2012
report
UN-Water Global Analysis and AssessmentofSanitationandDrinking-Water
ThechAlleNGeofexTeNDiNGANDSUSTAiNiNGServiceS
Includes annex
on trackIng
natIonal fInanc
Ial
flows to sanIta
tIon,
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drInkIng-water
Who library cataloguing-in-Publication Data :
UN-water global annual assessment of sanitation and drinking-water (GlAAS) 2012 report: the challenge of extending and
sustaining services.
1.Sanitation - economics. 2.Water supply. 3.Drinking water - supply and distribution. 4.international cooperation. 5.National
health programs. 6.Program evaluation. 6.Millennium development goals. i.World health organization. ii.UN-Water.
iSBN 978 92 4 150336 5 (NlM classification: WA 675) © World health organization 2012
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2012
report
UN-Water Global Analysis and AssessmentofSanitationandDrinking-Water
ThechAlleNGeofexTeNDiNGANDSUSTAiNiNGServiceS
UNWater is the United Nations interagency coordination mechanism for all freshwater related issues. Established in 2003, UNWater fosters greater cooperation and information sharing among UN entities and relevant stakeholders.
UNWater monitors and reports on the state, utilization and management of the world’s freshwater resources and on the situation of sanitation through a series of interconnected and complementary publications that, together, provide a comprehensive picture and, individually, provide a more indepth analysis of specific issues or geographic areas.
PERIODIC REPORTS:
IN THE YEARS 2012-2013 UN WATER WILL ALSO PUBLISH:
2012
2013
World Water Development Report (WWDR) is coordinated by the World Water Assessment Programme (WWAP) on behalf of UNWater and published every three years. It provides a global strategic outlook on the state of freshwater resources, trends in use of the resource base in the various sectors (inter alia, agriculture, industry, energy) and management options in different settings and situations (inter alia, in the context of urbanization, natural disasters, and impacts of global climate change). It also includes regional assessments.
Global Analysis and Assessment of Sanitation and Drinking-Water (GLAAS) is produced every two years by the World Health Organization (WHO) on behalf of UNWater. It provides a global update on the policy frameworks, institutional arrangements, human resource base, and international and national finance streams in support of sanitation and drinkingwater. It is a substantive input into the activities of Sanitation and Water for All (SWA).
The progress report of the WHO/UNICEF Joint Monitoring Programme for Water Supply and Sanitation (JMP) is produced every two years. The JMP is affiliated with UNWater and presents the results of the global monitoring of progress towards MDG 7 target C: to halve, by 2015, the proportion of the population without sustainable access to safe drinkingwater and basic sanitation. Monitoring draws on the findings of household surveys and censuses usually supported by national statistics bureaux in accordance with international criteria.
UN-Water Report on Integrated Approaches in the Development, Management and Use of Water Resources is produced by UNWater for the Rio+20 Summit. A similar status report was produced in 2008 for UNCSD. The report assesses the status and progress of the management of water resources in UN Member States and reports on the outcomes and impacts of improved water resources management.
UN-Water Country Briefs pilot project. They provide a strategic outlook on the critical importance of investments in water for human and economic development at country level.
More Information on UN-Water Reports at www.unwater.org/documents.html
✓ Strategic outlook ✓ State, uses and management
of water resources ✓ Global ✓ Regional assessments ✓ Triennial (4th edition)
✓ Status and trends ✓ Water supply and sanitation ✓ Global ✓ Regional and national
assessments ✓ Biennial (since 1990)
✓ Strategic outlook ✓ Water supply and sanitation ✓ Global ✓ Regional assessments ✓ Biennial (since 2008)
Foreword
Withthe2015targetdatefortheMillenniumDevelopmentGoals(MDG)clearlyonthehorizon,this2012editionoftheUN-WaterGlobalAnalysisandAssessmentofSanitationandDrinking-Water(GlAAS)contributesimportantlytotheimplementationoftheUN-Waterstrategyofdeliveringstrongmessagesonwaterthathelpshapethepost-2015sustainabledevelopmentlandscape.itspublicationistimelyinthelead-uptothenextkeyeventinthisprocess,therio+20UnitedNationsconferenceonSustainableDevelopment.
UN-Water,theUnitedNationsinter-agencycoordinationmechanismforallfreshwater–relatedissues,hasdrinking-waterandsanitationamongitsfocusareas.WhileprogresstowardstheMillenniumDevelopmentGoal(MDG)target7.cisregularlymonitoredbytheWho/UNicefJointMonitoringProgrammeforWaterSupplyandSanitation(JMP),theUN-WaterGlAASbuildsontheseresultsandanalysestheunderlyingreasonsforsuccess—orlackofit.
initsrelativelyshortlife,UN-WaterGlAAShasearneditsplaceinthewatermonitoringandreportinglandscapeandisincreasinglyusedasthebasisformoreinformeddecision-making.Thiscamefromtherecognitionthatthescarcityofinformationonnationalsanitationanddrinking-water–relatedpolicies,financingandhumanresourceswasamajorbarriertoprogress.italsoresultsfromthedearthofexactknowledgeconcerningthestatusofandtrendsindevelopmentassistance.
inearlyMarch2012,theJMPannouncedthatsignificantprogressonimprovedaccesstodrinking-waterhadbeenachieved.Thisencouragingnewscomes,however,withamessageofcaution:manyarestillunserved,disparitiesaregreatandthemonitoringofkeyattributes,suchaswaterquality,remainschallenging.Moreover,theestimated780
millionpeoplestillunservedareincreasinglyhardtoreach,andtheMDGtargetforsanitationisnotontrack:therearecurrently2.5billionpeoplewithnoaccesstoimprovedsanitation.
This2012UN-WaterGlAASprovidesfurtherreasonforvigilance—resourcesareneithertargetednorapparentlysufficienttosustainroutineoperationandmaintenancerequirements.Thus,thereisaseriousriskofslippingbackwardsongainsalreadymade.TheanalysisemergingfromUN-WaterGlAASalsohelpstoidentifythereasonsbehindthedisparitiesinaccesstosanitationanddrinking-wateramongdifferentregions,communitiesandincomegroupsthathavebeenidentifiedbytheJMP.
BasedontheevidenceemergingfromUN-WaterGlAAS,thereareanumberofachievableimmediatestepsthatcountries,externalsupportagenciesandotherstakeholderscanundertaketocontinueextendingsanitationanddrinking-waterprovisioning,whilesustainingservicesalreadyinplace.Theseimmediatestepsarehighlightedinthisreport,togetherwithanumberofareasthatwarrantin-depthstudies,achallengethatUN-WaterGlAASisreadytotakeup.
MichelJarraudchairUN-Water
IV
Acknowledgements
UN-WaterandWhogratefullyacknowledgethefinancial ThepreparationofthisreportinvolvedcontributionsfromsupportprovidedbytheDepartmentforinternational hundredsofindividualsrepresentingallregionsoftheworld.Development,UnitedKingdom;theSwissAgencyfor UN-WaterandWhowouldliketoextendtheirgratitudetoallDevelopmentandcooperation;theDirectorate-General thoseindividualsandorganizationsthatcontributedtotheforinternationalcooperation,theNetherlands;andthe developmentofthisreport—especiallythoseindividualswhoGovernmentofKuwait. submittedinformationfromcountriesandexternalsupport
agencies.AfulllistingofindividualswhocontributedtothisreportandtheiraffiliationsisgiveninAnnexG.
Acronymsandabbreviations
3Ts tariffs,taxesandtransfersADB AsianDevelopmentBankADf AsianDevelopmentfund,AsianDevelopmentBankAfD AgencefrançaisedeDéveloppementAfDB AfricanDevelopmentBankAfDf AfricanDevelopmentfund,AfricanDevelopmentBankAfeSD ArabfundforeconomicandSocialDevelopmentAMcoW AfricanMinisters’councilonWatercSo countryStatusoverview(WorldBankWaterandSanitationProgram)eBrD europeanBankforreconstructionandDevelopmenteSA externalsupportagencyeU europeanUnionGDP grossdomesticproductGlAAS GlobalAnalysisandAssessmentofSanitationandDrinking-water(formerlyGlobalAnnualAssessmentof
SanitationandDrinking-water)GoAlWaSh Governance,AdvocacyandleadershipforWater,Sanitationandhygiene(UnitedNationsDevelopmentProgramme)hiv/AiDS humanimmunodeficiencyvirus/acquiredimmunodeficiencysyndromehr humanresourcesiDA internationalDevelopmentAssociation,WorldBankiDB inter-AmericanDevelopmentBankifrc internationalfederationofredcrossandredcrescentSocietiesiSic internationalStandardindustrialclassificationJMP Who/UNicefJointMonitoringProgrammeforWaterSupplyandSanitationlDc leastdevelopedcountryMDG MillenniumDevelopmentGoalNDP nationaldevelopmentplanNGo nongovernmentalorganizationo&M operationandmaintenanceoDA officialdevelopmentassistanceoecD organisationforeconomicco-operationandDevelopmentoecD-crS oecDcreditorreportingSystemofiD oPecfundforinternationalDevelopmentoPec organizationofPetroleumexportingcountriesPrSP povertyreductionstrategypaperSeeA-Water SystemofenvironmentaleconomicAccountingforWaterSWA SanitationandWaterforAllTicADiv fourthTokyointernationalconferenceonAfricanDevelopmentUN UnitedNationsUNDP UnitedNationsDevelopmentProgrammeUNicef UnitedNationschildren’sfundUSA UnitedStatesofAmericaWASh water,sanitationandhygieneWho WorldhealthorganizationWSP-Africa WaterandSanitationProgram,WorldBankWSP watersafetyplan
V
3.1 Sourcesoffundingandhowmuchisbeingspent.............................................................................263.2 Allocationoffunding:whatismoneybeingspenton?.......................................................................283.3 Useofcommittedfunds...................................................................................................................... 303.5 WAShinvestmentprogrammes:docountriesknowhowmuchtheywillneedtospendinfuture?...343.6 Adequacyoffinance............................................................................................................................353.8 implicationsforthefuture .................................................................................................................... 36
4 humanresources.....................................................................................................................................37
4.1 Adequacyofhumanresourcedata.....................................................................................................384.2 Sufficiencyofstaffing..........................................................................................................................394.3 Staffincentivesandcontinuingeducation..........................................................................................404.4 Gender.................................................................................................................................................404.5 Barriersimpedingdevelopmentofhumanresources.........................................................................404.6 humanresourceplanning...................................................................................................................414.7 implicationsforthefuture ....................................................................................................................42
5 equity...........................................................................................................................................................43
5.1 humanrightstowaterandsanitation.................................................................................................445.3 Periodicassessmentofequitypolicies............................................................................................... 485.4 implicationsforthefuture .................................................................................................................... 48
tableofcontents
foreword...............................................................................................................................................................iv
Acknowledgements................................................................................................................................................v
Acronymsandabbreviations.................................................................................................................................v
executivesummary...............................................................................................................................................3
context...................................................................................................................................................................6
1 Politicalwillandaccountability................................................................................................................9
2 Policies,planningandcoordination.....................................................................................................13
2.1 Policyadoption.....................................................................................................................................142.2 Planningandcoordination...................................................................................................................172.3 reviews,monitoringandreporting.....................................................................................................192.4 Decentralization...................................................................................................................................212.5 localstakeholderparticipation...........................................................................................................222.6 implicationsforthefuture ....................................................................................................................23
3 financing....................................................................................................................................................25
1
6 externalsupport........................................................................................................................................49
6.1 Targetingofaidsectors ....................................................................................................................... 506.2 externalfinancingflows........................................................................................................................516.3 Prioritizingcountriesandregions........................................................................................................546.4 Aidallocationbreakdowns..................................................................................................................566.5 Alignmentandcoordination................................................................................................................596.6 futuretargets......................................................................................................................................616.7 fundingchannels................................................................................................................................616.8 implicationsforthefuture ....................................................................................................................62
7 Specialfocusonwater,sanitationandhygieneinschoolsandhealth-carefacilities............63
7.1 Sanitationandhygieneinschools......................................................................................................647.2 Water,sanitationandhygieneinhealth-carefacilities........................................................................667.3 implicationsforthefuture ....................................................................................................................67
references........................................................................................................................................................68
AnnexA:Methodology..................................................................................................................................71
AnnexB:TrackingnationalfinancialflowstoWASh.............................................................................74
Annexc:Glossary..........................................................................................................................................82
AnnexD:Summaryofresponsesto2011GlAAScountrysurvey....................................................85
Annexe:Summaryofresponsesto2011GlAASexternalsupportagencysurvey....................95
Annexf:Supplementaryinformationondonor/countrycoordination..............................................97
AnnexG:listofcontributors........................................................................................................................99
2
executivesummary
theobjectiveoftheUN-WaterGlobalAnalysisand
AssessmentofSanitationandDrinking-Water(GLAAS)
istomonitortheinputsrequiredtoextendandsustain
water,sanitationandhygiene(WASH)systems
andservices.Thisincludesthecomponentsofthe“enablingenvironment”:documentinggovernmentpolicyandinstitutionalframeworks;thevolume,sourcesandtargetingofinvestment;thesufficiencyofhumanresources;prioritiesandgapswithrespecttoexternalassistance;andtheinfluenceofthesefactorsonperformance.Amorechallengingsecondarygoalistoanalysethefactorsassociatedwithprogress,orlackthereof,inordertoidentifydriversandbottlenecks,toidentifyknowledgegaps,toassessstrengthsandweaknesses,toidentifychallenges,prioritiesandsuccesses,andtofacilitatebenchmarkingacrosscountries.
