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-‐ version 12 July 2013 (v33rev2)

GLOBAL ANALYSIS AND ASSESSMENT OF SANITATION AND DRINKING-‐WATER (GLAAS)

Country Sanitation, Drinking-‐Water Sectors and Hygiene Promotion Questionnaire 2013 BACKGROUND ON GLAAS The Global Analysis and Assessment of Sanitation and Drinking-‐Water (GLAAS) is a UN-‐Water initiative, implemented by the World Health Organization (WHO). At the global level it monitors efforts to provide or improve sanitation and drinking-‐water services. The GLAAS report is published biennially, with the most recent report published in April 2012. The global report includes an assessment of government policies and institutions; the investments in terms of financial and human resources; the volume and targeting of foreign assistance; and the relative influence of all these factors on performance. In a national context, GLAAS aims to complement sector review processes and to assist in assessing the state of the enabling environment including financial and human resources inputs being directed to sanitation, drinking-‐water and hygiene whilst identifying barriers and enablers. GLAAS, as a global report, also facilitates benchmarking between countries. GLAAS country data is intended to inform senior staff in developing country governments and donor organizations who are in a position to advise their ministers and most senior decision-‐makers. It is a useful resource for stakeholders involved in sanitation and drinking-‐water projects and programmes. QUESTIONNAIRE This questionnaire solicits information on the delivery of drinking-‐water supply and/or sanitation services and/or the status of hygiene promotion activities. Information gathered in this survey will be presented in the 2014 UN-‐Water GLAAS report. This questionnaire contains four sections that cover a broad range of aspects that impact the provision of water and sanitation services, including:

• Section A on governance • Section B on monitoring • Section C on human resources • Section D on finance

To assist with the completion of the questionnaire, brief guidance is included for some questions and examples may also be provided. Input from multiple ministries and additional non-‐governmental stakeholders is essential. Please direct queries and completed questionnaires to either your national GLAAS focal point, regional GLAAS facilitator, and/or to WHO at [email protected]. We value your collective government and stakeholder inputs and thank you for your participation. GENERAL INSTRUCTIONS For a majority of the questions, checkboxes are provided in the response sections. Some questions request that countries check all the applicable responses, while other questions may request that countries select only one response per category. In some cases responses may be applicable as a combined subsector e.g. for urban and rural or water and sanitation, in these cases select urban and rural or water and sanitation. If you are completing this form electronically with Microsoft Word 2007 or later version, you may “click” on the boxes to fill them with an “X”. In earlier versions of Microsoft Word, you will need to replace checkbox with an “X” in the appropriate response column. Please complete text boxes where requested. In order to capture country specificities as comprehensively as possible, please provide further information if and when needed. If there are any questions for which no answer is available, please indicate “Not available” or “NA” in the response box.

Country Sanitation, Hygiene Promotion and Drinking-‐Water Sectors Questionnaire 2013


1. GLAAS 2013 CONTACT INFORMATION: To ensure the most accurate data, WHO recommends that the national focal person coordinate the collection and reporting of your Government’s responses to the questionnaire. Please indicate the national focal person for GLAAS and the primary respondents (such as government ministries, authorities, civil society and other interested parties) that contributed to the various sections of this form. Country:

Area Last and first names. of primary respondent(s) Email address Phone number Job title Ministry/Department Address Line(s) City and Postal Code

GLAAS National Focal Person

Primary respondent Sanitation

Primary respondent Drinking-‐water

Primary respondent Hygiene

Other contributors/respondents (please specify area)



Section A: Governance This section of the questionnaire examines laws, policies, and plans supporting the provision of water and sanitation services. The section also examines the existence of regulatory, legal and institutional frameworks, including coordination mechanisms, roles and responsibilities of government and service providers; levels of stakeholder participation; and mechanisms to ensure accountability. NATIONAL LAWS

A1.

Human right to water and sanitation: Does the constitution or other legislation recognize water and sanitation as a human right?

