DELIVERING URBAN SANITATION AT
SCALE
A ROADMAP FOR DESIGNING URBAN
SANITATION PROJECTS
Sophie Trémolet, October 15th, 2013...
A.

The urban sanitation challenge in low
and middle income countries
Diverse urban sanitation challenges in
SSA
3
4

Urban sanitation : growing
challenges


Rapid urbanisation. By 2030, 6 out of every 10 people will live in a
city
Regi...
Who is paying for urban sanitation?
5





Insufficient sewerage charges – can barely cover
operating charges and almost...
6

Donor allocations: a shift to
sanitation?


Donors’ commitments to sanitation went from 30% to
60% of total commitment...
Ongoing emphasis on large systems
7



Donors’ investments still largely in large sanitation
systems – this share has bee...
B.

EIB / KFW / AFD Guidance document
An overview
A joint initiative on urban sanitation
9



Joint initiative between EIB, KfW and AFD to collaborate on the
design and im...
Guidance document - overview
10


Key features


Objective: help formulate better decisions for designing sanitation
inv...
Learning from diverse experiences
11

Nationa
l level

Rura
l
area
s
Small
town
s
Medium
towns

Geographical
Focus

Ghana
...
Some practical challenges
12



How do you get municipal governments to focus on
addressing sanitation issues?




How ...
A step-by-step roadmap
13

Step 0 – Rapid Assessment and definition of project concept
Step 1 - Diagnostic: What sanitatio...
A step-by-step roadmap (2)
14

Step 2 – Design: What will the sanitation project do?
2.1 Identify the appropriate geograph...
The “toolbox”
15


Two types of tools
 Diagnostic/ analysis tools
 Information fiches on key thematic subjects



A fe...
Some key messages – Diagnostic
phase
16



Base the design of the project / programme on a Master
plan






Where ex...
Key messages – Design &
implementation

17



Identify suitable partners based on a thorough institutional assessment
 T...
C.

Using the tools: design of the SAWiSTRA
programme in Ghana funded by EIB /
AFD
Ghana’s Sanitation Challenges
19



Sanitation coverage rate
amongst the lowest in SubSaharan Africa



Prevalence of op...
EIB’s support for WASH in Ghana
20



Contribute to achieve MDG target for sanitation



Support government strategy for...
Programme Concept - Objectives
21


Objective 1:
 Develop a programmatic approach to
implement sustainable WASH
schemes ...
Applying the diagnostic tool to identify
Challenges for design & implementation
22









National Strategy focused ...
23

Applying the diagnostic tool in
Ghana
Step 0 – Rapid Assessment and definition of project concept: intervene
in small ...
24

Step 1: Understanding needs to
tailor activities
Moving towards implementation
25

Step 2 – Design: What will the sanitation project do?
2.1 Decision to focus on small tow...
26

Defining institutional setup Balancing local vs. central actors’
roles
Defining financial flows:
Channeling financing to micro-actors
27
28

Lessons learned:
How the Guidance document can
help










Flexible enough to be applied across the value chai...
Next steps
29




Estimated publication date: early 2014
Ongoing learning process: much remains to be
learned in the opt...
30

Thank you for your attention!
Sophie@tremolet.com
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Urban Sanitation Diagnostic Tool Nairobi october 2013

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This presentation was given at the 3rd IWA Development Congress "Catalysing Urban Water" which took place in Nairobi in October 2013. Sophie Trémolet presents a roadmap for designing urban sanitation projects. Targeted at donors, policy and decision makers, this roadmap guides the financing of urban sanitation from inception to implementation.

