommunitysufferedfromthelackofaccesstowaternothavingsufficientwaterforpersonalhygieneandotherpersonalanddomesticusesleadingtoseriousconsequencesfortheirhealthThecourtnotedthatthecorrectinterpretationoftheWaterActallowedanyoneoccupyinglandtodrillboreholesfordomesticusewithoutaspecificwaterrightAdditionallyinformedbyGeneralcommentNo15ofthecommitteeoneconomicSocialandculturalrights(UNeconomicandSocialcouncil2002)andthe2010resolutionsoftheUNGeneralAssembly(2010)andtheUNhumanrightscouncil(2010)ontherightstowaterandsanitationthecourtupheldtheBasarwasrsquoclaimthatdeprivationofwatercanamounttodegradingtreatmentunderthecountryrsquosconstitution

twenty-threecountriesindicatethattherighttowaterandorsanitationhasbeenclaimedinadomesticcourt(Figure53)

12

32 28

16

33

21

0 5

10 15 20 25 30 35

Yes and claims filed Yes but no claims filed No

Num

ber o

f cou

ntrie

s

Sanitation Drinking-water

FIGUre53canpeopleclaimtheirhumanrighttosanitationanddrinking-waterinadomesticcourt

Source 2011 GLAAS country survey (72 country respondents)

Informingcitizensoftheirrightsandmechanismstolodge

complaintsinKenya

A2010pilotstudyledbytheUNDPinKenyarsquosBondoDistrict(APSconsultantsundatedUNDP2010)helpedspreadawarenessoftherighttogainregularaccesstosafeaccessiblesufficientandaffordablewaterbutalsoabouttheirresponsibilitiesPeoplewereinformedoftheirrightsandofamechanismtolodgecomplaintsspecificallyconcerningwatercorruptionandvandalismoneofthemainlessonslearntwasthatcommunitieshavenotbeensituatedaskeystakeholdersintheplanningdesignandimplementationofWAShprojectsasaresulttheirparticipationintheseprocesseshasbeenverylimitedTheprojecthighlightedthatwhererightsholdershadbeenpartofthedecision-makingtheyhadastrongersenseofownershipandweremoreinvolvedinoperationandmaintenancetoensuresustainabilityofthewatersupply

ldquocivilsocietyisnotawareofthehumanrighttodrinking-waterrdquomdashDemocratic Republic of the Congo 2011 GLAAS country survey response

1complaintmechanismscanbeusedbycitizenstovoicetheirconcernsregardingthelackofservicethequalityofthewaterandbillingandtariffissuestoreportvandalismblockagesandspillsetcWhiletheexistenceofcomplaintmechanismsiscitedasstandardgoodutilitypracticeitisalsoacriticalaspectinaparticipatoryapproachsetforthinthehumanrightsframework

45

5 eQUiTy

proGreSStoWArDSreALIzAtIoNTocreateanenvironmentconducivetotherealizationoftherightstowaterandsanitationcountriesareexpectedtoembracebasicprinciplesof1)non-discriminationandequality2)meaningfulparticipationindecision-makingandempowermentand3)accountabilityandtransparencyThroughtheGlAASquestionnairecountryrespondentswereabletoreportonalimitednumberofelementslinkedtotherealizationoftherightstowaterandsanitation

figure54showsthepercentageofrespondentcountriesthathaveappliedkeynon-discriminationorequityprovisionsinnationalstrategyandfundingdecisionsincludingwhethertheseprovisionsincludemarginalizedorvulnerablepopulationsThechartalsoshowswheretherearedefinedproceduresforlocalparticipationandthetransparencyofbudgetingandutilityperformancereporting

pUBLICreportINGoNperForMANCeToimproveaccountabilityandincreasetransparencywaterutilitiesare

progressivelyrecognizingthevalueofmeasuringandpubliclyreportingontheperformanceofservicesmdashonarangeofoperationalfinancialandtariffindicatorsPublicrecordsofperformanceallowforbenchmarkingwhichcreatesincentivestocontinuouslyimproveservicesMoreovercomparisonofcurrentperformancewithhistoricalperformanceorwithnationalorinternationalstandardsisexpectedtotriggerinternalreformsintermsofpolicy-makingandmonitoringbetterresourceplanningbetteraccountingauditingandprocurementandbetterperformance

Implementationofelementsassociatedwithrealizingtherightstowaterandsanitationremain