Water Sanitation

Yes No Yes No a. Constitution or other legislation a. ☐ ☐ ☐ ☐ b. If yes, please provide the date (month/year) that such recognition

in law occurred. b. / /

c. Please provide title of the law and text of the relevant provision:

NATIONAL POLICY AND PLANS

A2. Policy/plan development and implementation: Do national policies and plans exist, and to what extent are these implemented to ensure the provision of water and sanitation? (Note: If a single policy or plan addresses more than one of the WASH areas listed below, please respond for each of the WASH areas covered by a combined policy or plan)

(Please select ALL that apply. Answer option can only be checked if ALL criteria in that answer are met (e.g. “Plan being fully implemented, with funding, and regularly reviewed.”)

Lowest

Level of development/implementation

Highest

WASH area

No national policy or policy

still under development

National policy formally approved

and gazetted through formal

public announcement

Implementation plan developed

based on approved policy

Policy and plan costed

and being partially

implemented

Plan being fully implemented, with funding, and regularly reviewed

a. Urban sanitation a. ☐ ☐ ☐ ☐ ☐ b. Rural sanitation b. ☐ ☐ ☐ ☐ ☐ c. Sanitation in schools c. ☐ ☐ ☐ ☐ ☐ d. Sanitation in health facilities d. ☐ ☐ ☐ ☐ ☐

e. Urban drinking-‐water supply e. ☐ ☐ ☐ ☐ ☐ f. Rural drinking-‐water supply f. ☐ ☐ ☐ ☐ ☐ g. Drinking-‐water in schools g. ☐ ☐ ☐ ☐ ☐ h. Drinking-‐water in health facilities h. ☐ ☐ ☐ ☐ ☐

i. Hygiene promotion i. ☐ ☐ ☐ ☐ ☐ j. Hygiene promotion in schools j. ☐ ☐ ☐ ☐ ☐ k. Hygiene promotion in health

facilities k.

☐ ☐ ☐ ☐ ☐

l. Other comments:



NATIONAL POLICY AND PLANS

A3. Policy and plan coverage targets: Please indicate the coverage target (including the year targets are expected to be attained) as documented in the policy or plan

Policy/Plan

WASH area

Coverage target (% of population or

facilities1) e.g. 100% for universal

coverage Title of policy or plan where coverage target is expressed (and web link if available) Date of

policy/plan

Year that coverage target will be attained

a. Urban sanitation a.

b. Rural sanitation b.

c. Sanitation in schools c.

d. Sanitation in health facilities d.

e. Urban drinking-‐water supply e.

f. Rural drinking-‐water supply f.

g. Drinking-‐water in schools g.

h. Drinking-‐water in health facilities h.

i. Hygiene promotion i.

j. Hygiene promotion in schools j.

k. Hygiene promotion in health facilities k.

1 % coverage for facilities applies for schools and health facilities (c, d, g, h, j & k)



DEFINITIONS

A4. Definition of improved services:

i) Please indicate what types of sanitation facilities are considered in your target coverage. If other criteria are also used please also describe (e.g. connection to treatment facility)

ii) Please indicate what types of drinking-‐water facilities are considered in your target coverage. If other criteria are also

used please also describe (e.g. distance, volume)

A5.

Hygiene: Please indicate what types of hygiene promotion activities are considered in your target coverage.

SERVICE PROVISION BY INSTITUTIONAL TYPE

A6. Populations served by type of provider: What is the approximate population served by the following service provider types?

