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Rural water supply policies: Evidence through qualitative document analysis


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Rural water supply policies: Evidence through qualitative document analysis

  2. 2. SUSTAINABLE SERVICES AT SCALEOR ‘TRIPLE-S’• A six year research project 2009 – 2014, led by IRC and funded by The Bill & Melinda Gates Foundation• Seeks to contribute to a shift from an “infrastructure perspective” to a service delivery approach for the rural water sector through: − Action research in Ghana, Uganda, Burkina Faso (USAID) − Working with government and sector stakeholders − Research, documentation and dissemination − International partnerships and advocacyWATER SERVICES THAT LAST 2
  3. 3. WHAT IS QDA AND WHY ARE TRIPLE-S USING IT?• Qualitative Document Analysis (QDA) is a method of assessing documents in a rigorous and reliable manner through identifying the presence or absence of particular themes or issues.• The International Workstream of Triple-S is carrying out QDA on a selected group of development partners’ policy, strategy and guideline documents to: − establish a baseline of sector policy for comparison with future policy changes; − analyse the congruence between policy documents and practice-related documents (e.g. calls for proposals, project reports); − serve as an engagement tool, alongside interviews with the development partners concerned.WATER SERVICES THAT LAST 3
  5. 5. POLICY-QDA METHODOLOGY• Obtain Documents – Rural water policy, strategy, guidelines or similar were found. For the baseline assessment documents were generally used from before 2009 (aligning with before the start of the Triple-S initiative).• Identify Themes – 21 themes were identified which relate to service delivery concepts, as articulated by Triple-S.• Analysis – Each document was analysed to determine the extent of alignment with each theme. Summary tables were produced using quotes where appropriate to support conclusions.• Validation – A check of the analysis was carried out by the Institute of Development Studies (IDS) Impact and Learning Team (ILT).• Finalisation – The analyser and validator agreed on the final results and an overall summary was produced for sector overview and organisational comparisons.WATER SERVICES THAT LAST 5
  8. 8. ASSESSED THEMESThe 21 themes assessed can be grouped into four main categories as shown.Full definitions of each theme are included in the appendix Institutional Management Financial Technical • Capacity support for local • Post-construction • Financial planning for • Service levels government support life cycle costs • Supporting institutions & • Appropriate policy • Equality and inclusion • Planning for asset technology • Country-specific approach management • Roles and • Multiple Use Systems • Decentralisation responsibilities (MUS) • Regulation • Professionalisation of • Monitoring community • Coordination & management collaboration • Alternative service • Harmonisation & alignment provider options • Increase coverage/ plan for full coverage • Accountability and • Learning, KM & innovation transparencyWATER SERVICES THAT LAST 8
  9. 9. RESULTSThese results are summarised in the table that followsWATER SERVICES THAT LAST 9
  10. 10. Water Water EWBTheme DFID UNICEF AfDB IADB Danida* EU for AusAID LWI Sum Aid Canada PeopleLearning, knowledge management & 3 3 2 3 3 3 3 3 3 3 2 31innovationCoordination & collaboration 3 3 3 3 2 3 3 2 3 3 2 30Capacity support for local government 3 3 3 3 0 3 3 3 3 3 0 27Equality and inclusion 3 3 3 2 3 3 3 2 3 2 0 27Increasing coverage or planning for 3 3 3 3 3 3 0 3 1 2 2 26full coverageSupporting institutions and policy 3 3 3 3 1 3 3 0 3 3 0 25Country-specific approach 3 3 3 3 3 0 2 0 3 0 3 23Harmonisation and alignment 3 3 3 3 3 0 3 0 0 3 1 22Service levels 2 2 2 3 2 3 1 0 2 1 2 20Post-construction support 3 3 2 2 1 3 0 3 2 0 1 20Decentralisation 3 3 3 3 2 2 3 0 0 0 0 19Financial planning for life cycle costs 3 0 2 2 3 1 1 3 1 0 2 18Roles and responsibilities 3 3 3 1 3 0 3 1 0 0 0 17Technology 3 3 3 0 0 3 0 2 0 0 3 17Accountability and transparency 3 0 0 3 3 3 2 2 0 0 0 16Professionalisation of community 2 3 2 1 3 0 1 2 1 0 1 16managementRegulation 3 0 2 3 2 0 2 0 0 0 0 12Monitoring 1 1 1 0 0 1 1 2 1 2 1 11Planning for asset management 2 0 0 0 0 0 0 3 2 0 1 8Multiple Use Systems (MUS) 0 2 0 0 0 3 0 0 0 0 0 5Increased recognition and promotionof alternative service provider options 1 0 0 0 3 0 0 0 0 0 0 4(self supply & delegated management)Sum 53 44 43 41 40 37 34 31 28 22 21* - Only a finance-related document was available for Danida See appendix for original summary 10
  12. 12. STRENGTHS AND WEAKNESSES BY THEME Institutional Management Financial TechnicalWATER SERVICES THAT LAST 12