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  • Detailed financial data was mostly obtained for Dar Es Salaam, where we had previously conducted a field study to assess the effectiveness of public spending on sanitation in the city. This study revealed that in 2009, Temeke, one out of 3 Dar Es Salaam municipalities, spent 0.3% of its budget on sanitation or USD 43,000 (mostly on administrative costs) to serve a population of about 1 million. This study also found that public spending is mostly allocated to the sewerage, which serves around 10% of Dar Es Salaam population.
  • [will say, but not write on the slides, that several of the sanitation projects that had initially been identified as a basis for the development of the guidance document as a “live laboratory” have struggled to get off the ground for a variety of reasons
  • [will say, but not write on the slides, that several of the sanitation projects that had initially been identified as a basis for the development of the guidance document as a “live laboratory” have struggled to get off the ground for a variety of reasons
  • [we will explain in word that the guidance document sets out the key questions that need to be raised at each step of the process – it does not intend to replace or substitute any existing internal procedures that may be used by development banks or governments already + for each of these steps, the second volume contains specific tools to help address those challenges ]The main steps for preparing a sanitation project are set out in the Figure below. The activities have been grouped in four main steps.Step 0 – Rapid assessment and definition of project concept; Step 1 – Diagnostic: identifying which sanitation challenges the project can address; Step 2 – Design: defining what the sanitation component of the project can do; Step 3 - Implementation planning: defining how the sanitation project will be carried out.
  • [we will explain in word that the guidance document sets out the key questions that need to be raised at each step of the process – it does not intend to replace or substitute any existing internal procedures that may be used by development banks or governments already + for each of these steps, the second volume contains specific tools to help address those challenges ]The main steps for preparing a sanitation project are set out in the Figure below. The activities have been grouped in four main steps.Step 0 – Rapid assessment and definition of project concept; Step 1 – Diagnostic: identifying which sanitation challenges the project can address; Step 2 – Design: defining what the sanitation component of the project can do; Step 3 - Implementation planning: defining how the sanitation project will be carried out.
  • Urban Sanitation Diagnostic Tool Nairobi october 2013