Sanitation Drinking-‐water

Urban (millions)

Rural (millions)

Urban (millions)

Rural (millions)

a. Formal service providers (e.g. government and private sector utilities) a.

b. Community-‐based (owned or operated) service providers b.

c. Informal service providers (e.g. informal private operators, NGOs) c.

d. Self-‐supply by individual households d.

e. Other comments:



SUSTAINABILITY MEASURES

A7. Improving and sustaining services: Do plans include specific measures in any of the following areas, and how well are these measures implemented? (please check all that apply)

Not in policy or plan

Yes, and level of implementation is:

Low Some High a. To keep rural water supplies functioning over the long-‐term (e.g. supply

of parts, human resources for operation and maintenance, etc.) a. ☐ ☐ ☐ ☐

b. To improve the reliability and continuity of urban water supplies b. ☐ ☐ ☐ ☐ c. To rehabilitate broken or disused public latrines (e.g. in schools) c. ☐ ☐ ☐ ☐ d. To safely empty or replace latrines when full d. ☐ ☐ ☐ ☐ e. To reuse wastewater and/or septage e. ☐ ☐ ☐ ☐ f. To ensure drinking water quality meet national standards f. ☐ ☐ ☐ ☐ g. To address resilience to climate change g. ☐ ☐ ☐ ☐

h. Please describe any other significant measures that are specified for improving, maintaining, and rehabilitating/replacing services (e.g. use of Water Safety Plans or asset management approaches)

UNIVERSAL ACCESS

A8. Universal access for disadvantaged groups: If there is a policy or plan for universal access, does it explicitly include measures to reach the following population groups?

Yes No

Briefly describe the measures including how disadvantaged groups are informed of their rights or of government actions (e.g. communication campaigns)

a. Poor populations a. ☐ ☐

b. Populations living in slums or informal settlements b. ☐ ☐

c. Remote or hard to reach areas c.

☐ ☐

d. Indigenous population d. ☐ ☐

e. Internally displaced e.

☐ ☐

f. Ethnic minorities f. ☐ ☐

g. People with disabilities g. ☐ ☐

h. Other disadvantaged groups: h.

☐ ☐

i. It is recognized that each respondent country may have a different definition of “disadvantaged” populations, using similar or different groupings as shown above. If such categories of population groups are used in policy, planning, or monitoring in the WASH sectors, please provide the country’s definition of disadvantaged populations or groups.



INSTITUTIONAL COORDINATION AA9. Institutional roles and responsibilities and lead agencies: Please list ministries/ national institutions with responsibilities

in WASH and indicate the level of responsibility in each sector. Please add lines or attach separate page if necessary.

(Please check all that apply)

Ministry or national institution

Level of responsibility in each sector:

Drinking-‐water Sanitation Hygiene

promotion

None Support Lead None Support Lead None Support Lead

☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐

☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐

Yes Developing No A10. Coordination between actors: Does a formal mechanism exist to coordinate the work of

different organisations with responsibilities for WASH (health, education, environment, public works, etc.) to coordinate activities?

☐ ☐ ☐

If yes to above, does the coordination process: (check all that apply) Yes No

a. Include all ministries and governmental agencies that directly or indirectly influence service delivery? a. ☐ ☐ b. Include non-‐governmental stakeholders (e.g. advocacy groups) ? b. ☐ ☐ c. Apply evidence-‐based decision-‐making, including consideration of agreed indicators (e.g. access,

WASH related diseases, WASH finance) c. ☐ ☐

d. Base its work on agreed sectoral framework2 or national plan d. ☐ ☐ e. Is the coordination process documented? e. ☐ ☐

f. If yes to above, how often does this body meet or formally interact?

2 For example the National WaSH Implementation Framework of the Government of Ethiopia http://cmpethiopia.files.wordpress.com/2011/11/full-‐wif.pdf



A11. Coordinating with non-‐government organizations: To what extent do NGOs coordinate with government institutions?

Number of NGOs implementing WASH

projects

Number of NGOs participating in central government-‐led sector coordination framework

(ref to A10)

Number of NGOs actively coordinating

work with local authorities in support of government-‐defined

priorities

Number of NGOs reporting results of monitoring back to

government institutions.

a. Sanitation a. b. Drinking-‐water supply b. c. Hygiene c.