  14. 14. DISCUSSION OF FINDINGS• The most commonly supported issues in the documents were learning, knowledge management & innovation; coordination and collaboration; capacity support for local government and equality and inclusion, where all organisations scored either ‘good’ or ‘okay’, (except for Danida and LWI for capacity support and LWI for equality and inclusion).• The least recognised issues were planning for asset management where only DFID, Water For People and AusAID were ‘good’ or ‘okay’; MUS where only UNICEF and WaterAid were ‘good’ or ‘okay’; and increased recognition/promotion of alternative service providers to community management where only Danida was ‘good’.• Interestingly, even some organisations which score very well overall in this assessment are lacking in particular key areas. For example UNICEF had the second-highest score, but still did not include any financial issues in their policy document (financial planning for life cycle costs and asset management) which are recognised as critical to achieving long-term sustainability (see SERVICES THAT LAST 14
  17. 17. APPENDIX –DEFINITIONS OF THEMES Accountability Recognition of the importance of accountability and transparency; support to establishment or and strengthening of accountability systems (including accountability to whom), and efforts to ensure transparency transparency in service delivery Capacity Under decentralisation it is normally local government that is mandated to guarantee basic services support for local including water and sanitation. Under this arrangement local government is involved in planning, government coordination, monitoring, and support activities. In many cases some form of capacity support is required to strengthen and guide local government itself, which can be weak, inexperienced or simply lack certain specialist capacities. Support can be provided across key functions in the life-cycle of rural water supply services, including planning, management, procurement, letting of service contracts and monitoring of local operators (whether community management entities or private sector providers). Such capacity support is frequently, but not always, provided by deconcentrated offices of central ministries. Lack of capacity at local level is broader than in only the water or sanitation sector and is linked to mainstream public administration delivery. Ideally such support should be continuous, well structured and adequately financed to ensure long-term development of local capacity for WASH oversight. Coordination & Collaboration and coordination both within and outside the sector can lead to better use of resources and collaboration more effective service delivery. Sharing information between service providers and service authorities can help to plan activities for economies of scale. Development partner and in particular NGO coordination at the local level, both between themselves and with service authorities, can ensure better overall planning and more effective use of resources. National level government ministries should also work together well to ensure that resources are available as required. This is particularly important between the Ministry of Finance and the ministry (or ministries) in charge of water and sanitation, health and local government. Country-specific Triple-S is not promoting a ‘silver bullet’ solution to sustainability of rural water supply, but rather context approach specific approaches. This is supported through a learning sector which may take lessons from other places, but adapts them to fit local contexts.WATER SERVICES THAT LAST 17
  18. 18. Decentralisation Decentralisation of public services, including responsibility for water and sanitation, is being done in many countries. This requires decentralisation of resources, financial and human, as well as decision making authority. It has often gone hand in hand with the separation of functions within the water sector between authority and service provision, with the former responsible for planning, oversight and coordination. At the local (commonly district or municipality) level, and also national level, institutions need to be strong and competent and adequately resourced. Good governance practices should be carried out which are transparent, inclusive, equitable and gender sensitive. Progress should be made towards meeting national goals in water supply, sanitation and water resources management. Equality and Involving consumers in the decision making process of water service delivery can help to ensure that the inclusion needs of all sections of society are addressed. This can help to ensure equity of access. National planning processes and procedures should ensure participation at all levels and by all groups, regardless of their vulnerability or access to decision-makers. Consumers should participate in all stages of the life- cycle of a service, including planning, design, budgeting, implementation, monitoring and long-term service delivery phases, including technology choice to ensure their needs are taken into account. This should be an inclusive process, taking account of specific needs of all groups - women, men, children, elderly, disabled, minority and marginalised groups. Services should be equally distributed, geographically and by income group and lead to full coverage. Financial Life-cycle unit costs refer to the costs of ensuring an adequate service level to a specific population in a planning for life determined geographical area forever. It refers not only to the costs of constructing new systems but cycle costs also the costs for maintaining them within the short and long-terms, and at higher institutional levels. The