0 20 40

Drinking-water regulator Specific plans for serving the urban poor

Utility reporting of performance Specific provisions to address women Monitoring and action on affordability Equity criteria for funding allocations

Specific provisions for slums and informal settlements Specific provisions for people with disabilities

Defined procedures to support citizen participation Transparency of budgets

More than 25 of budget allocated to poor communities Equity criteria and targets for unserved

limited(Figure54)

Drinking-water

Sanitation

60 80 100 of responding countries

FIGUre54Progressonequityparticipationandaccountabilityelements (ofcountrieswithelementsorprovisionsappliedorimplemented)

Source 2011 GLAAS country survey (64 country respondents)

overhalf(57)ofcountriesreportthatserviceprovidersreportperformancetotheircustomers(Figure55)

8

31 31

20 24

28

0 5

10 15 20 25 30 35

Yes required by policy or regulation

Yes but done voluntarily or not systematically

No

Num

ber o

f cou

ntrie

s

Sanitation Drinking-water

FIGUre55Doutilitiesreporttheirperformanceresultstotheircustomersintheirannualreportorinbills

Source 2011 GLAAS country survey (72 country respondents)

enforcingbuildingcodesinGhanatoincreaseaccesstosanitation

Themajorityoflow-incometenantsinGhanalackaccesstosanitationfacilitiesintheirhomesdespiterequirementsthathousesincludealatrinemdashbuildingcodesandby-lawshavebeeninexistencesince1948Developersoftenmodifyplanstoexcludetoiletsinordertomaximizethenumberofroomstheycanrentout

46

52 USeofeQUiTycriTeriAToAllocATereSoUrceS

consistentuseofcriteriatoallocateresourcestounservedanddisadvantagedpopulationsisakeytooltoimprovetheequitableallocationofresourcesBudgetallocationoftentendstofavoururbanareaswhichresultsininequitableoutcomesbetweenruralandurbanareas

Inclusivewaterandsanitation

ldquoPersonswithdisabilitiesincludethosewhohavelong-termphysicalmentalintellectualorsensoryimpairmentswhichininteractionwithvariousbarriersmayhindertheirfullandeffectiveparticipationinsocietyonanequalbasiswithothersrdquomdashConvention on the Rights of Persons with Disshyabilities (UN General Assembly 2006)

MostdisabledpeoplelivewithoutaccesstoinclusivewaterandsanitationfacilitieswhichcanexacerbateimpairmentsandpovertyStigmaanddiscriminationcanalsoresultinthedenialofaccesstosanitationanddrinking-watermakingthedisabledevenmorevulnerableinGlAASanumberofcountrieshavewaterandsanitationpoliciesthatrefertopeoplewithdisabilitieshoweverforthemostpartconsiderationofpeoplewithdisabilitiestendstobeincludedonlyintheprojectsofNGos

onefifthandonethirdofcountrieshaveconsistentlyappliedequitycriteriainfundingallocationsforsanitationanddrinking-waterrespectively(Figure56)

Sanitationuseofequitycriteria2011

Drinking-wateruseofequitycriteria2011

Arethereagreedcriteriausedtoallocatefundingequitablytocommunitiesandaretheybeingapplied

Yesandconsistentlyappliedforbothurbanandrural

Yesandconsistentlyappliedforurbanorrural

Yesforurbanandruralbutnotconsistentlyapplied

Yesforeitherurbanorruralbutnotconsistentlyapplied

Noforbothurbanandrural

Notasurveyparticipant

Datanotavailable

Notapplicable

Useofequitycriteria2011Sanitation Drinking-water35 30 29 2730

25

Num

ber o

f cou

ntrie

s

13

25

19

Yes and they are applied Yes but not applied No

WaterAidanditspartnersinMadagascarhavemadethedrinking-watersupplysanitationandhygienefacilitiesinstalledmoreaccessibleThe

20 15 10 5 0remodifieddesignshavemadethe

waterandsanitationfacilitieseasierto consistently consistently useandmoreaccessibleformanyinthecommunitiesincludingchildren trendfrom2009to2011(38countries)olderpeoplethosewhoareillandpregnantwomen

2009

2009

2011

2011

0 10 20 30 40 50 60 70 80 90 100

of countries using equity criteria in funding allocation

Source Randrianarisoa (2010) Drinking-water

Sanitation

FIGUre 56 have criteria been agreed to allocate funding equitably tocommunitiesandaretheybeingapplied