COMMUNITY AND USER PARTICIPATION

A12. Participation procedures: Are there clearly defined procedures in laws or policies for participation by service users (e.g. households) and communities in planning programs and what is the level of participation?

(In this instance ‘participation’ means a mechanism by which individuals and communities can meaningfully contribute to decisions and directions about WASH planning).

Procedures defined in

law or policy Extent to which service users

participate in planning

Yes No Low Moderate High a. Urban sanitation a. ☐ ☐ ☐ ☐ ☐ b. Rural sanitation b. ☐ ☐ ☐ ☐ ☐

c. Urban drinking-‐water supply c. ☐ ☐ ☐ ☐ ☐ d. Rural drinking-‐water supply d. ☐ ☐ ☐ ☐ ☐

e. Hygiene promotion e. ☐ ☐ ☐ ☐ ☐



PUBLIC REPORTING/COMPLAINTS

A13. Public reporting/complaints: Do members of the public served by formal service providers have an effective mechanism to file complaints concerning the lack of, or unsatisfactory sanitation and drinking-‐water services?

(Please check one response in each row)

Effective complaint mechanisms exist for:

Few (less than

25% population served)

Some (between. 25-‐50%

population served)

Most (more than

50% population served)

Unknown

a. Urban sanitation a. ☐ ☐ ☐ ☐ b. Rural sanitation b. ☐ ☐ ☐ ☐ c. Urban drinking-‐water supply c. ☐ ☐ ☐ ☐ d. Rural drinking-‐water supply d. ☐ ☐ ☐ ☐

e. Please provide an example of an effective complaint mechanism (e.g. existence of complaint hotline, target response times, customer satisfaction with responses, etc.)

f. Please provide an example of a situation(s) where complaint mechanisms need to be improved.



Section B: Monitoring Responses to this section of the questionnaire will help to determine the level of monitoring activity performed by the government, as well as other stakeholders and how this information is used in the planning, development and evaluation of water and sanitation services. NATIONAL ASSESSMENT

B1. Latest National assessment (e.g. Joint Sector Review): When was the last national sanitation and drinking-‐water supply review or assessment conducted (month/year)?

No national

assessment Assessment

date (month/year)

Please attach a copy of the applicable report (or provide web-‐link)

a. Sanitation ☐

b. Drinking-‐water ☐

c. Hygiene promotion and/or practice ☐

B2. Impacts of sector review: Please give an example of a time when regular performance review or Joint Sector Review resulted in a substantial change to policy, strategy or programming.

a.

b. Please indicate whether you have received external technical assistance to support sector review:

c. Please indicate whether further assistance is needed:



USE OF MONITORING DATA

B4. Data availability for decision-‐making: Are data collected and used to inform decision making?

(Please check one response in each row) Health sector

Only limited data collected and

limited availability

Partial data available, but not generally used

Data available and analysed through a

management information

system and used for a minority of

decisions

Data available and analysed through a

management information

system and used for a majority of

decisions a. Identify public health priorities for

reducing WASH related diseases a.

☐ ☐ ☐ ☐ b. Response to WASH related disease

outbreak b.

☐ ☐ ☐ ☐ Sanitation

d. Policy and strategy d. ☐ ☐ ☐ ☐ e. Resource allocation e. ☐ ☐ ☐ ☐ Drinking-‐water f. Policy and strategy f. ☐ ☐ ☐ ☐ g. National standards g. ☐ ☐ ☐ ☐ h. Resource allocation h. ☐ ☐ ☐ ☐

3 Surveillance performed by service provider with verification by independent regulator, or performed directly by independent regulator

DRINKING WATER QUALITY SURVEILLANCE

B3. Independent monitoring and audits: Is independent surveillance3 of drinking water quality carried out and does it inform remedial action?