costs both for a district and national level administration and planning are taken into account, as well as the costs of replacement and the extension of infrastructure. If funding streams are not sustainable, or if responsibilities for financing are not clearly defined, it is unlikely that all costs will be covered and that services will be maintained at the design level. Financial planning should include: initial capital expenditure, which includes one-off software costs of training etc (CapEx); large-scale capital maintenance and replacement expenditures (CapManEx); expenditure on direct and indirect costs (ExpDS and ExpIDS), including the vital function of post-construction support and monitoring, operation and maintenance. These funds may be obtained from a mixture of: tariffs from consumers; taxes or transfers from government; or transfers from donors and international financing banks, as well as NGOs.WATER SERVICES THAT LAST 18
  19. 19. Harmonisation Harmonisation between development partners and alignment of development partner efforts with and alignment government led strategies have been adopted as core elements, or principles, of improving aid effectiveness. More harmonised approaches can lead to more efficient and effective use of funds. Duplication of effort, parallel investments and contradictory policies can all be avoided if development partners are encouraged to align with national guidelines and ensure that national priorities are supported. The establishment of a Sector Wide Approach (SWAp) is one important mechanism that can help to achieve this, but there are other mechanisms apart from SWAps. Investments can then be designed to fit within and respect common policy frameworks (for example on tariff setting and cost recovery or technology type) and financing can be channelled through common funding mechanism or basket funding arrangements. Increased Although all countries will differ, there are four main categories for service delivery: community-based recognition and management, direct public sector provision, private operators, and self-supply, plus numerous variants promotion of within these categories. Different models are likely to be appropriate in different contexts, for example in alternative highly dispersed rural communities community-based management or self-supply (whereby households service provider provide their own water supplies with their own resources) may be most suitable whereas in high-density options (self rural growth centres, more options may be available, such as private sector operators. Different types of supply and technology may also suit different service delivery models. Therefore alternative management models to delegated community management, particularly self supply and delegated management to the private sector, management) should be supported when appropriate, in line with government policy. Increasing There are numerous examples of small-scale, successful rural water supply, but most remain models coverage or that are not scaled up. Service authorities (generally local government) should plan for full coverage in planning for full their jurisdiction, with equitable access and monitoring data used to support sector planning, rather than coverage rely on a demand-responsive-approach which can lead to unequal service coverage. This should lead to progress towards meeting national goals in water supply, sanitation and water resources management. Learning, Building a learning sector is a must for delivering sustainable services and requires the capacity and knowledge willingness to do things together, better and differently. It should not rely on ad-hoc support, but become management & an integral part of sector capacity and be properly funded both at national and decentralised levels. To innovation create a learning sector able to adapt to changing circumstances and demands, mechanisms are needed to: encourage information sharing; facilitate continuous reflection and analysis; support stakeholder consultation; manage information and research-based knowledge. Resource centres and learning alliances are two ways to support learning by individuals and organisations.WATER SERVICES THAT LAST 19
  20. 20. Monitoring A crucial building block in delivering sustainable services is a monitoring system able to track the level of service provided over time, especially the performance of key technical, financial, and management functions so that problems can be anticipated and addressed. Whilst functionality is commonly measured, it is limited as its only focus is on output (i.e., asking whether water flows from the tap or hand pump), and not on the underlying factors that make a service sustainable, such as adequate management capacity, tariff recovery, and technical backstopping etc. Adapting indicators to focus on the service provided and defining sector targets is an important step in creating more sustainable rural water services at scale. At sector level, the aim is to create a single, comprehensive system that provides government, service providers and users with the information necessary to set targets, monitor progress, take corrective action and ensure accountability. Donor-funded projects and NGOs should be encouraged to