Source 2011 GLAAS country survey (74 country respondents)

47

5 eQUiTy

53PerioDicASSeSSMeNTofeQUiTyPolicieS

PeriodicassessmentsbycivilsocietyandgovernmentsofhowresourcesarebeingallocatedcanhelptoensurethatpoorpeoplegettheirfairshareofpublicspendingonservicesSuchassessmentshelptoincreasecitizensrsquoparticipationespeciallythatofexcludedsocialgroupsintheformulationandimplementationofsanitationanddrinking-waterpoliciesandcanoftendelivermoreeffectiveandequitableresultsWheretherearediscrepanciesbetweenpolicystatementsandactualdeliverycivilsocietyorganizationsplayakeyroleinscrutinizingbudgetsanddemandingmoreequitableresourceallocationforwatersupplymdashsometimesresultinginimprovementsinpublicspendingonservicesusedbypoorpeopleandensuringthatpublicspendingactuallyreachesandbenefitspoorpeoplecivilsocietyorganizationshavealsoplayedaroleinstrengtheningroutinemonitoringsystemsofWAShthroughmappingruralwatersupplyandusingthedatatochallengethisinequitableresourceallocationthuscontributingtostrengtheneddemocracyandimprovedaccountability

Womenrsquosparticipationisencouragedindecision-makingatthecommunitylevelandisoftenprescribedinnationalwaterandsanitationpolicyandimplementingstrategieshoweverwomenstillfaceobstaclestoparticipatingindecision-makingThekeychallengeistotranslatepolicyandaffirmativeactionintoaprocessinwhichwomenrsquosparticipation(aspublicservantsandserviceprovidersaswellasconsumers)ismeaningfulnotjustsymbolic

onthewholetheimpactofequitypoliciesforvulnerableandmarginalizedgroupstendsnottobemeasuredtoseeiftheyhaveinfactresultedingreateraccesscountriesconfirmthatthereisalackofbothquantitativeandqualitativeevidenceonequityandinclusionissuesinWASh

54 iMPlicATioNSforThefUTUre

ThissectionshowsthatwhilemostcountrieshaverecognizedtherightstowaterandtoalesserextentsanitationgreatereffortsarerequiredtoprogressivelyrealizetheserightsTheseincludeestablishingandmonitoringtheimpactofpoliciesthatpromoteequityandnon-discriminationpublicparticipationandaccountabilityaswellasimprovedtargetingofthepoorandthevulnerablewithincountriesThisimpliesencouragingmultistakeholderparticipationindecision-makingthroughconsultationwithusersandthroughregularWAShreviewsinvolvementoflocalcommunitieswilllikelynotonlyimproveequitableoutcomesbutduetoincreasedownershipoveroperationandmaintenancealsopromotesustainedbenefitsforthoseusingexistingWAShserviceshowtoscaleupinclusionandequityissueshowtodesignservicesthataresuitableforeveryoneandhowtoholdserviceproviderstoaccountforthisallremainoutstandingissuesthatneedfocusedattention

Commitmentstoimprovetargetingtothepoorandvulnerable

AttheSWAhighlevelMeetingin2010manycountriesmadecommitmentsrelatedtoimprovingtargetingofthepoorandvulnerableManyrelatedthistotheuseofdataandevidencetoidentifygroupsinneedAngolaethiopiaandTimorlestecommittedtousingaccessandcoveragedatatoensurethatallocationsoffundsreachedtheunservedallhavereportedprogressindoingthisAngolahassinceestablishedaninformationsystemforwaterandsanitationtoprovidereliabledataforplanningbudgetingandevaluatingimplementationTimorlesteintroducedawaterinformationsystemcalledSistemainformasaunBeetomonitoraccesstoimprovedwatersourcesthisisusedtotargetunservedpopulationsespeciallyinruralareaswheresignificantdisparitiesexistTheinformationisalsousedtotargetvulnerablehouseholdsinthedevelopmentofdistrictplansThesystemhasbeenexpandedtoincludeaccesstoimprovedsanitationfacilitiesSenegalcommittedtostrengtheningitsexistingpro-poorpolicylikewisedonorsmadecommitmentstolinkidentifiedgapswithaidallocationsandreportgoodprogressTheUnitedKingdomisusingcoveragedatatohelpdeterminethetypeofsupportthatthepoorestcountriesneedTheAfricanDevelopmentBankisrespondingtotheevidenceofgapsinAfricabyfocusingonruralareaswhilealsomaintainingsupportforperiurbanareassmallandmedium-sizedtownsandurbansanitation

opportunitiesexistformoreinvolvementofcivilsocietyinassessingtheapplicationofequitycriteria(Figure57)