Thissecond1UN-WaterGlAASreportpresentsdatareceivedfrom74developingcountries,coveringalltheMillenniumDevelopmentGoal(MDG)regions,andfrom24externalsupportagencies(eSAs),representingapproximately90%ofofficialdevelopmentassistance(oDA)forsanitationanddrinking-water.
TherehavebeenremarkablegainsinWASh.The2012progressreportoftheWorldhealthorganization(Who)/UnitedNationschildren’sfund(UNicef)JointMonitoringProgrammeforWaterSupplyandSanitation(JMP)announcedthattheMDGtargetfordrinking-waterwasmetin2010:theproportionofpeoplewithoutaccesstoimproveddrinking-watersourceshadbeenmorethanhalved(from24%to11%)since1990.however,theprogressreportalsonotedthatthebenefitsareveryunevenlydistributed.
Majorgainshavebeenmade,withtheMDG
drinking-watertargetbeingmetin2010—but
challengesremaintoreducedisparitiesandto
increasesanitationcoverage.
forexample,onlylimitedprogressisevidentintheincreaseofaccesstodrinking-wateramongthepoorestinsub-SaharanAfricaortosanitationamongthepoorestinSouthAsia.Morethanthreequartersofthosewholackaccesstosafedrinking-waterandbasicsanitationliveinruralareas.
Thefactthat,between1990and2010,over2billionpeoplegainedaccesstoimprovedwatersourcesand1.8billionpeoplegainedaccesstoimprovedsanitationfacilitiesdemonstrateswhatcountriescanachievewithsustainedcommitment,adequateresourcesandeffectiveimplementationapproaches.Theseresultsalsopointtotheachievementsmadebydevelopmentpartnersthathaveprovidedexternalsupport.ring-fencingofbilateralsupportforwaterandsanitationatcurrenttimesoffinancialcrisisstemsdirectlyfromthehigh-levelcommitmentsmadein
ThefirstGlAASreportwaspublishedin2010aftera“proofofconcept”waspilotedin2008.
theMillenniumDeclaration.Politicalwillandcommitmenttoaction,evidence-basedplanningandpolicy-making,andsufficienthumanandfinancialresourcesare,however,keytosustainedsuccess.
Asthisreportshows,inmanycountries,policiesandprogrammeshavefartoolittleemphasisonensuringadequatefinancialandhumanresourcestobothsustaintheexistinginfrastructureandexpandaccesstosanitation,drinking-waterandhygieneservices.ThedangerofslippageagainsttheMDGtargetisarealone.
Focusingoneffectivelymanagingassetsto
sustainservicescanbeasimportantasfocusing
onnewinfrastructure.
The2012GlAASreportdrawsonthelatestinformation,includingdatafromtheorganisationforeconomicco-operationandDevelopment(oecD)creditorreportingSystem(crS),anddatagatheredthroughtwosetsofquestionnaires:oneforlow-andmiddle-incomecountriesandoneforeSAs.ThesequestionnaireshaveallowedcountriesanddonorstoscoretheirprogressandWAShinputsaccordingtoobjectivecriteria.Whiletheresponsesarebasedonconsensusfrommultiplestakeholdersandaresubjecttovalidation,itisacknowledgedthattheaccuracyofresponseswillshowvariability.Thus,tosomeextent,theresponsesshouldbeinterpretedasaself-assessmentofcountryanddonorpriorities,andthedatashouldbeusedwithcautionwhenmakingcomparisonsbetweencountriesandbetweendonors.TheGlAASmethodologyispresentedinAnnexA.
Lackofrobustdata,particularlyonfinancial
flows,isamajorconstrainttoprogress.
Thereport:
• warnsofasignificantriskofslippageonthegainsmadeinextendingWAShservicesunlessmoreattentionisgiventomaintainingthoseservicesandassets;
• acknowledgesthatdespitetheseverefinancialcrisisfacedbymanyhigh-incomecountries,aidforsanitationanddrinking-watercontinuestorise,whiletargetingtobasicMDG-typeservicesisimproving;
• showsthatsomecountriesarereportinggoodprogresstowardsnationalWAShtargets,buthighlightsthatforthemajorityofcountries,humanandfinancialresourceconstraints,especiallyforsanitation,aresignificantlyimpedingprogress.
ThefocusonenhancingaccountabilityisincreasinglystrongandisakeycomponentoftheSanitationandWaterforAll(SWA)partnership,towhichmanyGlAASrespondentsbelong.AccountabilityisbeingfurtherenhancedbytheincreasedattentionpaidtothehumanrighttoWaterandSanitationsincetherecognitionofthisrightbytheUnitedNations(UN).
3 1
Sections1and2ofthereportdescribethegrowingpoliticalwillforWAShimplementationamongreportingcountriesandtheincreasingeffortsofcountriestobeaccountableandtoplanandcoordinateeffectively.Keyfindingsincludethefollowing:
• countriesreportrecentandsubstantivepoliticalcommitmentstoWASh,increasingfundingallocationsandincreasingleadershipandcoordinationamongimplementingagencies.
• ThemajorityofcountrieshaveestablishedtransparentWAShserviceprovisiontargetsandhaveputinplacesupportingpolicies.Manycountriesaremonitoringagainstthesetargets.Accountabilitycanbeimproved,asmostcountriesdonotincludeconsumersinplanning,andonlyhalfhaveestablishedregularreviewprocesses.
• Despiteimpressiveglobalgains,mostcountriesarefallingshortonmeetingtheirownnationalWAShcommitments,with83%and70%ofcountriesreportedlyfallingsignificantlybehindthetrendsrequiredtomeettheirdefinednationalaccesstargetsforsanitationanddrinking-water,respectively.
• Althoughtheimportantcontributionthathygienemakestohealthisclearlyrecognized,nationaltargetshavegenerallynotbeenestablishedforhygienepromotionprogrammes.
Section3presentsdataonfinancialflows.Whilethelimiteddatasubmittedprecludemakingdefinitivestatementsaboutglobalfinancialallocations,countriesreportinsufficientfinancingforWAShoverall,withparticularlyseriousshortfallsforsanitation.Keyfindingsincludethefollowing:
• ManyofthegovernmentsreportinginadequatefundingallocationsforWAShalsopointtoapoorabsorptioncapacity—thatis,difficultiesinspendingthelimitedfundsthatarereceived.
• Drinking-watercontinuestoabsorbthemajorityofWAShfunding,evenincountrieswitharelativelyhighdrinking-watersupplycoverageandarelativelylowsanitationcoverage.
• insufficientfundingforoperationandmaintenanceunderminesthesustainabilityofservicesinamajorway.
Thisreportpresentschartsanddescriptivetabularsummariesfornumerousdrinking-waterandsanitationindicatorsandbenchmarks.financialdatapresentedinthetablesorchartsare,inamajorityofcases,for2010.forsomekeyindicators,adashboardofmapsandfiguresisprovidedtopresentageographicalsummary,globalsummarystatisticsandtrends.chartsandtabularsummariesalsogenerallyindicatethenumberofresponsesthatwereconsideredintheanalysisorparticularquestion.Thisnumberdoesnotnecessarilyequalthetotalnumberofrespondentstothesurvey,asnoteverycountryoreSAansweredallpartsofthequestionnaires,andinmanycasesthedatawerecollectedfromanalreadyexistingsource(e.g.theoecD-crS).
• fundsaredisproportionatelytargetedforextendingservicesinurbanareas,evenincountrieswhereurbanareasarerelativelywellservedandruralareasareoff-track.
• Althoughdataonhouseholdfundingcontributionsarelimited,whatinformationthereissuggeststhatthesearesignificantandcanmakeamajorcontributiontosustainingservices.
• TostrengthenthecollectionofWAShfinancialinformation,aharmonizedmethodofdatamonitoringisneeded(onesuchmethodisproposedinAnnexA).
Section4examinestheadequacyofthehumanresourcebasetoimplementWAShinterventionsandhighlightsthegapsindata.Keyfindingsincludethefollowing:
• onehalfofcountriesdidnotreportonhowmanyWAShstaffwereinplace,indicatingasignificantlackofinformationonhumanresources.
• Thereisinsufficientstaffinplacetooperateandmaintainsanitationanddrinking-waterinfrastructure.
• halfthecountriessurveyedreportedthatwomenmakeuplessthanatenthofprofessionalWAShstaff.
• lackofsupply-sidetechniciansandskilledlabourstandsoutasakeybarriertothesustainabilityofservices.
Section5confirmsthattherighttowaterandsanitationisbeginningtobeacceptedbygovernmentsanddescribesthesuccessesandconstraintstoextendingWAShcoverageinanequitableway.Keyfindingsincludethefollowing:
• Nearly80%ofcountriesrecognizetherighttowater,andover50%therighttosanitation.
• Mostcountrieshavenotestablishedequitycriteriafortheallocationoffinancingforwaterandsanitation.