    1. 1. DELIVERING URBAN SANITATION AT SCALE A ROADMAP FOR DESIGNING URBAN SANITATION PROJECTS Sophie Trémolet, October 15th, 2013, Nairobi
    2. 2. A. The urban sanitation challenge in low and middle income countries
    3. 3. Diverse urban sanitation challenges in SSA 3
    4. 4. 4 Urban sanitation : growing challenges  Rapid urbanisation. By 2030, 6 out of every 10 people will live in a city Region Annual urban population growth (WB database, 2011) World 2.11 % Sub-Saharan Africa 3.92 % Middle East & North Africa 2.43 % East Asia & Pacific 2.60 % South Asia 2.57 % Latin America & Caribbean 1.49 % OECD members 1.06 % Low income 3.7 %  Access gap is likely to grow in low income countries with rapid urbanisation  The existing infrastructure is insufficiently maintained and rapidly
    5. 5. Who is paying for urban sanitation? 5   Insufficient sewerage charges – can barely cover operating charges and almost never On-site sanitation markets are inefficiently structured and do not receive adequate support from the public sector   In Dar Es Salaam, the Municipality spent only 0.3% of its budget on onsite sanitation in 2009 to serve a population of about 1 million. 99% of public spending goes to sewerage, which served 10% of the population (WaterAid, 2013) Currently, the vast majority of urban sanitation investments are funded through donor support, hence the need for strengthening the quality of those investments
    6. 6. 6 Donor allocations: a shift to sanitation?  Donors’ commitments to sanitation went from 30% to 60% of total commitments to water sector in last two years Donors' commitment to WASH (USD millions) OECD DAC database 3500 3000 2500 2000 1500 1000 500 0 2010 2011 Sanitation (basic and large systems) Water (drinking water and large systems)
    7. 7. Ongoing emphasis on large systems 7  Donors’ investments still largely in large sanitation systems – this share has been increasing in last 2 years (OECD data) 1800 1600 1400 1200 1000 800 600 400 200 0 Large sanitation systems Basic sanitation 2010 2011 All Donors, Total 2010 2011 2010 2011 DAC Multilateral, Total Countries, Total
    8. 8. B. EIB / KFW / AFD Guidance document An overview
    9. 9. A joint initiative on urban sanitation 9  Joint initiative between EIB, KfW and AFD to collaborate on the design and implementation of urban sanitation projects, to share methods and lessons  Collectively these agencies are involved in the design and implementation of a variety of urban sanitation projects, at different scales and in different areas   Jointly through the mutual reliance initiative   Through direct loans With possibility of matching grant funds from the European Commission They identified a lack of operational guidance documents for urban sanitation planning for governments and development banks  Existing guidance often takes a micro-planning view of the market, some of them at a community level  “Master plans" produced by international consultants are often too
    10. 10. Guidance document - overview 10  Key features  Objective: help formulate better decisions for designing sanitation investments in urban areas in low and middle-income countries  Target audience: primarily aimed at governments and development banks designing urban sanitation investments  Integrated approach to urban sanitation: focus on “urban sanitation systems”   All types of sanitation (domestic use but also taking account of industrial uses)   Areas that make up the “urban continuum”, based on population density criteria Other related sectors (such as water) are to be dealt with in conjunction Sets out a roadmap for designing sanitation projects/programmes:  Carry out a diagnostic of existing sanitation services in a given area with urban characteristics  Design sanitation interventions that tackle identified challenges in a sustainable manner
    11. 11. Learning from diverse experiences 11 Nationa l level Rura l area s Small town s Medium towns Geographical Focus Ghana ONAS (Tunisia) Morocco Albania Batumi (Georgia) Blantyre Larg EU city/regionalisation projects Kisumu e.g. Portugal/Italy (Malawi ) e (Kenya) Bizerte (Tunisia) town s Lilongwe Maseru (Lesotho) Rwanda (Kigali) Capital Kampala Bamako (Mali) Ouagadougou Type of city investmen ts Large sewerage Both On-site sanitation systems/ infrastructure
    12. 12. Some practical challenges 12  How do you get municipal governments to focus on addressing sanitation issues?   How do you select what to invest in?   E.g. in most EECCA countries, responsibilities for sanitation have been devolved to local governments, which are grossly underfunded and under-prioritising sanitation e.g. Kigali (Rwanda) has no sewerage system but needs are primarily in the dense urban center to support economic growth: do you invest in sewerage or on-site sanitation systems? How do you convince users to invest in sewerage connections, particularly when they have recently made investments in on-site sanitation solutions?
    13. 13. A step-by-step roadmap 13 Step 0 – Rapid Assessment and definition of project concept Step 1 - Diagnostic: What sanitation challenges can the project address? 1.2 Understand the demand side of the 1.1 Assess the policy, institutional sanitation market and regulatory frameworks What is the current sanitation situation in the project area? 1.3 Understand the supply side of 1.4 Understand current sector the sanitation market financing and assess financing needs 1.5 Identify critical issues and prioritize interventions Output 1 - Assessment report
    14. 14. A step-by-step roadmap (2) 14 Step 2 – Design: What will the sanitation project do? 2.1 Identify the appropriate geographical scope for the intervention 2.2 Define the project's activities, including technological and service provision options 2.3 Identify the appropriate service provider(s) and the support they need 2.4 Define a sustainable financing strategy for the project’s activities 2.5 Set up institutional arrangements to implement the project 2.6 Identify and design any associated sector reforms Output 2 - Project design document Step 3 – Implementation: How will the sanitation project be carried out? 3.1 Draw up a budget and an investment, operation and financing plan 3.2 Conduct the financial and economic analysis of the proposed activities 3.3 Carry out an environmental and social impact assessment of the proposed options 3.4 Define institutional & contractual arrangements, including procurement plan 3.5 Define a Monitoring and Evaluation framework Output 3 – Project documentation
    15. 15. The “toolbox” 15  Two types of tools  Diagnostic/ analysis tools  Information fiches on key thematic subjects  A few examples  Analysis of key drivers for sanitation sector reform  Spreadsheet for capturing key sanitation sector characteristics and estimating flows by types of waste streams  Analysis of sanitation market structure and possibilities for reform  Ways to involve NGOs: sample TORs?  Methodological “fact sheet” to conduct the economic evaluation of sanitation investments