Testing of WQ against national standards Auditing against recommended

management procedures, with verification

Not done or insufficiently performed

Performed, but data not used

Performed and informs remedial action

Not done or insufficiently performed

Performed, but data not used

Performed and informs remedial action

a. Urban drinking-‐water quality a. ☐ ☐ ☐ ☐ ☐ ☐ b. Rural drinking-‐water quality b. ☐ ☐ ☐ ☐ ☐ ☐ c. Please describe the reasons for any insufficiencies, (e.g. low frequency of surveillance, lack of staff for follow-‐up action, etc.)



MONITORING OF DISADVANTAGED GROUPS

B5. Tracking progress among disadvantaged groups: Do monitoring systems track and report progress in extending the service provision specifically among the following population groups?

Sanitation Drinking-‐water

Hygiene promotion

Yes No Yes No Yes No

a. Poor populations (e.g. poorest quintile) a. ☐ ☐ ☐ ☐ ☐ ☐ b. Populations living in slums or informal settlements b. ☐ ☐ ☐ ☐ ☐ ☐ c. Remote or hard to reach areas c. ☐ ☐ ☐ ☐ ☐ ☐ d. Indigenous population d. ☐ ☐ ☐ ☐ ☐ ☐ e. Internally displaced or refugees e. ☐ ☐ ☐ ☐ ☐ ☐ f. Ethnic minorities f. ☐ ☐ ☐ ☐ ☐ ☐ g. People with disabilities g. ☐ ☐ ☐ ☐ ☐ ☐ h. Other disadvantaged groups:(please specify) h. ☐ ☐ ☐ ☐ ☐ ☐

i. If yes, please attach available public report (or web link)



PERFORMANCE INDICATORS

B6. Use of selected performance indicators to track progress: Are there clearly defined national standards or agreed upon performance indicators that are used in the following categories? (please select one applicable response in each row)

Please define main indicator(s) or if not monitored please indicate “none”.

Performance indicators are:

i) Sanitation

Being

developed or in progress

Agreed but not yet

implemented

Agreed and baseline data established

Agreed, tracked against

established baseline data

a.

Expenditure (e.g. ratio spent/allocated, proportion of budget released mid-‐term)

a. ☐ ☐ ☐ ☐

b. Service quality (e.g. treated effluent quality, frequency of emptying

septic, tanks response time to complaints) b.

☐ ☐ ☐ ☐

c. Equitable service coverage (e.g. % populations in different locations, and

different economic groups, with access) c.

☐ ☐ ☐ ☐

d. Cost effectiveness (e.g. cost for levels of service (latrines, networked

sewage system), O+M spent) d.

☐ ☐ ☐ ☐

e. Functionality of systems (e.g. working/non-‐working infrastructure, asset

management) e.

☐ ☐ ☐ ☐

f. Affordability (e.g. ability to pay by poorest 10%, % of household income

spent on user charges) f.

☐ ☐ ☐ ☐

g. Wastewater/septage reuse (e.g. % of septage reuse, levels of for various

uses) g.

☐ ☐ ☐ ☐

h. Institutional effectiveness (e.g. % of treated wastewater, technical staff

per connection, material certification schemes ) h.

☐ ☐ ☐ ☐

i. Cost-‐recovery (e.g. % service provider costs covered by internal revenue

versus external subsidies) i.

☐ ☐ ☐ ☐

Question B6 continued on following page -‐>



PERFORMANCE INDICATORS (CONTINUED)

B6. (continued from previous page)



ii) Drinking-‐water

Being developed

Agreed but not yet

implemented




a.

Expenditure (e.g. ratio spent/allocated, proportion of budget released mid-‐term)

a. ☐ ☐ ☐ ☐

b. Service quality (e.g. hours of service, min. pressures in piped water

systems, response time to complaints, quality of the water supply, seasonable variability in delivery)

b. ☐ ☐ ☐ ☐

c. Equitable service coverage (e.g. % populations in different locations, and

different economic groups, with access) c.

☐ ☐ ☐ ☐

d. Cost effectiveness (e.g. cost for levels of service (boreholes, networked

piped system etc..), O+M spent) d.