support a government-led system, rather than create parallel systems that are incompatible with the available resources to manage and maintain such systems. Multiple Use Single-use approaches to water development and management do not reflect the realities of how poor Systems (MUS) people use water. People use domestic water supplies for a range of activities such as irrigating backyard gardens, keeping livestock, fishing, processing crops and running small-scale enterprises. In areas without adequate domestic water supply, they use irrigation water to meet household needs, such as drinking and bathing, as well as to support a range of income generating activities in addition to crop production. A more integrated, multiple-use approach can maximize the health benefits and productive potential of available water supplies–leading to increased incomes, improved health and reduced workloads for women and children. Systems that cater to multiple uses are also more likely to be sustainable, because users benefit more from them, have a greater stake in them, and are more willing and better able to pay for them as the result of alternative income sources. Planning for This is less about ensuring there is support, and more about ensuring that major replacement is planned asset and financed, usually by the service authority such as local government, or another external body, management therefore the service provider may be taken out of the picture somewhat (they may only be responsible for everyday O&M and minor repairs). Service providers should plan and implement operation and maintenance activities based on life-cycle planning and consumer feedback. Facilities should be monitored and maintained to provide the agreed service levels to consumers and funds should be available for replacement of equipment at the end of their expected lives. As well as eventual replacement, capital maintenance is required at periodic intervals to repair or replace specific components, such as handpumps, storage tanks etc. Without such planning services will deteriorate and eventually fail.WATER SERVICES THAT LAST 20
  21. 21. Post- Support (day-to-day) is to whoever is managing the water service (financial, technical, managerial construction support such as from local government to the service provider e.g. community water associations or support private operators) Post-construction or recurrent support is often required to ensure that water services continue to operate in the long-term. Evidence has shown that this is particularly important for community-based management where often voluntary committees cannot manage all aspects of the operation, maintenance and administration of their water facilities on their own. However, other types of service providers, such as private sector operators, will also require support. Post-construction support may be provided by local government, associations of local government (to achieve economies of scale), NGOs, associations of water committees or water user associations, or central government agencies. It should include: technical backstopping and advice; administrative and financial support; auditing of accounts; organisational and conflict resolution; creating linkages with other state and private sector suppliers; water quality monitoring; hygiene promotion; training and refresher courses; information collection and collation. Support may be provided on a supply basis by the external agency or it may be sought out by communities on a demand-basis. Professionalisation Community management is the most common service delivery model for rural water supply and it has of community been established as formal policy in many countries. But for communities to be able to manage their management water supplies effectively and over many years a number of elements need to be in place for community- based service providers to function more professionally, thereby raising the quality of service experienced by users. Some of the more important elements include: legal status of committees established to enable them to obtain financing and for representation; options for delegated management to private sector suppliers and operators (i.e. paying plumbers or bill collectors and sometimes contracting a private company to carry out financial audits etc.); strengthened management capacity and a shift in philosophy from volunteerism to running a water service professionally, remunerating staff and viewing community members as clients of a service.WATER SERVICES THAT LAST 21