12 16

41

15 23

33

0

10

20

30

40

50

Yes both government and civil society

Yes but only government

No

Num

ber o

f cou

ntrie

s

Sanitation Drinking-water

FIGUre57Dogovernmentandcivilsocietyorganizationsperiodicallyassessandanalysewhetherequitycriteriasetbygovernmenthavebeenapplied infunding

Source 2011 GLAAS country survey (74 country respondents)

48

quity5 eexternal66 support

KeyMeSSAGeS

bullDespitetheglobalfinancialcrisisthetotalamountofdevelopmentaidforsanitationanddrinking-waterincreasedby3from2008to2010toUS$78billionNon-concessionallendingforsanitationandwaterincreasedfromUS$25billionin2008toUS$44billionin2010

bullonly7ofsanitationanddrinking-wateraidisdirectedatthemaintenanceofsystemsandservices

bullDevelopmentaidforsanitationanddrinking-watertofragileandconflict-affectedstatesincreasedby50fromUS$560millionin2007toUS$840millionin2010andincreasedfromalowof5oftotalWAShaidin2004to11oftotalWAShaidin2010

bullonlyhalfofsanitationanddrinking-wateraidistargetedatregionswhere70oftheglobalunservedlivethesub-SaharanAfricaSouthernAsiaandSouth-easternAsiaMDGregions

bullAidforbasicsystemscomprised26ofaidforsanitationandwaterin2010anincreasefrom16in2008

bullopportunitiesexistforincreasingalignmentwithcountryprioritiesthroughsectorbudgetsupportwhichiscurrentlyusedforlessthan5ofWAShdisbursements

6 exTerNAlSUPPorT

DespitethedeepglobalfinancialcrisiseSAsremaincommittedtosupportingcountriesintheirquesttohelpgovernmentsachievetheMDGsThiscommitmenthasbeenthekeyargumentforring-fencingpartsoftheaidbudgetsingeneralandforsanitationanddrinking-waterinparticularThecommitmentisfurtherreflectedinagraduallyrisingaidbudgetgloballydrivenbythestrongpushfromtheeuropeanUnion(eU)anumberofbilateralagenciesandinternationalfinancinginstitutions

eSAshaveanequallystrongdesiretoensurethatthecommitmentsmadetranslateintoresultsthatcanbemeasuredThispushbyanumberofeSAstoenhancetheaccountabilityagendaemergesasmoreeSAsareinthespotlightfromtheirownelectoratesorconstituenciesTheaddedpressuretoattributesuccesstoanindividualeSArsquosprogrammeorprojectmayreduceuseofflexiblecountry-ledfundingmechanismssuchasgeneralbudgetsupportorsectorbudgetsupporteSAsincreasinglydemandthattherecipientcountriesreportinmoredetailhowaidhasbeenusedandhowtherecipientcountriesthemselvesreporttotheirownconstituenciesThisincreasedopennessisreflectedintheinternationalAidTransparencyinitiativewhichgrewoutofthehighlevelforaonAideffectivenessthatstartedinromein2002andsubsequentlytookplaceinParisin2005inAccrain2008andmostrecentlyinBusanin2011inBusanparticipantsrecognizedtheheavyburdenplacedondevelopingcountriesbytheincreaseinthenumberofdonorsthatprovideaidtorecipientcountriesupfromanaverageoftwodonorsperreceivingcountryin1960to28donorsin2006fiveguidingprinciplesemergedfromthesehighlevelforalocalownershipalignmentofdevelopmentprogrammesaroundacountryrsquosdevelopmentstrategyharmonizationofpracticestoreducetransactioncostsavoidanceoffragmentedeffortsandthecreationofresultsframeworks

Areliableandaccessibledatabaseofinformationisnecessarygiventheemphasisonincreasedaccountabilityandtransparencyandontheneedtodemonstrateresultscomparedwithothersectorshoweverinparticularhealthandeducationthe

sanitationanddrinking-watersectorslackbasicinformationsuchaswhatdifferentinterventionscosthowmuchgovernmentstheprivatesectorandhouseholdsinvestinsanitationanddrinking-waterandspendonmaintainingandimprovingthefacilitiestheyhavewhathumanresourcesareavailabletosanitationanddrinking-waterandwhathumanresourcegapsneedtobefilled

TheworldiscomingunderincreasedpressuresfromtheeffectsofpopulationgrowthincreasedwealthandconsumptionpatternsbringaddedpressuresonwaterresourcesandwaterusagebyhouseholdsWhileglobalizationbringspeopleclosertogetheritalsobringsconflictsfromremoteplacesclosertothedonorcountriescountriessufferingfromfragilityandconflictareincreasinglybecomingthefocusofattentionforexternalsupportrecognizingthatthesecountrieshavethepotentialtoundotheresultsofconcerteddevelopmenteffortsandreversemanyofthegainsofthelasttwodecadesinreducingglobalpoverty

61 TArGeTiNGofAiDSecTorS

AidcommitmentsfromdonorsreportingtotheoecD-crStotalledUS$164billionin2010(US$163billionatconstant2009prices)upfromUS$160billionin2008mdashanincreaseof25comparing2008and2010aidcommitmentsforwaterandsanitationincreasedfromUS$75billiontoUS$78billiona32increase

itisnotablethat2009appearstobeanexceptionalyearwhenaidcommitmentsforwaterandsanitationincreased17fromthepreviousyearlargelyduetoaone-yearincreaseofUS$11billioninaidcommitmentsfromJapan

Developmentaidcommitmentstosanitationanddrinking-waterwerelowerthanthoseformostsocialsectorsincludinghealthandeducationandlowerthanthoseforgovernmentandcivilsocietytransportandstorageenergyandagriculture

Aidcommitmentstowaterandsanitationremainedat47(US$78billion)oftotalreporteddevelopmentaidin2010(Figure61)

Government and civil society Transport and storage

Multisectoral cross-cutting Education

Energy Humanitarian aid

HIVAIDS reproductive health Agriculture forestry and fisheries

Health Water and sanitation

Administrative cost of donors General environmental protection

Other social infrastructure Actions relating to debt

General budget support Refugees

Banking and financial services Industry mining and construction

Business services Food aid

Trade policies regulations tourism Reconstruction relief and rehabilitation Disaster prevention and preparedness

Communications Unspecified

Other commodity assistance

0 2 4 6 8 10 12 14 16 18 20

Commitments 2010 (US$ billion)

FIGUre 61 Sanitationanddrinking-wateraidcommitments in relation toallotheroDAcommitments2010

Source OECD (2012)

50

BycomparisontheUS$133billioncommittedtoeducationrepresents80oftotaldevelopmentaidandtheUS$195billioncommittedforhealthpopulationreproductivehealthandhumanimmunodeficiencyvirusacquiredimmunodeficiencysyndrome(hivAiDS)represents119ofaidfromdonorsreportingtooecD(figure62)Thisrelativelyhighproportionofaidforhealthandeducationismirroredintheresponsestothe2011GlAASeSAsurveyinwhichboththesesectorswerefrequentlycitedasbeingatornearthetopoftheirprioritieswhereassanitationanddrinking-waterwerefrequentlycitedasbeinginthetoponethirdoftheirprioritiesThiscomparativeanalysisisnottosuggestthatdevelopmentaidshouldbeshiftedfromothersectorstowaterandsanitationhoweveritisintendedtoprovideinsightintothetrendsandprioritiesofeSAsoverall

62 exTerNAlfiNANciNGfloWS

externaldevelopmentassistancetosanitationanddrinking-waterisprovidedbycountriesmultilateralorganizationsNGosandprivatefoundationsAidisprovidedthrougharangeoffundingchannelsandforvariouspurposesincludinggeneralbudgetsupportandsectorbudgetsupportaswellastoprojectsdirectlyforinfrastructuredevelopmentplanningtrainingadvocacyeducationandmonitoringfinancialaidcanbeintheformofgrantsconcessionalloansorcreditsandmaycoverthemajorityofnational(governmentandexternalbutnotincludinghousehold)spendingonsanitationanddrinking-watermdashinsomecountriesnear90

Aidfordrinking-waterandsanitationhasrisenslowlyasapercentageoftotaldevelopmentaidsincethelowpointof2002butisstillsignificantlybelowaidforsocialsectorssuchashealthandeducation(Figure62)