Section6describespriority-setting,targetingofdevelopmentaid,andthecoordinationandalignmentofeSAassistancewithcountryprogrammes.Keyfindingsincludethefollowing:
• Despitetheeconomiccrisis,aidforsanitationanddrinking-watercontinuestorise.Thetotalamountofdevelopmentaidforsanitationandwaterincreasedby3%from2008to2010,toUS$7.8billion.Non-concessionallendingforsanitationandwaterincreasedfromUS$2.5billionin2008toUS$4.4billionin2010.
• Aidforbasicsystemscomprised26%ofaidforsanitationanddrinking-waterin2010,anincreasefrom16%in2008.
• only7%ofaidisdirectedatmaintainingservices.
• Developmentaidforsanitationandwatertofragileandconflict-affectedstatesincreasedby50%between2007and2010,fromUS$560milliontoUS$840million.
4
• onlyhalfofdevelopmentaidforsanitationanddrinking-wateristargetedtotheMDGregionssub-SaharanAfrica,SouthernAsiaandSouth-easternAsiawhere70%oftheglobalunservedlive.
• SectorbudgetsupportfromdonorsforWAShislessthan5%oftotalWAShaid.opportunitiesexistforincreasingalignmentwithcountryprioritiesandstrengtheningnationalWAShsystemsthroughincreasingsectorbudgetsupportwherevertransparencyandaccountabilitymechanismsareinplace.
Section7focusesonsanitation,hygieneanddrinking-waterinschoolsandhealth-carefacilities,reportingonaccesstoWAShservicesinthesepublicinstitutions.Keyfindingsincludethefollowing:
• halfthecountriesdidnotreportonaccesstoadequatesanitationinschoolsorhealth-carefacilities,suggestingalackofmonitoringsystemsandcapacity.
• onaverage,34%ofprimaryschoolsand25%ofruralhealth-carecentreslackimprovedsanitationfacilities.
inresponsetothefindingthatthereisaseriouslackofrobustdataonin-countryfinancialflowstosanitationanddrinking-water,thisreportaddressesthesubjectingreaterdepthinAnnexB.Theannexdescribestheworkthathasbeendonesofarondevelopingamethodologyfortrackingnationalfinancialflows.otherannexescontainthesurveymethodology(AnnexA),aglossary(Annexc),andcountryandeSAdata(AnnexesDande,respectively),aswellassupplementaryinformationondonor/countrycoordination(Annexf).
Basedontheevidenceemergingfromthisreport,anumberofissuesstandoutasrequiringurgentattentionandactionby:
• NationalgovernmentsandcountryWAShstakeholdersto:
▶ continuetoimprovethestrengthandclarityofleadershipforWASh;
▶ strengthenthedevelopmentofrobustnationalplansforWAShserviceprovision;
▶ strengthensystem-widesupportofthedeliveryofWASh,andlinkWAShservicestocoregovernmentsystemsforplanningandresourceallocation;
▶ focusonbuildinginstitutionalandhumanresourcecapacityforbothincreasingWAShservicestotheunservedandmaintainingexistingservicesbydirectingmoreresourcestooperationsandmaintenance;
▶ consideradoptingahuman-rightsbasedapproachtofocusattentiononthevulnerableandtoensurethattheyarenotexcludedfromthebenefitsofWAShservices;
▶ improvetargetingofinvestmentstothepoorandvulnerable;
▶ developandstrengthenmonitoringandestablishnationalWAShManagementinformationSystems;
▶ createandtrackspecificbudgetsforsanitationandwater;
▶ encouragemultistakeholderparticipationindecision-makingaroundWASh,throughconsultationwithusersandthroughregularreviews.
• externalsupportagenciesto:
▶ improvetargetingofaidtothepoorandvulnerable,includingtargetingoff-trackcountries;
▶ considerincreasingsectorbudgetsupportwherethisisexpectedtoleadtostrongersystemstodeliverservicesandincreasecoverage;
▶ considerdirectingmoreexternalfundingtosupportoperationandmaintenanceofexistingWAShservices.
• Allstakeholdersto:
▶ intensifyharmonizationandcollaborationamongnationallineagencies,donorsandNGos.
5
Context
itisclearthattherehavebeenremarkablegains,particularlybysomecountries,inimprovingaccesstosanitationanddrinking-water.The2012JMPprogressreport(UNicef/Who,2012)estimatesthat63%oftheworld’spopulationhasaccesstoimprovedsanitation(figure1),and89%oftheglobalpopulationnowusesimproveddrinking-watersources(figure2).
Sanitationanddrinking-waterareuniversallyacceptedasbeingessentialforhumanlife,dignityandhumandevelopment.however,sanitationanddrinking-waterissueshavenotinthepastreceivedthehigh-levelpoliticalattentionthattheydeserve.Anumberofdonors,internationalnongovernmentalorganizations(NGos)andUNagencies,inrecognitionofthis,cametogethertoraisethepoliticalprofileofsanitationanddrinking-waterfollowingtheleadoftheUNhumanDevelopmentreport(UNDP,2006)inhighlightingsomeoftheprincipalshortcomingswithintheinternationalarchitecture.Theseincludethelackofasingleinternationalbodytospeakonbehalfofsanitationanddrinking-water.
FIGUre1Percentageofpopulationusingimprovedsanitationfacilities(2010)
Source: UNICEF/WHO (2012)
FIGUre2Percentageofpopulationobtainingdrinking-waterfromanimprovedsource(2010)
Source: UNICEF/WHO (2012)
SanitationandWaterforAll
UsingtheevidencebaseestablishedbyUN-WaterGlAAS,theSWApartnershipaimstoaddresscriticalbarrierstoachievinguniversalandsustainablesanitationanddrinking-water.Thesebarriersincludeinsufficientpoliticalprioritization,weaksectorcapacitytodevelopandimplementeffectiveplansandstrategies,anduncoordinatedandinadequateinvestmentsintheseplansandstrategies.SWAaimstoprovideacommonvisionandasetofvaluesandprinciplesforatransparent,accountableandresults-orientedframeworkforactiontoaddresstheobstaclestoglobalprogress.
eighty-onemembersmakeuptheSWApartnership,whichisbasedonmutualtrust,supportandcommitmenttoprinciplesofaideffectiveness,includingnationalownershipofplans,donorharmonizationandmutualaccountability.
TheSWAhighlevelMeeting,heldeverytwoyears,bringstogetherministersoffinancefromdevelopingcountries,ministersofdevelopmentcooperationfromdonorcountriesandhigh-levelrepresentativesfromdevelopmentbanksandotherdonorinstitutionstoaddressthelackofprioritygiventosanitationandwaterasadevelopmentintervention,thepoortargetingofaidinthesectorandtheneedforrobustplanningandinstitutions.ThefirstSWAhighlevelMeeting,heldinApril2010,influencedsectorprogressandcatalysedactionatthecountrylevel.inparticular,participantsreportedthatthe2010highlevelMeetingstrengthenedrelationsbetweenWAShsectorministriesandfinanceministries,triggeredstrongersectorcoordinationinmanycountries,createdacrucialcontextforadvocacyonsanitation,encouragedpoliticalandfinancialdecision-makerstouseevidenceforbetterdecision-makingandraisedawarenessaboutsanitationwithinsectorandfinanceministries.
ThecommitmentsmadeatthefirsthighlevelMeetingfocusedonSWA’sthreekeypriorityareas—increasedpoliticalprioritization,improvedevidence-baseddecision-makingandstrengthenednationalplanningprocesses.Participantstabledover200specificcommitmentsandagreedtoreportonthemregularly.
TheGlAASreportistheprimarymechanismforreportingontheprogressofcountriesinachievingthesecommitmentsandonsuccesseswithintheWAShsectorinovercomingobstaclestoprogress.
6
TheresultistheSWAinitiative,withitscomponentofbiennialhighlevelMeetingsoftopdecision-makers,supportedbyGlAASastheglobalmonitoringreportthathighlightstheevidence,driversandblockagesaffectingprogressinincreasingsanitationanddrinking-watercoverage.TheSWAinitiativealsoendeavourstolinkwithandstrengthenexistingnationalprocesses.
Answeringthequestion“WhatworkstoeffectivelyextendandsustainWAShserviceprovision?”isbecomingevermoredifficultwiththerapidlychangingfinancial,politicalandphysicalenvironment.Theregionalandglobalfinancialcriseshavecontributedtocreatingunpredictableandtightergovernmentanddonorbudgets.Manycountrieshaveexperiencedoveralldevelopment,butattheexpenseofgrowinginequitybetweentherichandthepoor.Thecontinuedtrendofpopulationgrowthandrapidurbanizationfurtherstrainsadeterioratingwaterandsanitationinfrastructure.Thecrisisofgrowing
waterscarcity,coupledwiththeothershort-andlong-termrisksposedbyclimatechange,isapotentialthreattohealthsecurityandequitableserviceprovision.
Thecaseforevengreatereffortsisundeniable.eveniftherateofprogresscitedintheJMPreport(UNicef/Who,2012)weretocontinueuntiltheendoftheMDGperiod,universalwaterandsanitationcoveragewouldstillbefaroff—in2015,605millionpeoplewouldremainwithoutaccesstoanimproveddrinking-watersource,and2.4billionpeoplewouldbewithoutaccesstoimprovedsanitationfacilities.Giventhisscenario,billionswillremainatriskofWASh-relateddiseasessuchasdiarrhoea,whichin2011killed2millionpeopleandcaused4billionepisodesofillness(figure3).
WithoutrapidprogressinWASh,thegrowthofnationaleconomieswillcontinuetobeimpeded.evidencesuggeststhatlackofaccesstosafedrinking-waterandadequatesanitation
costscountriesbetween1%and7%oftheirannualgrossdomesticproduct(GDP)(WSP-Africa,2012).
crucialasdiseasepreventionandeconomicgrowthare,thebenefitsofinvestinginWAShgobeyondhealthandbeyondeconomicdevelopment.Theytouchonarangeofcriticalissuesthatcannoteasilybemeasured.Theseincludecontributingtoeveryindividual’spersonaldignityandcomfort,socialacceptance,securityforwomen,schoolattendance,especiallyforgirls,andproductivityatschoolandwork.
With2015fastapproaching,preparationsarealreadyinplacetofocusonuniversalaccesstowaterandsanitationinthepost-MDGperiod.consideringthevastresourcesthatthiscontinuingeffortwillrequire,itisvitalthatwehaveanimprovedunderstandingofwhatisbeingdone,bywhomitisbeingdoneandthecriticalinputsassociatedwithsuccess,inordertobettertargetandmoreefficientlyusescarceresources.
FIGUre3PercentageofdeathsattributabletoWASh-relateddiseaseorinjury
Source: Prüss-Üstün et al. (2008)
7
politicalwilland1 accountability
KeyMeSSAGeS
•Allcountrieshavemadesomeformofpoliticalorfinancialcommitmenttosanitationanddrinking-watersince2010,withthevastmajorityhavingestablishedtransparentWAShserviceprovisiontargets.
•Despiteimpressiveglobalgains,mostcountriesarefallingshortonmeetingtheirownnationalWAShcommitments,with83%and70%ofcountriesreportedlyfallingsignificantlybehindthetrendsrequiredtomeettheirdefinednationalaccesstargetsforsanitationanddrinking-water,respectively.
•investmentsinsanitationanddrinking-waterareincreasinglybeingscrutinized;whiletransparencyisimproving,accountabilityforresultsachievedremainsweak.