  22. 22. Roles and Stakeholders need to be clear on their roles and responsibilities, as well as those of other stakeholders responsibilities to ensure that defined service levels are achieved. For consumers this requires them to understand their rights regarding the level of service they should receive and their responsibilities to support the water service, such as paying tariffs. Sector policies should account for the needs and rights of the poor and marginalised, whilst gender issues and equal opportunity policies and practices should also be mainstreamed. At sector level institutional roles also need to be clear, including responsibilities for constructing new or rehabilitating infrastructure and for long-term management of systems. The distinction between different levels of government should also be clear with mandates for monitoring, oversight and planning, which are ideally separated from those institutions with responsibility for direct operational activities. Service levels Service criteria should be defined for water quality, quantity, accessibility and reliability. Service levels may vary depending on the context, such as the technology used or the density of the population, however, minimum levels of service provided should always agree with national standards. Service levels enable a comparison to be made as users climb up the ‘service ladder’ from sub-standard or basic levels to improved services. The use of service level concept moves us from the basic binary assumption of unimproved/improved. Supporting At the local (commonly district or municipality) level, and also national level, institutions need to be strong institutions and and competent and adequately resourced. Good governance practices should be carried out which are policy transparent, inclusive, equitable and gender sensitive. Progress should be made towards meeting national goals in water supply, sanitation and water resources management. Technology Different types of technology will be suitable for different levels of service and different management models. The choice of technology type will affect the price of water, the extent of operation and maintenance requirements and whether a system can be for multiple uses. Consumers should be involved in planning the type of technology to be adopted to ensure that it is acceptable and affordable and that gender issues are considered. Technology selection may also be determined by the nature of available water sources, soil types and other factors. It is generally recognised that a degree of standardisation in technology (specifically in handpumps) is a positive approach. However, space for trialling of new technology and improving existing equipment and design should be encouraged.WATER SERVICES THAT LAST 22
  23. 23. APPENDIX – SUMMARY OF RESULTSTheme AfDB AusAID Danida DFID EU EWB Canada IADB LWI UNICEF Water for WaterAid PeopleAccountability None None Good Good - OK – focussed Unclear Good None None Okay – about Goodand accountability at national NGO andtransparency through level and donor community EUWI itself accountability complaint not service mechanisms. providersCapacity support Good - Good - None - need Good - Good – Good- Good None Good - Good Good –for local Capacity Governance for this is capacity capacity supporting Supporting supportinggovernment building for and policy mentioned, but support at all building at all district local local local support strong no detail of levels levels governments government government government with support at doing it. all levelsCoordination & Good. Good - Okay Good - seeks Good Good – with Good – Okay - Good – Okay Good –collaboration Encouraged collaboration to play an NGOS and engaging with Collaboration supporting working with and supported supported and active role in government stakeholders with other coordination local partners encouraged at increasing NGOs and and different levels. coordination government internationallyCountry-specific Good – Good - tailor to Good Good Okay N/A - one Good Good Good Unclear Noneapproach supports local country focus country’s own circumstances approachDecentralisation Good Unclear OK, but focus Good Good None Good None Good. Unclear Okay on finance only Decentralisatio n and multiple levels mentioned throughoutEquality and Good - Good – Good – Good Good OK – equitable Okay – None Good – gender Okay Good –inclusion Participation equitable including coverage ‘universal’ can and reaching meeting needs by all in access for poor vulnerable be taken to the poor of poorest and community groups mean ‘equality most encouraged and inclusion’; vulnerable targeting underserved WATER SERVICES THAT LAST 23
  24. 24. Theme AfDB AusAID Danida DFID EU EWB Canada IADB LWI UNICEF Water for WaterAid PeopleFinancial planning Okay - Focus Limited and no Good – Good - Limited None Okay Okay - None Good Limited – onlyfor life cycle costs on cost mention of full covering O&M Includes need Encouraging operation recovery for life cycle costs and for financing finance from O&M. replacement replacements, community to Government to costs, plus on-going eventually cover capital contribution support and replace replacements from national different systems budget could funding involve mechanisms covering support costsHarmonisation Good. Support Unclear Good Good, at all Good Good – consult Good – Limited - Some Good – Unclear Unclear –and alignment for levels with national support alignment with supportive of aiming to government- government consistent with government PRSPs and influence led strategies and supporting countries’ strategy. SWAps and all others, but not and SWAp, but SWAp wishes stakeholders clear the effect not clear if of this or the contradictions relation to occur between government Bank and policy country policiesIncreased None None Good – self Limited. Unclear None None None None None Nonerecognition and supply and Emphasis onpromotion of lease contracts communityalternative service management.provider options Not clear if(self supply and private sectordelegated is also relevantmanagement) for ruralIncreasing Good - looking Limited. No Good Good. Unclear OK – focus on Good Okay Good - Rights- Good Good –coverage or to increase mention of Encourages equitable based implies developingplanning for full coverage, but aiming for full fair coverage coverage full coverage; government tocoverage target is 80%, coverage Scaling up is reach more. not full main focus coverage WATER SERVICES THAT LAST 24