13

12

11

10

9

8

7

6

5

4

3

2

1

0

Sanitation and water

Aid

com

mitm

ents

as

a

of t

otal

OD

A c

omm

itmen

ts Education Health population HIVAIDS US$ 195 billion

US$ 133 billion

US$ 78 billion

1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010

FIGUre62TrendsinaidforwaterandsanitationeducationandhealthpopulationhivAiDSasapercentageoftotaloDAcommitments1995ndash2010

Source OECD (2012)

51

6 exTerNAlSUPPorT

thetotalamountofdevelopmentaidforsanitationanddrinking-waterincreasedtooverUS$78billionin2010fromUS$75billionin2008Non-concessionallendingincreasedfromUS$25billionin2008toUS$44billionin2010(figure6364)

AIDCoMMItMeNtS amountedtomorethanUS$78billion figure63showsthegeographical(2008ndash2010AverAGe) (asreportedtooecD-crS)ofthis distributionofUS$78billioninannualin2010thegrantandloanaid amountUS$36billionwasintheform averagecommitmentsmadefrom2008commitmentsofbilateralandmultilateral ofgrantswhereasUS$42billionwas to2010(in2009constantUSdollars)eSAstosanitationanddrinking-water intheformofconcessionaloDAloans

FIGUre63commitmentspercapitamadetosanitationanddrinking-water2008ndash2010average

Source OECD (2012)

AIDDISBUrSeMeNtS(2010) multilateralagenciesTheirtotalexternal of10fromtheUS$56billionreportedDisbursementdataareavailable aiddisbursementsforsanitationand in2009foroecDDevelopmentAssistance drinking-wateramountedtoUS$62committeemembersandseveral billionin2010(figure64)anincrease

FIGUre64Disbursementspercapitamadetosanitationanddrinking-water2010

Source OECD (2012)

52

NoN-CoNCeSSIoNALLoANCoMMItMeNtS(2010)Non-concessionalloancommitments(ieldquootherofficialflowsrdquonotclassifiedasoDA)comprisedUS$44billionincommitmentsforwaterandsanitationin2010Thisrepresentsa78increaseinnon-concessionalloancommitmentssince2008ThisincreaseisreflectedinthedoublingofloandisbursementsforwaterandsanitationfromUS$16billiontoUS$34billionfrom2009to2010

rAtIooFDISBUrSeMeNtStoCoMMItMeNtSWaterandsanitationdevelopmentaidcommitmentsanddisbursementsamountedtoUS$78billionandUS$62billionrespectivelyin2010Thisrepresentsadisbursementtocommitmentratioof08forfundsin2010whichishigherthanthelong-termaverageof071lowcapacitytospendthefundscommittedbydonorswasreportedasanissuebycountriesinthe2011GlAAScountrysurvey

Thisdifferencebetweencommitmentsanddisbursementscanbeseenmoreclearlyfromfigure65wheretheratiosarecomparedovertwofive-yearperiods2006ndash2010fordisbursementsand2005ndash2009forcommitmentstheone-yeartimelagallowingforprojectprogrammeadministrationtobeputinplaceitcanbeseenthatbothhealthandeducationdisbursenearly100ofthecommitmentsmadewhereaswaterandsanitationdisbursementisnear70ofthecommitmentsmadeThisisprimarilyduetothefocusonhighercapitalexpenditureasaproportionofdisbursementsinwaterandsanitationprogrammescomparedwiththeemphasisonrecurrentexpenditureinhealthandeducationinfrastructuresectorssuchastransportandconstructionaresimilartowaterandsanitationintheirdisbursementtocommitmentratioswhereastheagricultureforestryandfisheriessectorissignificantlyhigheratover85

theratioofdevelopmentaiddisbursedversuscommittedisapproximately071forwaterandsanitationwhichislowcomparedwiththoseforhealthandeducationbutcomparablewiththoseforinfrastructuresectors(Figure65)

FIGUre65ratioofdisbursements (2006ndash2010) tocommitments (2005ndash2009)forsanitationandwater

Source OECD (2012)