1 PoliTicAlWillANDAccoUNTABiliTy
high-levelpoliticalcommitmentunderpinsalleffortstoaccelerateandsustainimprovementsinaccesstoadequateandsafedrinking-water,sanitationandhygieneservices.Successfulimplementationofthiscommitmentrequiresasteadyfocusonthewaterandsanitationpriorities,adequateallocationofresourcesandtheestablishmentofaregularandtransparentmonitoringframeworktoensurethatallstakeholderscanbeheldaccountableagainsttheiragreedcommitments,rolesandresponsibilities.Suchresponsibilitiesincludeenforcingrelevantlegalframeworks,ensuringeffectiveregulatorymechanisms,maintainingandstrengtheninginstitutionalarrangementsandapplyingup-to-datetechnicalknowledgethroughbestpractice.Theyalldepend,ultimately,onpoliticalresolvetogivebalancedsupporttoallessentialelements.
AllcountriesthatrespondedtotheGlAASquestionnairereportedthattheyhadmadesomeformofhigh-levelpoliticalorfinancialcommitmenttosanitationanddrinking-water,often
attheministeriallevel,since2010.SeventeenofthemmadecommitmentsattheSWAhighlevelMeetingin2010,andmanyothersmadecommitmentssubsequentlyinresponsetonationalandinternationalinitiativesandevents.earlier,atAfricaSaniiin2008inDurban,SouthAfrica,forexample,ministersbelongingtotheAfricanMinisters’councilonWatercommittedtothemeasurable,time-boundsanitationtargetsenshrinedintheeThekwiniDeclarationandmadeapledgeonbudgetlinesforsanitationandhygiene.
ethekwiniDeclaration
TheeThekwiniDeclarationwassignedbyover30AfricangovernmentministersinDurbaninfebruary2008.Thedeclarationrecognizedtheimportanceofsanitationandcommittedthesignatorygovernmentstoestablishingspecificpublicsectorbudgetallocationsforsanitation,withtheaimofspending0.5%ofGDPonsanitation.Source: WSP-Africa (2008).
Inmanycases,politicalwillhasnotyetcatalysedtheenablingenvironmentrequiredtosecure
adequateprogressagainstnationalsanitationanddrinking-watertargets(table1.1).
tABLe1.1Meetingpoliticalcommitments:progresstowardsattainingsanitationanddrinking-waterobjectives(%ofcountriesreportingattainmentofkeyurban/ruralsanitationanddrinking-waterobjectives)
Regionalbreakdown Targetsinplace Policiesadopted Adequatefinance(perceived) Adequateoutputs1
NorthernAfrica,Eastern,Centraland
WesternAsia,andtheCaucasus
97% 88% 44% 49%
LatinAmericaandCaribbean 100% 52% 30% 32%
SouthernandSouth-easternAsiaand
Oceania
86% 63% 32% 36%
Sub-SaharanAfrica 94% 73% 9% 20%
TOTAL 93% 70% 22% 30%
Thepercentagesshownarebasedonprogressineachofthefour“sub-sector”areasofWASHservices(urbansanitation,ruralsanitation,urbandrinking-water,andruraldrinking-water),
expressedasanaggregatefigure.Forexample,ifacountryreportedadequatefinancingforurbanwatersupply,butnotfortheotherthree“sub-sectors”,theaggregatescorewouldbe
expressedas25%.
1 Annualprogressat75%ormoretomeettarget.
Source: 2011 GLAAS country survey (74 country respondents)
10
Nearlytwothirdsofcountriesrespondingtothe2011GlAASquestionnaireindicatedtheircommitmenttotrackingandpubliclyreportingonprogressmadeatinternationaleventssuchastheonesmentionedabove.Thesefindings,takentogetherwiththereportedincreasesinexpenditureforwaterandsanitationbyseveralcountriesfrom2009to2011,areevidenceofconcreteactionresultingfromnationalandinternationalWAShcommitments.TheeffortsoftheSWApartnershiprunthroughthisconsistentlyandareaimedatcoordinating,leveragingandenhancingcommitments.
The2012JMPprogressreport(UNicef/Who,2012)describesthesuccessofmanycountriesinreducingtheproportionofpeoplewithoutaccesstoimproveddrinking-watersourcesandtoimprovedsanitationfacilities.Atthenationallevel,progressfrequentlyexceedsthatrequiredtomeettheMDGtargets.AnumberofcountriesfromlatinAmerica,NorthernAfricaandWesternAsiareportthattheyareontrackinmeetingnationaltargetsandsurpassingtheJMPharmonizedglobalcriteriaforimprovedwaterandsanitation,suchasuniversalaccesstoapipedseweragesystem.
Whenitcomestomeetingself-imposednationalwaterandsanitationtargets(asopposedtothegloballyagreedMDGtarget),however,mostcountriesreportthattheyarefallingshort:83%and70%ofcountriesreportfallingsignificantly
behindthetrendsrequiredtomeetnationalaccesstargetsforsanitationanddrinking-water,respectively.Additionally,onehalfofrespondingcountriesreportthattheyarenotontracktoachievetargetsdeclaredattheregionalorinternationallevel(e.g.theeThekwinigoalofallocating0.5%ofGDPtosanitation).
Accountabilityisstrengthenedbyensuringthatnational,regionalandlocalplanningandreviewprocessesareopenandinclusive,involvingawiderangeofstakeholders,includinglocalcommunities.GlAASdatashowthatapproximatelyonehalfoftherespondingcountriesreportedtheexistenceofperiodicreviewsystems,andonly28%ofcountrieshaveputinplaceandsystematicallyapplyproceduresforlisteningtoconsumerinput.
inadditiontomakingsomeformofministerial-levelpoliticalorfinancialcommitmenttosanitationanddrinking-water,allcountriesparticipatinginGlAAShavetakenstepstoincreasetransparencybyallowingtheircommitmentsandactionstobeinthepublicdomain.ThisisevidencedbytheirindividualparticipationintheGlAASsurveyandtheincreasednumberofcountriesrespondingtothesurvey(Table1.2).itisalsoevidencedbytheireagernesstoattendtheSWAhighlevelMeeting.
progresstowardsHighLevelMeetingcommitmentsrelatingtopolitical
willandinternaladvocacy
Manyofthecommitmentsmadebyministersortheirrepresentativesatthe2010SWAhighlevelMeetingreflectedanincreasedpoliticalwillandaddressedraisingthepriorityofsanitationandwateratthenationallevel.Severaloftheircountriesalreadyhavereportedprogress.ThePresidentofliberia,forexample,hasbeenahigh-profileandcommittedproponentofwaterandsanitation,providingleadershiptothedevelopmentofanSWA“WAShcompact”,whichshesignedinearly2012.in2010,thePresidentofBurkinafasopersonallylaunchedthenewsanitationandhygienecampaign.inSenegal,thegovernmenthastakenstepstoenhancetheimportanceofdrinking-waterandsanitationwithinthenewnationaleconomicandsocialpolicy.ThegovernmentofMongoliahaspromotedtheimportanceofdrinking-waterandsanitationamongministryofficialsanddecision-makers.Severalcountrieshavealsocommittedtomeetingtheircommitmentsmadeunderotherinitiatives;forinstance,ethiopiahasdevelopedaplantomeetitssanitationcommitmentsinlinewiththeeThekwiniDeclaration.
tABLe1.2Developingcountriesparticipatinginthe2012GlAASreport1:evidenceofincreasedaccountability(74respondents)
MDGregion Countriesparticipatingin2011GLAASsurvey2 Proportion(%)of
populationrepresentedin
theregion
EasternAsia Mongolia
overall,dataindicatesthatdecision-makershavedemonstratedtheirgoodintentionstoimproveWAShservices.Becauseofanincreasedcommitmenttoaccountability,countries’WASh-relatedeffortsandoutputsarebetterunderstoodanddocumented.fromthisevidence,however,itisclearthatavarietyofbarriers,discussedlaterinthereport,arecontinuingtoimpedethedeliveryoftangibleresults.ifmoresubstantiveprogressistobemade,WAShdecision-makersneedtobecomemoreseriousandengagedinthefollow-uptotheircommitmentstodeliverresults.
12
policies,planning2 andcoordination
KeyMeSSAGeS
•Globally,progresshasbeenmadeintheadoptionofnationalpolicies,with63%and77%ofrespondingcountrieshavingadoptedandpublishedpoliciesforsanitationanddrinking-water,respectively.ManycountrieshaveagreedandpublishedpoliciessincethelastGlAASreport.
•Mostcountrieshaveestablishednationalsectorplanningandcoordinationprocesses,butmanyalsoreporthavinginadequateinformationanddataforeffectiveinvestmentplanning.onlyonehalfofrespondingcountriesreportthattheirplanningprocessesarebasedonannualorbiennialreviews,andevenfewercountriesareinapositiontoperformtheirplanningbasedonreliabledatafromnationalinformationsystems.
•over90%ofcountrieshavedecentralizedresponsibilityforwaterandsanitation,butoperationaldecentralizationhasbeenaccompaniedbyfiscaldecentralizationinonly40%ofcountriessurveyed,potentiallyweakeningthecapacityoflocalgovernmenttoplananddeliverservices.
•countriesareprogressivelyadoptingapreventive“watersafetyplanning”approachtodrinking-waterqualitymanagement.
•Despiteaclearrecognitionoftheimportantcontributionthathygienemakestohealth,nationaltargetshavegenerallynotbeenestablishedforhygienepromotionprogrammes.
2PolicieS,PlANNiNG,ANDcoorDiNATioN
2.1 PolicyADoPTioN
countriesrecognizetheimportanceofdevelopingnationalsanitationanddrinking-waterpoliciesthatestablishobjectives,defineroles,responsibilitiesandexpectations,andsetboundariesforgovernmentsandpartners.effectiveandefficientservicedeliverycanbeparticularlydifficulttoachieveincountrieswheregovernment
departmentsoragenciesarenotguidedbyspecificsanitationanddrinking-waterpolicies.
Globally,63%and77%ofcountriesreportedpoliciesthathavebeenagreedandgazettedforsanitationanddrinking-water,respectively.The2009–2011trendshowsimprovement:countriesthatrespondedtoboththe2009and2011GlAASsurveysshowstrongprogress,withanadditional
14countries(outof38commonrespondents)havingagreedandpublishedpoliciessince2009,primarilyinAfrica.Somecountriesnotedthatthepolicyimplementationwashinderedbyunpredictablefinancingandinadequatedisseminationofthepolicymessage.
Urbanandruralsanitationpolicieshavebeenadoptedandpublishedin63%ofrespondent
countries,upfrom40%in2009,demonstratingthatcountriesareprogressivelytacklingtheurgent
needtoaddresssanitationissues.Drinking-waterpolicyadoptionratesarehigherandshowa
similarpatternofprogress(Figure2.1).
Drinking-water,policyadoption,2011
Sanitation,policyadoption,2011
Isthereasectorpolicyagreedandpublished?
FIGUre2.1isthereasanitationand/ordrinking-watersectorpolicyagreedandpublished?