    16. 16. Some key messages – Diagnostic phase 16  Base the design of the project / programme on a Master plan     Where existing sewerage coverage is limited, combine network-based investments with investments in nonnetwork systems     At national level, as in Albania (KfW project ) At city-level (EIB in Kigali, AFD / KfW in Bamako) If such Master Plan does not already exist, identify sources of support for its development In some cases network systems take precedence (Kigali) or modest investments in on-site (Lesotho) Allocate funding for strengthening public development of on-site sanitation systems (Bamako) Place exclusive focus on on-site sanitation (Ghana) Understand current sector market structure and how reforms could be introduced: to reduce costs, improve efficiency or enable cross-subsidies
    17. 17. Key messages – Design & implementation 17  Identify suitable partners based on a thorough institutional assessment  To provide technical assistance and support: utilities can have a key role to play in this area (Burundi)  To support non-network interventions investments: EIB engaged NGOs in Malawi (Water for People and WaterAid) to deliver services in urban slums  To channel funding for microfinance: EIB and Gates Foundation to channel funding to rural banks via ARB Apex Bank in Ghana  Involve multiple funding partners to blend financing  Grant funds for capacity development or innovative aspects (Ghana)  Loan funding from development banks (although repayment might be an issue where there is no utility)  To build political will and support, provide performance-based financing and sequence investments once a number of milestones are reached  Municipal service agreements (used by KfW in Serbia, Montenegro, Bosnia) identify milestones to be met by municipalities to obtain further programmatic support  Performance-based financing for District Assemblies and stimuli for innovation (Ghana)  Do not neglect the “programme operational design phase” - this can be prove
    18. 18. C. Using the tools: design of the SAWiSTRA programme in Ghana funded by EIB / AFD
    19. 19. Ghana’s Sanitation Challenges 19  Sanitation coverage rate amongst the lowest in SubSaharan Africa  Prevalence of open defecation , shared toilets; no network solutions, no fecal sludge management  Decentralised sector with very limited capacities at local level  Evolving allocation of responsibilities with leading “facilitation institution” (CWSA) for small towns and rural areas
    20. 20. EIB’s support for WASH in Ghana 20  Contribute to achieve MDG target for sanitation  Support government strategy for scaling up sustainable services in small towns / rural areas  Align with evolving institutional setup (increased decentralisation)  Ensure efficient implementation and long-term sustainability (focus on outcomes)  Support ongoing sector coordination activities
    21. 21. Programme Concept - Objectives 21  Objective 1:  Develop a programmatic approach to implement sustainable WASH schemes at scale in small towns and rural areas  Align with ongoing sector development and support sector coordination  Objective 2: Increase access to water supply in rural areas and small towns  Objective 3: Increase access to sanitation in rural areas and small towns and build WASH facilities in schools, health centres and community toilet blocks as appropriate  Objective 4: Implement appropriate systems and build capacity to ensure Programme sustainability
    22. 22. Applying the diagnostic tool to identify Challenges for design & implementation 22     National Strategy focused on “CLTS+”  tailor implementation to different towns / communities Evolving institutional setup  balance decentralised decision-making with coordinated implementation at national level Scaling-up  identify appropriate sources of finance and ways to channel large amounts of finance to the appropriate beneficiaries Ensure sustainable outcomes  result-based financing and monitoring mechanisms
    23. 23. 23 Applying the diagnostic tool in Ghana Step 0 – Rapid Assessment and definition of project concept: intervene in small towns and rural areas and implement new sector strategy Step 1 - Diagnostic: What sanitation challenges can the project address? 1.1 Policy / institutional assessment: • Strategy: Tailor CLTS + for specific needs • Decentralisation  capacity challenges 1.2 Demand assessment: • Variety of situations between small towns and rural areas What is the current sanitation situation in the project area? 1.3 Supply analysis: Limited supply response, needs strengthening, no faecal sludge management 1.4 Sector Financing: Most financing still channelled through CWSA, despite decentralisation policy 1.5 Critical issues: create political will at various levels of government, adopt a package of interventions implemented by different actors at different levels, facilitate involvement of communities, capitalise on existing institutional arrangements (CWSA), blend funding appropriately, identify financing channels Output 1 - Assessment report
    24. 24. 24 Step 1: Understanding needs to tailor activities
    25. 25. Moving towards implementation 25 Step 2 – Design: What will the sanitation project do? 2.1 Decision to focus on small towns and rural areas 2.2 Support for on-site sanitation combined with (limited) facal sludge management 2.3 Mix of service providers: for planning, facilitation, design and implementation 2.4 Mix of financing sources, including support for household investment via microfinance 2.5 Rely on existing institutional arrangements 2.6 No immediate sector reform needs were identified Output 2 - Project design document Step 3 – Implementation: How will the sanitation project be carried out? 3.1 Define budget, investment, operation and financing plan (appropriate fin. sources) 3.2 Conduct the financial and economic analysis of the proposed activities 3.3 Carry out an environmental and social impact assessment of the proposed options 3.4 Define financial flows, institutional & contractual arrangements (procurement plan ) 3.5 Define a Monitoring and Evaluation framework Output 3 – Project documentation
    26. 26. 26 Defining institutional setup Balancing local vs. central actors’ roles
    27. 27. Defining financial flows: Channeling financing to micro-actors 27
    28. 28. 28 Lessons learned: How the Guidance document can help      Flexible enough to be applied across the value chain – applicability in rural areas / small towns Can support phases of decision-making from project identification to design to implementation Helped translate national strategy into practice and design tailored solutions Helped identify interfaces to improve governance and implementation Helped optimise funding, including result-based
    29. 29. Next steps 29   Estimated publication date: early 2014 Ongoing learning process: much remains to be learned in the optimal design of urban sanitation projects and programmes
    30. 30. 30 Thank you for your attention! Sophie@tremolet.com

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