Education

Health

HIVAIDS reproductive health

Government and civil society

Agriculture forestry and fisheries

Energy

Industry mining and construction

Transport and storage

Water and sanitation

00 02 04 06 08 10

Disbursement (2006ndash2010) to commitment (2005ndash2009) ratio

Donorcommitments

The2010SWAhighlevelMeetingwasaforumatwhichmanydonorsmadepublicstatementsrelatingtotheirplanstoincreasefundingcommitmentstowaterandsanitationTheAsianDevelopmentBankannouncedthatitexpectedfundingcommitmentstoincreasefrom85in2003ndash2007toabout17for2008ndash2010andtodoubleinvestmentintheWAShsectortoUS$10billionduring2006ndash2010BothofthesetargetshavesincebeenachievedTheAfricanDevelopmentBankstatedthatitplanstoincreaseannualfundingfromUS$460millionin2009tooverUS$1billionby2013Germanystatedthatbecauseitrecognizesthechallengesinsub-SaharanAfricaitplannedtodoubletheresourcesmadeavailablethroughtheGermanfederalMinistryforeconomiccooperationandDevelopmentbetween2008and2010andin2012itreportedthatthiscommitmenthasbeenmetThecommitmenttothewatersectorinAfricadoubledwithanincreasefromeuro149millionin2008uptoalmosteuro300millionin2010Theeuropeancommissionrepeateditscommitmentofeuro200millionwiththeobjectiveofhelpingtoachievetheMDGsandcontributetoimprovingwatergovernanceandtothesustainabledevelopmentofhydraulicinfrastructureJapanreiterateditsgrantandtechnicalassistanceofyen30billionforwaterandsanitationinAfricancountriesforfiveyearsbetween2008and2012SeveraldonorsmadestatementsrelatingspecificallytocatchinguponsanitationSwitzerlandannouncedthatapproximately45ofitsWAShexpenditure(3ofitstotaloDA)isspentonsanitationandtheNetherlandsandGermanystatedthat31and40respectivelyoftheirdevelopmentassistancebudgetsforWAShareallocatedtosanitation

53

6 exTerNAlSUPPorT

63 PrioriTiziNGcoUNTrieSANDreGioNS

eSAsuseanumberofcriteriatoselectcountriestowhichtoallocatedevelopmentaidtosanitationanddrinking-waterrecognizedneedsbasedonpovertylevelsandonsanitationanddrinking-wateraccessandusedatainfluencethedecisionsofalltheeSAswithoutexceptionasdoestheactualeSApresenceintheparticularcountryTheinfluenceofqualityofthegovernanceorreformeffortsorthenumberofdonorsworkinginaparticularsectorislesscertaineSAsareparticularlyinfluencedbywhetheracountryisafragileorconflict-affectedstate(withthesecountriesbeingapriorityformanydonors)converselythepresenceofahumanrightsframeworkforsanitationanddrinking-waterthusfarseemstohavelimitedinfluenceonthedecisionastowhethertosupportaparticularrecipient(figure66)

LoW-INCoMepopULAtIoNSTheworldrsquospoorarenolongerstrictlyconfinedtolow-incomecountriesWitheSAsprioritizingpoorpeopleknowinghowtoreachthemisimportantWhilethemajorityofpoorpeopleusedtoliveinlow-incomecountriesmdash20yearsago93oftheworldrsquospoorlivedinlow-incomecountriesmdashdevelopmentinanumberofthesecountrieshasmovedthemintothemiddle-incomecountrycategoryandthreequartersoftheworldrsquos13billionpoornowliveinmiddle-incomecountries(Sumner2010)AtthesametimerecentworkbytheWorldBankunderlinestheneedforstrongleadershipandconcertednationalandinternationaleffortsinfragileandconflict-affectedstateswheremanyofthepoorestpeopleliveandthesecountrieshavebecomeanincreasedfocusformanyeSAs(WorldBank2011)

FrAGILeANDCoNFLICt-AFFeCteDStAteSfragileandconflict-affectedcountriesarefurthestawayfromachievingtheMDGsmdashnolow-incomefragileorconflict-affectedcountryhasyettoachieveasingleMDG(WorldBank2011)ingeneral30ofoDAisspentinfragileandconflict-affectedcontexts(oecD2011a)butforwaterand

sanitationthefigurewasonly11in December2011anumberofcountries2010(upfromalowof5in2004) andinternationalorganizationsTherearemanycurrentinitiativesto endorsedanagreementonanewglobalincreaseattentiontothesecountries directionforengagementwithfragileforinstanceatthefourthhighlevel statesforumonAideffectivenessinBusanrepublicofKoreainNovember

Multiplefactorsinfluencedonoraidprioritization(Figure66)

Need (poverty)

Established in-country presence

Need (coverage)