Sources: 2011 GLAAS country survey (74 country respondents); 2009–2010 CSO and GLAAS country survey1
policyadoption,2011 trendfrom2009to2011(38countries)
forthe2010GlAASreport(Who,2010),UN-WaterGlAASandtheWorldBank’sWaterandSanitationProgramcollaboratedtodevelopathree-partsurveyquestionnaireanddataconsultationprocessforcountriesintheAfricaregion.ThesecountryStatusoverviews(cSos)reportontheextenttowhichcountrieshaveputinplacetheinstitutionsandpoliciesneededtomeettheirwaterandsanitationtargets,theirfinancingrequirementsandsectorsustainabilityandincluderecommendationsonhoweachcountrycouldimproveperformance.resultsfromthe2009–2010cSoandGlAAScountrysurveyareusedforcomparativepurposesinsomeofthefiguresinthisreport.
14
1
SANItAtIoN
Sustainedprogressinurbansanitationrequiresinfrastructuretokeepupwithgrowthandtheexistenceofsufficienttechnicalcapacityandfinancialresourcestomeetdemandforthecreationofsanitationfacilitiesandexcretaremoval,treatmentanddisposal.Amajorityofrespondentcountriesreportedestablishingplansfortheexpansionofurbansanitationservicestogetherwithspecificpolicyprovisionstoaddresstheissueinslumsandinformalsettlements.Despitethis,mostcountriessubmittingdatatoGlAASindicatedthatannualoutputsaresignificantlylessthanwhatisneededtomeetnationalurbansanitationtargets.
inruralsanitation,only20%ofcountriesreportthatthesupplyofskilledlabourandtechniciansisadequatetoensureprogress;however,mostcountriesindicatethatgovernmentpoliciesexistorarebeingformulatedtodevelopthe
privatesectorandtofurtherdevelopsanitationproductsandservices.
WAterSAFety
Policiespromotingcontinuousvigilanceintheformofpreventiveriskmanagementwillcontributetoimprovingwaterqualityandreducingdisease.Thisvigilanceisoftenlacking,however,inpartbecausewatersupplyoperatorsarefrequentlyoverwhelmedbytheiroperationalandfinancialchallenges,suchthattheyareunabletoaddresstheirimportantpublichealthprotectionrole.TheWhoGuidelinesforDrinking-waterQuality(Who,2011)recommendwatersafetyplans,aproactivemanagementapproachencompassingthewholewatersupplychain,fromcatchmenttoconsumer.
TheglobalmomentumtowardswatersafetyplanningissupportedbythefindingsfromtheGlAASreport(figure2.2).
Thelevelofprogresswithwatersafetyplansisillustratedinmoredetailinfigure2.2,showingtheWhoregionsofSouth-eastAsiaandtheWesternPacific,wherecertaincountrieshavemadenotableprogress.ofthecountriesencouragingwatersafetyplanning,13outof24inSouth-eastAsiaandtheWesternPacificcurrentlyhaveapolicyorregulatoryrequirementonwatersafetyplans,whereasanadditional8countriesareplanningtoupdatetheirpoliciesandregulationstoincorporatethisapproach.
Tobeeffective,watersafetyplansneedtobecontinuallyreviewedandupdated,includinginresponsetoexternalauditsspecifiedinregulations.inthisregard,countriesneedtotakesubstantiveadditionalactionsbeforethebenefitsofthewatersafetyplanningapproachcanberealized.
Watersafetyplanningisgainingglobalmomentum,with81%oftherespondentcountries
eitherencouragingorrequiringwatersafetyplansinpoliciesandregulationsorreportingpilot
experiences(Figure2.2).
FIGUre2.2isthereanationalpolicytodevelopandimplementwatersafetyplansorotherpreventiveriskmanagement?
Source: (top) 2011 GLAAS country survey (74 country respondents); (bottom) WHO internal reports
Isthereanationalpolicytodevelopandimplementwater
safetyplansorotherpreventiveriskmanagement?
Isthereanationalpolicytodevelopandimplementwater
safetyplansorotherpreventiveriskmanagement?
15
2PolicieS,PlANNiNG,ANDcoorDiNATioN
HyGIeNe
Despitewidespreadrecognitionoftheimportantcontributionofhygienetohealth,hygienepromotionprogrammesarenotdrivenbytheestablishmentofnationaltargets.only19outof74countries(26%)havedefinedtargetsfornationalhygienepromotion,indicatinganimportantpotentialforimprovementbysystematizingplanningandestablishinganaccountability
framework.instarkcontrasttothisoperationalgap,90%ofcountriesincludehygieneintheirhealthstrategies.
Despitelowoverallratesofimplementationofprogrammesbasedonresearchonlocalknowledge,attitudesandperceptionsonhygiene,GlAAScountryreportssuggestthathygieneprogrammesinformedbythis
typeofresearcharegrowinginnumber.experienceindicatesthatitisdifficulttopredictwhetherandforhowlonghygienebehaviourchangewilllast.Moreover,therearefewstudieswhosefindingsconfirmthepersistenceofhygienebehaviourlongaftercessationofprogrammeimplementation.
Fewcountrieshaveestablishedtargetsforhygienepromotion.Nationalbehaviourchange
programmesarenotsufficientlyinformedbyassessmentsoflocalattitudesandarefrequently
limitedtosmall-scaleimplementation(Figure2.3).
Arenationalbehaviourchangeprogrammesbasedonresearch,andare
therehygienepromotiontargets?
FIGUre2.3Arenationalbehaviourchangeprogrammesbasedonresearch,andaretherehygienepromotiontargets?
Source: 2011 GLAAS country survey (74 country respondents)
16
2.2 PlANNiNGANDcoorDiNATioN
Anenablingframeworkforprogressinsanitationanddrinking-watermustsupportthetranslationofpoliciesintoaction.importantfactorsincludeleadership,coordination,localcapacity,effectivemonitoringandencouragementofbroadparticipationtoensureaccountability.coordinationcanbechallenginginthecommonscenariowhereresponsibilitiesfordifferentaspectsofWASharefragmentedoveranumberofgovernmentagenciesthatdevoteonlyasmallshareoftheiroverallresourcestothisarea.Whereoverallresponsibilityisunclear,accountabilityforperformanceistypicallyweak.Agenciesmaynotnecessarilybeheldaccountable,andissuesthatareperceivedtobeoflesserpriorityorevenmarginalinaspecificinstitutionalcontextwillhavedifficultyinsecuringadequatefinancialandhumanresources,eventhoughtheymaybeessentialcomponentsoftheoverallsanitationanddrinking-waterframework.
The2011surveyindicatessomeprogressinovercomingthemajorobstaclesidentifiedbyGlAASrespondentcountriesin2009,whichincludedthefollowing:
• Approachesusedfordevelopingpoliciesarenotcoherentandholisticwithineachministry.
• Agenciesareworkingindependentlyonspecificpolicyaspectsratherthanbeingguidedbyanoverallframework.
• leadinstitutionsarenotdefined,especiallyforsanitation.
• Thereisnostrategicplanonhowtargetsfordrinking-waterandsanitationwillbemetorforthepromotionofhygiene.
• Thereislowcapacityatlocallevelsintermsofoversightandservicedelivery.
eighty-fivepercentofcountriesidentifiedaleadgovernmentagencyforsanitation,indicatingaclearimprovementoverthesituationin2009.onemayspeculatethatthisprogressmayhavebeenlinkedto
Leadinstitutionsforsanitationaredefinedinover85%of
respondingcountries.Additionally,morethanhalfofresponding
countriesreportthatcoordinationmechanismsamongdrinking-waterinstitutionsarebothdefinedandoperational(Figure2.4).
Sanitation,leadgovernmentagencyinplace,2011
Institutionalleadandrolesdefined,2011
Drinking-water,institutionalrolesclearlydefined,2011
Isthereagovernmentleadagency/areinstitutionalrolesclearlydefined?
trendfrom2009to2011(38countries)
FIGUre2.4isthereagovernmentagencywithaclearmandatetoleadandcoordinatepolicydevelopment(sanitation)?Areinstitutionalrolesofruralandurbanplayersclearlydefinedandoperational(drinking-water)?
Sources: 2011 GLAAS country survey (74 country respondents); 2009–2010 CSO and GLAAS country survey
17
2PolicieS,PlANNiNG,ANDcoorDiNATioN
risinginternationalattentiongiventosanitation,suchasthroughtheinternationalyearofSanitation(2008).Whileleadagencieshavebeenidentified,countriescommentthatpoorcoordinationstillexistsamongimplementingagencies,particularlyforsanitation.inmanycountries,governmentcoordinationstructureshavebeenestablishedatthenationallevel,butthisprocessoffirmingupcoordinationstillneedstotrickledowntoprovincialandlocallevels,although,admittedly,thebarrierstocoordinationmaybeloweratthoselevels.
TheGlAASsurveydidnotaskcountriestoreportontheexistenceofadefinedleadgovernmentinstitutionfordrinking-watersimplybecausethisisconsideredestablishedpractice.however,onehalfofthecountriessurveyedreportedthattheyhadaccomplishedthemoredifficulttaskofbothdefiningandoperationalizingtherolesofthemultipleinstitutionsresponsiblefordrinking-watersystemsandservices.
Commitmentstobettercoordination
Theneedtostrengthenlinkagesbetweensectorsandimprovecoordinationwas
recognizedattheSWAhighlevelMeetingin2010,andcountriesmadecommitments
specificallyrelatingtothisissue.AngolahassinceheldaNationalinterministerial
Meeting(ministriesofwater,environment,health,education,territorialadministration
andfinance).Angolaalsocommittedtostrengtheningaccountableinstitutionswhere
theyarelackingandismakingprogressonexertingstrongnationalleadershiptobring
coherencetothesectorsplansandstrategies.ethiopiareportsmakingprogress
onitscommitmenttoimprovingtheWAShplanningandcoordinationprocessby
strengtheningnationalplansandpartnerships.Burkinafasohasalreadyestablished
theWaterandSanitationPartnershipframeworkthatitcommittedtocreate.This
frameworkwillimprovepartneranddonorcoordinationandisexpectedtoleadto
increasedfinancingofsanitationanddrinkingwaterwithinthenationalbudget.
Ghanatranslatesstrongpoliciesintooutputsforwatersupply
Successfultranslationintooutputsneedsstrongpoliciestobeaccompaniedbyeffectiveimplementationarrangementsandadequatefinancing.forexample,GhanahasexceededitsMDGtargetof77%watersupplycoveragebyenablingover10millionpeopletogainaccesstodrinking-waterfromanimprovedsourcebetween1995and2010(Who/UNicef,2012).itssuccesscanbeattributedinparttoeffectiveimplementationarrangementsthatareinplaceforruralandurbanwatersupplythroughthecommunityWaterandSanitationAgencyandtheGhanaWatercompanylimited,clarityonbudgetsthroughseparatelineitemsandanexistingregulatoryframework.
forsanitation,GhanapublishedaNationalenvironmentalSanitationActionPlanandinvestmentPlanin2010andhasadoptedcommunity-ledTotalSanitationasastrategy.Whilehouseholdsareexpectedtoinvestinsanitation,thereis,however,noclarityonfinancingforsanitationsoftware(i.e.demandgenerationandbehaviourchangeactivities).