  25. 25. Theme AfDB AusAID Danida DFID EU EWB Canada IADB LWI UNICEF Water for WaterAid PeopleLearning, Limited - Some Good - Good – sharing Good Good Good – Good Okay - external Good - Strong Good Good – effortsknowledge learning Resources knowledge and supporting learning is learning for learningmanagement & carried out, but available for learning from district level limited – organisation and sharinginnovation limited and learning others learning and seems to focus lacks detail testing & on internal developing learning own approachesMonitoring Limited - Lacks Limited None. Only Limited – Limited – OK – Unclear how Limited Limited - Okay – focus Limited – lacks detail of local monitoring included in monitoring access and strengthening monitoring is (Not clear that Monitoring on long-term detail of how government criteria – water annex about mentioned but quality national done this is focuses on functionality, monitoring will monitoring quality and OBA unclear if just mentioned, but monitoring. something that access, plus but not on be done, by requirements hydro- related to detail lacking Focus on is always water quality. linking to whom, and meteorological access or functionality undertaken, national what would be service but unclear if limited to short- monitoring monitored delivery other aspects term, and done systems of service are by LWI, not by monitored others)Multiple Use Unclear. Multi- Unclear None None – IWRM Unclear None None None Okay – support None Good –Systems (MUS) sector projects related, not for productive providing water mentioned MUS water use for multiple usesPlanning for asset None Okay – asset Unclear Ok – None None None Limited Unclear Good Nonemanagement maintenance appreciate and need to plan management for plans replacements but lacks detailPost-construction Okay - Focus Okay - details Limited – only Good - None None OK – investing Limited - Good - Good Good – there issupport on capacity lacking, but about finance, Supporting in service Maintenance Supporting understanding building for support for not providing government to providers but focusing on communities to of the need for communities, local management, provide unclear on repairs manage post- supply chains management, technical and support details (infrastructure systems construction and inc. financial financial to focus) support and maintenance service that is built into providers the approach WATER SERVICES THAT LAST 25
  26. 26. Theme AfDB AusAID Danida DFID EU EWB Canada IADB LWI UNICEF Water for WaterAid PeopleProfessionalisation OK. Limited - Good – Okay - Limited None Limited – some Limited – focus Good - Okay – Unclear– focusof community Community Support responsibilities Understanding technical on community Supporting community on ‘basic’management management provided to clear for of need to assistance, but management communities. support by community approach, but communities, maintenance support reliant on Community- private sector management support for but no details. communities, communities management private sector but lacks own abilities the default and local details on how option government to to do this support communities.Regulation OK. Plans for Unclear if Okay – but Good Okay – None Good None None None None legislation & urban only unclear if it (assuming it is promoting all (assuming it regulation includes rural for rural) actors involved includes for the service in regulation rural sector) providers although lacks (relating to detail. private sector)Roles and Good – roles & None Good Good – Good None limited – for None Good Limited Noneresponsibilities responsibilities especially institutional of stakeholders regarding levels, but no need legal communities information on backing household, community or local levelsService levels OK, somewhat OK – setting OK – lacks OK - although Limited – only Limited - focus Good Okay - Setting Okay - Quality, None Good bit mixed / appropriate detail about the not quantity on functionality their own access, and conflicted tariffs and minimum significantly mentioned but not other service levels reliability service detailed, service levels. not following mentioned, but standards appropriate national not ‘quantity’ service levels standards planned forSupporting Good – policy Good Limited- Good Good Good Good Unclear Good - Unclear Good.institutions and and support is only Supporting Influencingpolicy institutional mentioned with policy and policy and strengthening respect to institutional supporting financial development institutions institutionsTechnology Good. None None Good – None None None Good - Good Okay Good Appropriate appropriate Appropriate technology technologies technology chosen WATER SERVICES THAT LAST 26