Relevance and significance of contribution

Fragile or conflict-affected state

Strategic dialogue with country

Strong sector plans and budgets

Published targets for coverage or spending

Quality of governance or reform efforts

Limited donor presence

Human rights framework for WASH

0 20 40 60 80

of ESAs using criteria

FIGUre66PercentageofeSAsusingcriteria toselectpriorityrecipientcountriesregions

Source 2011 GLAAS ESA survey

Developmentaidforsanitationanddrinking-watertofragileandconflict-affectedstatesincreasedby50fromUS$560milliontoUS$840millionfrom2007to2010(Figure67)

FIGUre67Trends insanitationandwateraidcommitments for fragileorconflict-affectedstates2004ndash2010

Source OECD (2012)

0

200

400

600

800

1000

1200

2004 2005 2006 2007 2008 2009 2010

Aid

com

mitm

ent (

US

$ m

illio

ns c

onst

ant 2

009

$US

)

Fragile or conflicted-affected states

Represents 5 of water and sanitation aid in 2004

Represents11 of water and sanitation aid in 2010

54

reGIoNALtArGetINGSeventypercentoftheworldrsquospopulationwithoutsustainableaccesstobasicsanitationandsafedrinking-waterliveinthesub-SaharanAfricaSouthernAsiaorSouth-easternAsiaMDGregionsin2010sub-SaharanAfricareceivedthemostaidforsanitationanddrinking-waterofanyregioninabsolutetermsfollowedbytheSouthernAsiaandWesternAsiaregions

reLAtIoNSHIpBetWeeNAIDALLoCAtIoNSANDWAterANDSANItAtIoNCoverAGeTodeterminetherelationshipbetweendonoraidtargetingandcoveragerecipientaid(averagecommitmentsfrom2008ndash2010reportedtooecD)percapitaiscomparedwithaveragecoveragelevelforsanitationanddrinking-waterforeachaidrecipientcountryTwelvecountrieswithlessthan50averagecoveragewerefoundto

receivelessthanthemedianaidpercapitaamountofUS$280ifcountrycoveragelevelisanimportantfactorfordonorswhenselectingprioritycountriesitwouldbeexpectedthatmoreofthesecountrieswouldreceivehigheraidlevels

Half(50)ofsanitationanddrinking-wateraidistargetedtothesub-SaharanAfricaSouthernAsiaandSouth-easternAsiaMDGregionsthosepartsoftheworldwhere70oftheunservedlive(Figure68)

FIGUre68SanitationandwateraidcommitmentsbyMDGregion2010

Sources 2011 GLAAS ESA survey OECD (2012)

g7+countries

in2010agroupofsevenoftheworldrsquosmostfragilestatesformedtheg7+Thegrouphasgrownto19statesandnowincludescountriesacrossAsiaAfricaandthePacificrepresenting350millionpeoplegloballyParticipatingcountriesintheg7+areAfghanistanBurundithecentralAfricanrepublicchadcocirctedrsquoivoiretheDemocraticrepublicofthecongoethiopiaGuineaGuinea-BissauhaitiliberiaNepalPapuaNewGuineaSierraleoneSolomonislandsSomaliaSouthSudanTimor-lesteandTogoTheg7+meetsregularlywithintheframeworkoftheinternationalDialogueonPeacebuildingandStatebuildinghighontheagendaofreformsbeingpromotedbytheg7+arestrengtheningdemocraticprocessesimprovementsinsecurityandbetterresourceandrevenuemanagement(verhoevenampfonseca2012)

Manycountrieswithlowcoveragelevelsreceivelowlevelsofwaterandsanitationaidpercapita(Figure69)

55

$001

$010

$100

$1000

$10000

0 10 20 30 40 50 60 70 80 90 100

Least developed countries Other low-income countries Lower middle income countries Upper middle income countries

Niger DRC

Somalia

Madagascar

Chad

Ethiopia

Guinea

Nigeria

Togo

Congo

Afghanistan

Guinea-Bissau

Median aid per capita = US$ 280

Average coverage (sanitation and drinking-water) percentage 2010

Don

or a

id c

omm

itmen

ts p

er c

apita

200

8ndash20

10 a

vera

ge

FIGUre69Donoraid(averageannualcommitment2008ndash2010constant2009$US)percapitaversusaveragecoverageincountries

DrcDemocraticrepublicofthecongo

Sources OECD (2012) UNICEFWHO (2012)