Mostcountrieshaveestablishedplanningandcoordinationprocesses,buttheyarenot
necessarilysupportedbyadequateinformationanddata(table2.1).
tABLe2 .1Planning,coordinationandmonitoringprocesses:progressonselectedindicators(%ofcountriesthatreportedestablishmentofkeyurban/ruralsanitationanddrinking-waterprocesses)
Regionalbreakdown Leadgovernmentagency
forsanitationinplace1
Institutionalrolesclearly
definedandoperational
fordrinkingwater
Annualreviewusedfor
planning
(waterandsanitation)
Investmentprogramme
agreedandpublished
(waterandsanitation)
Usenationalinformation
system
(waterandsanitation)
NorthernAfrica,Eastern,
CentralandWesternAsia,
andtheCaucasus
78% 68% 63% 93% 51%
LatinAmericaand
Caribbean
100% 40% 33% 32% 22%
SouthernandSouth-easternAsiaandOceania
89% 62% 43% 49% 56%
Sub-SaharanAfrica 84% 59% 63% 45% 36%
TOTAL 86% 60% 55% 51% 42%
1 Duetothedifferentlevelsofrigorforthequestionsongovernmentcoordination,sanitationappearstobedoingbetterthandrinking-water;however,thequestiononsanitationmerelyindicatestheexistenceofaleadagency,whereasthedrinking-waterquestionassessesthelevelofcoordinationamongkeyactors.Specifically,forsanitation,thequestionaskedwhethertherewasa“governmentagencywithaclearmandatetoleadandcoordinatethepolicydevelopmentandplanningofinstitutions”.fordrinking-water,thequestionaskedwhetherthe“institutionalrolesofruralandurbanplayers[nationalandlocalgovernment,utilities,waterboards,regulators,etc.]areclearlydefinedandoperational”.
Source: 2011 GLAAS country survey (74 country respondents)
18
2.3 revieWS,MoNiToriNGANDrePorTiNG
Thesystematicperformanceofperiodic(i.e.annualorbiennial)reviewstomonitorandevaluatetheperformanceofsanitationanddrinking-wateruptakeandservicesisincreasinglyusedbycountriesasabasisforplanning.Theadoptionofthisapproachservestwopurposes:first,toprovidegreaterstakeholderparticipationandjointownership,andsecond,toprovideameanstoholdgovernmentanddonorsaccountableforaccountableforacheivingexpectedresults.Thisprocessisparticularlyimportantwheretherearealargenumberofactorsinsanitationanddrinking-water,sinceitarticulatesandreiteratescommongoals,reducesduplicationandpromotesmutualaccountability.Sector-widereviewsthatareledandownedbynationalgovernmentandinvolveallmajorstakeholdersarekeytoimprovingWAShcoordinationandplanning.
countriesthatrespondedtotheGlAASquestionnairesinboth2009and2011havemadestrongprogress,withanadditional14and9countries(outof38commonrespondents)havingestablishedperiodicreviewprocessesthatareusedforplanninginsanitationanddrinking-water,respectively,since2009.
ethiopianministriesdefine
coordination,butimplementation
remainsweakatlowerlevelsof
government
inordertofacilitatetheintegratedimplementationofWAShinethiopia,thethreeconcernedlineministries,theformerMinistryofWaterresources,theMinistryofhealthandtheMinistryofeducation,signedaMemorandumofUnderstandingforjointcooperationin2006.TheMemorandumofUnderstandinghasfosteredrobustcoordinationattheregionallevel;however,“theWAShMoU[MemorandumofUnderstanding]hasonlyverypartiallybeentransferredtoloweradministrativelevelswiththeresultthattheimplementationoftheMoUisnotstronginlocal(Woreda)governments”(Governmentofethiopia,2011).
periodicsectorreviewsareincreasinglybeingusedinsanitation,
with85%ofcountriesreportingorganizingsuchreviewsand
onehalfofcountriesreportingthattheiroutcomesareusedfor
sanitationplanning(Figure2.5).
FIGUre2.5isthereanannualorbiennialreviewofthesector?
Sources: 2011 GLAAS country survey (74 respondents); 2009–2010 CSO and GLAAS country survey
Sanitation,annual/biennialreviewprocesses,2011
Annualorbiennialreview,2011
trendfrom2009to2011(38countries)
Drinking-water,annual/biennialreviewprocesses,2011
Isthereanannualorbiennialreviewofthesector?
19
2PolicieS,PlANNiNG,ANDcoorDiNATioN
fourcountriesrespondedthattherewasnoprocessofreviewineithersanitationordrinking-water.reviewanddecision-makingprocessesneedtobeinformedbyreliablesectorinformation.comprehensivemonitoringonaroutinebasisisapracticethatmostsurveyedcountriesareintheprocessofdeveloping.countryrespondentsindicatethatcoordinatingthemonitoringprocess,oftencarriedoutbyseveralentitiesatbothlocalandregionallevels,iscomplexandchallenging.inaddition,countryrespondentsconfirmthatwhiletheremightbeeffectiveprojectorprogrammemonitoringsystems,reliablesector-wideinformationsystemsremaintobedeveloped.
HighLevelMeetingcommitments
forbettermonitoring
robustsectormonitoring,includingthemonitoringofpreviouscommitments,wasthesubjectofmanycommitmentsattheSWAhighlevelMeetingin2010.Mauritaniacommittedtoincreasingfollow-upandtransparencyinthetechnicalandfinancialimplementationofwaterandsanitationprogrammesthroughsteeringcommittees,monitoringandevaluation,andaudits;thecountryreportsthatthisisprogressingwell.ethiopiaisworkingtoachieveitscommitmenttoimprovenationalmonitoringandinformationmanagementsystemsbycreatingaWAShinventoryandstrengtheningthenationalmonitoringandinformationsystemsforhealthandwaterresources.liberiacommittedtothedevelopmentofamonitoringandevaluationsystemfortheWAShsectorandreportsgoodprogress.
Countriesreportthatonly42%ofurban/ruralsanitationand
drinking-watersectorsareinformedbyreliableinformation
monitoringsystems(Figure2.6).
Yes and used Under development No
42%
42%
16%
FIGUre 2.6 is there a national information system used to informdecision-making?
Source: 2011 GLAAS country survey (74 country respondents)
JointSectorreviewinNepal
Nepal,wherethereareanumberofstateandnon-stateactorsworkinginWASh,helditsfirstJointSectorreviewinMay2011.TheJointSectorreviewdiscussedaspeciallycommissionedreportonthestatusofWAShinthecountry,identifiedandprioritizedthreetofourkeyactionsthataretobetakenbyalltherelevantstakeholdersintheyearaheadandagreedtoholdanotherJointSectorreviewin2012.
Source: Government of Nepal (2011)
Civilsocietyorganizationsproducejointperformancereportinethiopia
inkeepingwiththeprincipleofmutualaccountability,thecivilsocietyorganizationsoperatinginethiopiaproducedanAnnualJointreportonWAShin2010.Thisemanatedfromacommitmentmadeatamultistakeholderforumin2009thatWAShsectorcivilsocietyorganizationswouldproduceanannualperformancereportthatcouldbeincorporatedintotheNationalWAShreport,producedbytheNationalWAShcoordinationoffice.
Source: Government of Ethiopia (2011)
BurkinaFasoinformationsystemdetailsprocessandoutcomeindicators
Somecountrieshavemadegoodprogressinestablishingsector-wideinformationsystemsthatinformdecision-making.TheProgrammenationald’Approvisionnementeneaupotableetd’AssainissementofBurkinafasopublishesanannualreportondetailedprocessandoutcomeindicatorsfordrinking-waterandsanitation,bothurbanandrural.Theseincludeaccesstowaterandsanitation,proportionofwatersourcesthatarefunctioning,coverageofschools,healthcentresandpublicspaces,andgoodgovernanceindicators,suchastheproportionofdrinking-waterprovisionsandtheproportionofpublictoiletsmanagedbydelegation.
Source: Government of Burkina Faso (2011)
20
2.4 DeceNTrAlizATioN
inmostdevelopingcountries,responsibilitiesfordrinking-waterandsanitationservicesaredevolvedtothelocallevel.Whendecentralizationiseffective,itensuresthatservicesareappropriateforlocalneeds,thatoperationandmaintenancerequirementsaremetandthatfacilitiescreatedaresustainedovertime.Thisdoesnotimplythattheseservicescanoperatewithoutanysupportfromhigherlevels.effectivedecentralizationrequiresadequatetechnical,financialandhumanresourcessupporttolocalauthorities.Theprincipleofsubsidiarityapplies:theinitiativetoseeksupportshouldcomefromthelocallevelwheneverthechallengesfacedcannotbesolvedwiththetechnical,financialandhumanresourceslocallyavailable.independentregulationandqualitycontrolarefunctionsperformedatahigherlevel.
over90%ofcountriesindicatedthatservicedeliveryhasbeendecentralizedforsanitationanddrinking-watersupply;however,asshowninfigure2.7,lessthanhalfhaveundertakenfullfiscaldecentralization.
AsreportedrecentlybytheAfricanMinisters’councilonWater,(AMcoW)“themajorchallengestilltobeovercomeisthatofdecentralizationandthelocalmanagementofwatersupplyandsanitation(WSS)services.Alllocalmanagementstakeholders,includingthecontractingauthority,thecommune(localauthorities),theregionaltechnicaldepartmentsthatshouldsupportthem,aswellasthewaterusers’associationsandthelocalprivatesector,sufferfromaseverelackofhuman,technical,andfinancialresourcesthatpreventsthemfromsuccessfullyundertakingtheirnewresponsibilitiesandensuringthatinvestmentissustainable”(AMcoW,2011).
only40%ofcountriesthathavedecentralizedservicedelivery
havedecentralizedfiscalresponsibilities(Figure2.7).
41%
59%
Operational and fiscal responsibilities Only operational decentralization
FIGUre2.7Towhatdegreehasdecentralizationofservicebeencarriedoutinsanitation?Note:Asimilarproportionwasfoundfordrinking-water.
Source: 2011 GLAAS country survey (64 country respondents indicating operational decentralization of service delivery)
DecentralizationofruralwaterservicedeliveryinIndia
in2010,theindianPlanningcommissionperformedanevaluationstudyoftherajivGandhiDrinkingWaterMission,theflagshipruralwaterprogrammeinindia,andfoundthatonly8%ofthesurveyedhouseholdswerewillingtopayforoperationandmaintenance.TheyconsideredoperationandmaintenancetheresponsibilityoftheGramPanchayat(thevillagecommittee).however,overonehalfoftheGramPanchayatshaveexpressedtheirinabilitytotaketheresponsibilityofoperationandmaintenance.“inalargemajorityoftheGramPanchayats(50outof63),formalhand-overofoperationandmaintenanceoftheassetscreatedundertheMissionhasnotbeendone”(Governmentofindia,2010).
21
2PolicieS,PlANNiNG,ANDcoorDiNATioN
2.5 locAlSTAKeholDerPArTiciPATioN
consultationwith,involvementofandparticipationbylocalstakeholdersarecrucialtoensurethatpolicies,legalframeworks,monitoringreports,reforms,budgets,expenditureprioritiesandresourceplansarereviewedandfullyownedbystakeholdersandthatusersreceivetheservicesthattheywantandarewillingtopayfor.consultationcanbepromotedthroughvariousinstitutionalframeworksorprocessesatlocal,nationalandregionallevels.countrieshaveattemptedtoinstitutionalizeparticipationthroughlocalwaterandsanitationcommittees,registeredusergroupsandregulatorysystemsthatfacilitateconsumerfeedbackand“consumervoices”tobeheard.
respondentssuggestthatsomecountrieshavelaws,policiesorplansforinforming,consultingwithandsupportingparticipationbycitizens,butthesefrequentlyarenotspecifictosanitationanddrinking-water.
Asfigure2.8suggests,procedurestosupportlocalstakeholderparticipationinplanning,budgetingandimplementingprogrammeshavenotbeensystematicallyappliedinamajorityofrespondingcountries.over70%ofcountriesindicatedthateithertherearenoproceduresforlocalstakeholderparticipationorproceduresarenotsystematicallyimplemented.respondentssuggestthatthemechanismsthatdopromotepublicengagementonsanitationanddrinking-waterspecificallyarenotuniformlyimplemented,althoughthetrendisimproving.Strengtheningparticipatoryprocesseswillensurethatplannedinvestmentsareappropriateforthecommunity,leadtogreaterlocalsupportofdecision-makingprocesses,outputsandrecurrentinvestmentneeds,andimprovesustainabilityofsanitationandwaterservices.comparingthetrendsfordrinking-waterandsanitation,itseemsthatpursuingcommunityengagementintheplanningandimplementationprocessesfordrinking-watermaybeeithereasierormoreattractivethandoingthesameforsanitation.
Localstakeholderparticipationinplanning,budgetingand
implementingprogrammeshasimprovedsince2009,withmore
countrieshavingestablishedsystematicprocessestofacilitate
stakeholderparticipation,butsystematicapplicationisstilllow
overall(Figure2.8).
Drinking-water,proceduresforstakeholderparticipation,2011
Sanitation,proceduresforstakeholderparticipation,2011
trendfrom2009to2011(38countries)
Arethereproceduresforinforming,consulting&supportingparticipation
byindividuals/community?
FIGUre 2.8 Are there procedures for informing, consulting and supportingparticipationbyindividuals/community?
Sources: 2011 GLAAS country survey (74 respondents); 2009–2010 CSO and GLAAS country survey
Stakeholderparticipation,2011
22
2.6 iMPlicATioNSforThefUTUre
ThissectionshowsthattheWAShsectorisbecomingmorecoherent,withgreaterfocusonsanitation,andthatprogressisbeingmadeonmanyofthe“easier”improvements,suchasthoserelatedtodemonstratingcommitmentthroughthesettingoftargets,progressivelyadoptingWAShpoliciesandimprovingcoordination,includingbyengagingmorestakeholdersinplanning.however,thissectionalsoshowslimitedprogressonmanyofthemore“difficult”issues,suchassuccessfullyimplementingpolicies,developingeffectiveandcoherentplanningandmonitoringsystems,andeffectivelysupportingthelocallevelinthedeliveryofservices.
Tacklingthedifficultissueswillrequirecontinuedstrengthandclarityofleadership,withdefinedrolesandresponsibilities.Planningprocessescouldbedramaticallyimprovediftheycouldrespondtodatamadeavailablethroughmanagementinformationsystems.inthisregard,WAShservicedeliverycouldundoubtedlybenefitfromastrengthened“wholesystems”approach,whichwouldentailinclusionofWAShincoregovernmentsystemsforplanningandresourceallocation.
23
2 Financing3
KeyMeSSAGeS
•centralgovernmentcontinuestobeamajorsourceoffundingforwaterandsanitation,althoughmanylow-andmiddle-incomecountriesremaindependentonexternalaid.externalfundingforWAShamountedtomorethan1%ofGDPinsevendevelopingcountries.
•existinglevelsofhouseholdandprivateinvestmentarepoorlyunderstood,butavailabledatasuggestthattheyaresignificantsourcesoffinancingandcanmakemajorcontributionstosupportingoperationandmaintenanceofservices.
•Themajorityofcountriesreportthatsectorinformationsystemsforfinancialplanningandreportingareinadequate.
•Datasuggestthatfundsspentonoperationandmaintenanceareinsufficient.Amajorityofcountriesindicatethatruralwatersupplyprogrammesarenoteffectiveduetolackoffunding,whereasonethirdofcountriesreportthaturbanutilitieslackrevenuetofundoperationandmaintenance.
•fundinglevelsforWASharereportedtoremaininsufficient,especiallyforsanitation.Drinking-watercontinuestoabsorbthemajorityofWAShfunding,evenincountrieswitharelativelyhighdrinking-watersupplycoverageandrelativelylowsanitationcoverage.
•Mostcountriescouldnotreporthowmuchtheyspendonhygiene,andforthosethatdid,itwasonlyabout2%ofWAShexpenditure.
•ThebreakdownofexpenditureforWAShinruralandurbanareasappearsonlyweaklycorrelatedwithneeds.
•longprocurementprocessesandheavyadministrativeburdensmeanthatmanycountriesstruggletoefficientlydisbursethelimitedfundsthatarecommitted.Absorptionofdomesticcapitalcommitmentsishigherthanthatofdonorcommitments,butappearstobedeclining.
•TostrengthenthecollectionofWAShfinancialinformation,aharmonizedmethodofdatamonitoringisneeded(onesuchmethodisproposedinAnnexB).
3 fiNANciNG
extendingandsustainingwaterandsanitationprogrammesandinfrastructurerequire,amongotherthings,adequatefundingandsoundfinancialmanagement.Theseincludeinvestmentplanning,securingfundsforproposedbudgets,makingefficientandtimelydisbursementsandmonitoringoutcomes.PreviousanalyseshaveshownthatglobalspendingisfarlessthanwhatisrequiredtomeettheMDGs(hutton&Bartram,2008),andanalysisofregionalspendinginAfrica,forexample,showsthatexpenditureisonequarterofwhatisrequiredfordrinking-waterservicesalone(foster&Briceño-Garmendia,2010).inadequatefundingforsanitationanddrinking-waterinfrastructureandforitslong-termoperationandmaintenancewasthemostfrequentlycitedobstaclebyGlAASsurveyrespondents.
3.1 SoUrceSoffUNDiNGANDhoWMUchiSBeiNGSPeNT
fundingforwaterandsanitationisrequiredfornewcapitalinvestmentandforrecurrentexpensesofoperations(operationalexpenditure),capitalmaintenance(long-termrenewalsandrehabilitation,usuallyrecoveredasanannual“depreciation”charge)andanycostsofcapital(interestpaymentsonloansandanyrequireddividendreturnstoequityproviders).fundingforthesewaterandsanitationcostscancomefromthreemainsources,commonlyreferredtoasthe“3Ts”ofWASh:“tariffs”,whicharefundscontributedbyusersofWAShservices(andalsoincludingthevalueoflabourandmaterialinvestmentsofhouseholdsmanagingtheirownwatersupply);“taxes”,whichrefertofundsoriginatingfromdomestictaxesthatarechannelledtothesectorbythecentral,regionalandlocalgovernments;and“transfers”,whichrefertofundsfrominternationaldonorsandcharitablefoundations.Transfersincludegrantsandconcessionalloans,suchasthosegivenbytheWorldBank,whichincludeagrantelementintheformofasubsidizedinterestrateoragraceperiod.The“3Ts”arediscussedinAnnexB,aspecialGlAASthematicsectionthatreviewsthestateoftheevidenceonWAShfinancialflowsandproposesamethodologytoencourageandharmonizecountrymonitoring.
ofthe74countriesparticipatinginGlAAS, providinghalfofthereportedUS$19.8only17submitteddataonsourcesof billioninfinancialflows(figure3.1).funding,andjust4wereabletoprovidefiguresonthecontributionsmadeby Thesecondanalysiscoveredallofthehouseholdthroughthepaymentof “3T”sourcesoffunding—tariffsfromtariffs.Table3.1showsthesehousehold households,taxesandtransfers—butcontributions,rangingfrom30%to61%of
wasnecessarilylimitedtoonlythefourtotalreportedsanitationanddrinking-watercountriesthatwereabletosubmitthisfundingfromallsources,combiningcapitalfulldataset.Thisanalysisindicatesthatinvestmentandrecurrentcosts.Thesehouseholdcontributionsaccountforalimiteddataconfirmfindingsinprevious
reports(WorldBank,2008;oecD,2009a) significantshareofinvestmentinthesefourindicatingthathouseholdcontributions countries,accountingfor44%offunding,compriseasignificantportionoffinance ascomparedwithnationalgovernment,forsanitationanddrinking-water. whichcontributedonly18%ofthereported
US$10.1billionwithinwaterandsanitationTwoanalyseswereperformedtodetermine finance(Table3.1).relativecontributionsoffinancingfromvarioussourcestosanitationanddrinking-
Thesedataconfirmtheimportanceofwater.Thefirstanalysiswasconfined
financialcontributionsfromhouseholdtoassessingthefinancialdataontaxestariffsandself-supply,particularlyandtransfersfromthe17respondentforrecurrentexpenditureandcapitalcountries.Thisanalysisshowsthatcentral
governmentremainsthemajorsource expenditurefornon-networkedservices,ofinvestmentinsanitationanddrinking- andtheneedtomonitortheseinthefuture.waterinmostofthecountriessurveyed,
HouseholdfundingforWASH,throughtariffsandself-supply,is
generallynotmonitored.Limiteddatasuggestthathousehold
fundingcontributesasignificantshareoftheoverallWASH
financing(table3.1).
tABLe3.1contributionofhouseholdtariffs(andcostsassociatedwithself-supply)
Country Contributionofhouseholdtariffsto
totalWASHfunding
Contributionofhouseholdtariffs
tototal
operationalexpenditure1
Iran(IslamicRepublicof) 61% 100%
Bangladesh 36% 87%
Thailand 32% Datanotavailable
Lesotho 30% 82%
1 Progressivelyincreasingtheproportionofoperationalexpenditurefundedthroughhouseholdtariffsto100%allowsforsustainablerecoveryofcostsassociatedwithoperationandminormaintenance.overtime,thecombinationoftariffsandtaxationneedstofundoperationalexpenditurepluslong-termcapitalmaintenanceandanyinterestcostsofloans.
Source: 2011 GLAAS country survey
Centralgovernmentbudgetallocationanddisbursementarethe
majorsourceoffinancingforrespondentcountries.Household
contributionsarepoorlyunderstood,butcouldbeequally,ifnot
moresignificant(Figure3.1).
FIGUre3.1Sourcesoffinancingforsanitationanddrinking-water
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-water,excludinghouseholds(17countries,US$19.8billion)
Sourcesoffundingforsanitationanddrinking-water,inclusiveofhouseholdtariffandself-supply(4countries,US$10.1billion)
26
exterNALSUpport
inmanyrespondentcountries,externaldevelopmentaidremainsamajorsourceoffinancingforsanitationanddrinking-water(Table3.2),mostlikelyforcapitalinvestment.inthesecases,strongcoordinationamongdonorsandalignmentwithWAShinvestmentprioritiesareessential.GlAASdataindicatethatcoordinationmechanismsaremorelikelytobeinplaceforcountrieswithmultipledonors.
Asdiscussedfurtherinsection6,overUS$8.9billionindevelopmentaidwasdirectedtosanitationanddrinking-water
in2009.Majorrecipientcountriesintermsofaidamountsincludechina,india,indonesia,Peru,Turkey,theUnitedrepublicofTanzaniaandvietNamcomprisingoverUS$1.5billioninannualsanitationandwateraid(2008–2009average).oDAtomiddle-incomecountriessuchaschina1,indiaandTurkeyisprimarilycomposedofloansthathaveagrantelementofatleast25%.Sanitationanddrinking-wateraidcomprisedover1%ofGDPforsevencountries,asshowninTable3.3b.
Section6providesfurtherdetailsonexternalfinancialsupportforWASh.
externalsupportcanbeamajorsourceoffinancingforsomecountries,highlightingtheneedfor
strongdonorcoordinationandalignmentwithsectorinvestmentpriorities(table3.2).
tABLe3.2respondentcountriesreportinggreaterthan25%donorfinance
Country Donorfinance(as%of
governmentfinance)
Majordonors2 Numberofdonors Sectorwideapproachor
othersectoralframework
implementedforwaterand
sanitation
Investmentplan
implemented
Madagascar 26 WorldBank,AfricanDevelopmentBank,EU 12 Yes Yes
Honduras 39 Spain,Japan,WorldBank 14 Beingdefined Underpreparation
Kenya 41 Germany,WorldBank,France 24 Yes Underpreparation
Afghanistan 46 WorldBank,USA,Germany 13 Beingdefined Ruralwatersupply
Yemen 46 WorldBank,Germany,Netherlands 12 Yes Yes
Bangladesh 63 AsianDevelopmentBank,Japan,WorldBank 19 Drinking-wateronly Yes
Lesotho 67 Ireland,WorldBank,USA 9 Drinking-wateronly Urbanruralsupply
EU,EuropeanUnion;USA,UnitedStatesofAmerica
Sources: 2011 GLAAS country survey; OECD (2012)
ManydevelopingcountriesremaindependentonexternalaidforWASH.Itaccountsformorethan
1%ofGDpinsevendevelopingcountries.onlyoneAfricancountryisatopWASHaidrecipient
(table3.3).
tABLe3.3Topaidrecipientsforsanitationandwateraidin2008–2009
a)TopWAShaidrecipientsbydollaramount(oDA) b)TopWAShaidrecipientsby%ofGDP(oDA)
Country Averagedonordisbursementfor
sanitationanddrinkingwater,
2008 2009(US$million)
Donorfinancingfor
WASH(as%ofGDP)
China 296 0.01
VietNam 274 0.29
India 252 0.02
Turkey 167 0.03
UnitedRepublicofTanzania 161 0.77
Indonesia 157 0.03
Peru 139 0.11
Country Averagedonordisbursementfor
sanitationanddrinkingwater,
2008 2009(US$million)
Donorfinancingfor
WASH(as%ofGDP)
Timor-Leste 11 1.94
Samoa 9 1.80
Burundi 17 1.31
Nicaragua 74 1.20
Lesotho 21 1.18
Liberia 10 1.15
Haiti 69 1.05
Sources: World Bank (2011); OECD (2012)
1 inadditiontoanaverageannualaidofUS$296million,chinareceivedanaverageannualamountofUS$332millioninnon-concessionallendingforwaterandsanitationin2008–2009.2 DataderivedfromoecDwiththeexceptionofBangladesh
27
3 fiNANciNG
3.2AllocATioNoffUNDiNG:WhATiSMoNeyBeiNGSPeNToN?
onemeasureusedtogaugepoliticalcommitmentandpriorityistheamountofpublicfundsexpendedinsanitationanddrinking-water,assessedasatrendorcomparedwithspendinginothersectors.forexample,the2008eThekwiniDeclarationsignatoriessetatargetofspending0.5%ofGDPonsanitation.inthe2011GlAAScountrysurvey,alimitednumber(13outof74)ofrespondentcountriesreportedtotalsanitationanddrinking-waterexpendituresonlyfromgovernmentandexternalfundingsources(multilateralandbilateraldonorsandcommerciallenders).forrespondingcountrieswithsufficientdata,theseexpenditureswerecomparedwithGDP.Amedianannualexpenditureforsanitationanddrinking-water,coveringtaxes(domesticgovernment)andtransfers(donors),butexcludinghouseholdexpenditures,was0.73%ofGDP.
Increasingbudgetallocations
tosanitationanddrinking-water
Alargeproportionofthecommitmentsmadeatthe2010SWAhighlevelMeetingrelatedtoincreasingtheallocationstowaterandsanitationfromdevelopingcountries’ownbudgets.Morethan20specificcommitmentsweremadeby12countriesinthisrespect.AfewstandoutbecausetheyweresignificantlyinfluencedbythehighlevelMeetingprocessandbecausethecountriesreporteitherhavingfulfilledthecommitmentorthattheyaremakinggoodprogress.Ghanamadeprogressonincreasingitsallocationsforwaterandsanitationinits2011budget,creatingabudgetlineinwhichspecificallocationsweremadeforactivitiesrelatedtothecountry’s2010highlevelMeetingcommitments.TimorlestereportsprogressonincreasinggovernmentinvestmentintheWASh,goingfromUS$2millionin2009toUS$11.2millionin2010andthentoUS$35millionin2011.
Governmentexpenditure(fromtaxesandtransfers)on
sanitationanddrinking-waterrangedfrom0.37%to3.5%of
GDp(Figure3.2).
Lesotho Honduras
Kenya Egypt
Thailand Nepal
Yemen Iran (Islamic Republic of)
Panama Colombia
Madagascar Bangladesh
Pakistan
3.51 1.16
1.11 0.92
0.80 0.80
0.73 0.69
0.46 0.45 0.42
0.38 0.37
0.0 1.0 2.0 3.0 4.0 Government-coordinated expenditure on WASH as a % of GDP
FIGUre3.2Publicspending(fromfundsobtainedthroughdomestictaxesandexternal transfers) on sanitation and drinking-water as a percentage of GDP(2010data)
Note:Notallcountriesreportedcontributionsfromregionalandlocalgovernments(i.e.egypt,Kenyaandyemen).
Sources: 2011 GLAAS country survey; World Bank (2012)
Summarydatafromrespondentcountriesindicatethatmedian
governmentexpenditureonsanitationanddrinking-wateris
onethirdofthatforhealthandonesixthofthatforeducation
(table3.4).
tABLe3.4Governmentexpenditureonhealth,educationandWASh
Country Governmentexpenditureon
health(%ofGDP)1
Governmentexpenditureon
education(%ofGDP)
Governmentexpenditureon
sanitationanddrinkingwater
(%ofGDP)
Bangladesh 1.1 2.42 0.4
Colombia 5.4 4.7 0.5
Egypt3 1.9 3.82 0.9
Honduras 4.6 — 1.2
India 1.3 — 0.2
Iran(Islamic
Republicof)
2.3 4.7 0.7
Kenya3 2.1 6.91 1.1
Lesotho 8.4 — 3.5
Madagascar 2.7 3.2 0.4
Nepal 1.7 4.7 0.8
Panama 6.1 3.82 0.5
Thailand 3.7 4.1 0.8
Yemen3 1.4 — 0.7
Minimum 1.1 3.2 0.2
Maximum 8.4 14.0 3.5
Median 2.3 5.5 0.7
1 2010data.2 2008data.3 Notallcountriesreportedcontributionsfromregionalandlocalgovernments.
Sources: 2011 GLAAS country survey; UNESCO (2012); WHO (2012); World Bank (2012)
28
CApItALexpeNDItUre
CoMpAreDWItHreCUrreNt
operAtIoNANDMAINteNANCe
expeNDItUre
Asnotedpreviously,respondentcountriesindicatethatthereareinsufficientresourcestoattainMDGandcountrytargets.Assuch,itisimportantthatlimitedfinancialresourcesbecarefullybalancedbetweennewinvestmenttoprovideservicetotheunservedandrecurrentexpendituretosustainexistinginvestments.Ascoveragelevelsincrease,capitalassetsincrease,asdoestheneedforrevenuetocoverrecurrentcostsforhumanresourcesandforpartsandsuppliestooperateandensurethelong-termmaintenanceofexistingsystems.however,asshowninfigure3.3a,31%ofWAShfundsexpendedin11respondentcountriesweredirectedtowardsoperationandmaintenance.Giventhatmostcountriesreportthatoperationandmaintenanceprogrammesforruralwatersupplyareinadequateandthaturbanutilitiesfrequentlylacksufficientrevenuetocoveroperationandmaintenancecosts(seesection3.7),thisraisesquestionsastowhetherexistingfundingforoperationandmaintenanceissufficienttosustainWAShsystems.Moreover,ascitedin
thepreviousGlAASreport,75%oftheestimatedfinancingneedsforsanitationanddrinking-waterconsistofrecurrentoperationalandmaintenancecostsforexistingservices(hutton&Bartram,2008).
SANItAtIoNCoMpAreDWItH
DrINKING-WAterexpeNDItUre
Areviewofexpenditurebreakdownscanindicatepotentialissuesofhowfinancialresourcesaretargeted.The2010GlAASreportindicatedthatsanitationcomprisesapproximatelyonefifthofthefinancingdevotedtosanitationanddrinking-watercombined.The13countriesthatwereabletoprovidedataforthisreportindicatedthat27%oftotalWAShfundswerespentonsanitation(figure3.3b).Accordingtoglobalestimates,thesesame13countrieshaveapproximately990millionpeoplewhodonothaveaccesstoimprovedsanitation,comparedwith190millionpeoplewhodonothaveaccesstoanimprovedsourceofdrinking-water.inotherwords,unimprovedsanitation,whichrepresents84%ofthetotalWAShunservedinthesecountries,receivesonly27%ofthetotalWAShfunding.
UrBANCoMpAreDWItHrUrAL
expeNDItUre
Similarly,theurbanversusruralpiechartinfigure3.3cindicatesthatfor10respondentcountries,75%ofexpenditureistargetedaturbansettings.however,thesesame10countrieshaveapproximately44millionand129millioninurbanandruralpopulations,respectively,whodonothaveaccesstoimprovedsanitationordrinking-waterfromanimprovedsource.Peoplewithoutaccesstoimprovedsanitationordrinking-waterfromanimprovedsourceinruralareascomprise75%oftheunserved,butbenefitfromonly25%oftheexpendituresforsanitationanddrinking-water.
HyGIeNeproMotIoN
expenditureforhygieneeducationandpromotionwasprovidedbysevenrespondentcountries.Theamountspentonhygieneeducationandpromotionprogrammesacrosstheserespondentsrangedfrom0.3%to8.2%oftotalreportedpublicexpenditureinWASh.Afghanistan,BangladeshandKenyaeachreportedover4%oftotalWAShexpenditureforhygieneeducationandpromotion.
Limitedsanitationanddrinking-waterexpendituredataprecludemakingglobalstatements
concerningfinancialallocationsderivedfromtaxesandtransfers,buthintathowexpenditures
aretargeted(Figure3.3).
a)capitalversusoperationandmaintenanceexpenditure(11countries,US$12.6billion)
b)Sanitationversusdrinking-waterexpenditure(13countries,US$12.7billion)
c)Urbanversusruralexpenditure(10countries,US$7.6billion)d)hygienepromotionversusotherWAShexpenditure
(7countries,US$5.1billion)
FIGUre3.3Breakdownsofexpendituresacrossdifferentcategories
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
Fundingoperationand
maintenanceinruralwater
supply
fundingandtechnicalsupportforoperationandmaintenanceofruralwatersupplyareclearlynotadequate:47outof70countriesreportthatmaintenanceprogrammesdonotexistorarelimitedineffectivenessorscope.GlAASfindingsindicateavarietyofcontributingfactors,inc