☐ ☐ ☐ ☐

e. Functionality of systems (e.g. working/non-‐working infrastructure, asset

management) e.

☐ ☐ ☐ ☐

f. Affordability (e.g. ability to pay by poorest 10%, % of household income

spent on user charges) f.

☐ ☐ ☐ ☐

g. Institutional effectiveness (e.g. non-‐revenue water, employees/1000

connections ) g.

☐ ☐ ☐ ☐

h. Cost-‐recovery (e.g. % service provider costs covered by internal revenue

versus external subsidies) h.

☐ ☐ ☐ ☐

Question B6 continued on following page -‐>



PERFORMANCE INDICATORS (CONTINUED)

B6. (continued from previous page)



iii) Hygiene promotion

Being developed

Agreed but not yet

implemented




a. Coverage of promotion programs

a.

☐ ☐ ☐ ☐

b. Cost effectiveness of programs (e.g. costs, hygiene knowledge, hygiene

practices) b.

☐ ☐ ☐ ☐

iv) Monitored indicators: If the following indicators are measured, please indicate approximate value(s):

a. Please estimate the national percentage of urban wastewater that is treated4? (through a centralized or decentralized system? a.

b. Average nonrevenue water (NRW) for the three largest water suppliers b.

c. Please highlight additional specific examples of indicators or performance indicator system(s) that are used:

3 In this instance, ‘treated’ means the use of physical, biological, or chemical treatment processes that reduce the impacts of wastewater flows to human health and the environment.



COMMUNICATION OF MONITORING RESULTS

B8. Dissemination of data: Is the performance (e.g. quality of service) of the formal service providers made public and are the results of customer satisfaction information made public? (please check all that apply)

Performance review made public? Customer satisfaction review made

public?

Sanitation

Few

(less than 25% of

providers

Some (between 25-‐75% of providers

Most (more than 75% of

providers

Few (less than 25% of

providers

Some (between 25-‐75% of providers

Most (more than 75% of

providers a. Urban sanitation a. ☐ ☐ ☐ ☐ ☐ ☐ b. Rural sanitation b. ☐ ☐ ☐ ☐ ☐ ☐

Drinking-‐water

c. Urban drinking water supply c. ☐ ☐ ☐ ☐ ☐ ☐ d. Rural drinking-‐water supply d. ☐ ☐ ☐ ☐ ☐ ☐

MONITORING OF SERVICE PROVIDERS

B7. Service providers: Do service providers report the results of their internal monitoring against required service standards to the regulatory authority and does internal monitoring trigger timely corrective action?

(Please check the response that applies for the majority of providers in each service provider type and sub-‐sector)

Internal monitoring for sanitation Internal monitoring for drinking-‐

water

Not reported

Reported but does not lead to corrective action

Reported and triggers corrective action

Not reported

Reported but does not lead to corrective action

Reported and

triggers corrective action

a. Urban formal service providers (e.g. government utilities, private sector utilities)

a. ☐ ☐ ☐ ☐ ☐ ☐

b. Rural formal service providers (e.g. government utilities, private sector utilities)

b. ☐ ☐ ☐ ☐ ☐ ☐

c. Community-‐based (owned or operated) service providers

c. ☐ ☐ ☐ ☐ ☐ ☐

d. Informal service providers (e.g. informal private operators, NGOs)

d. ☐ ☐ ☐ ☐ ☐ ☐

e. Please describe other mechanisms to report and regulate based on monitoring:



Section C: Human Resources (HR) This section examines the human resources capacity for delivering drinking-‐water and sanitation services (including hygiene promotion) and the degree to which this human resource capacity is being developed to meet current and future needs. HUMAN RESOURCES STRATEGY

NOTE: For the purpose of this question a strategy is defined as a sector-‐wide plan either standing alone or included within a broader strategy. This question is not examining the human resource plans of individual organisations.

Please check all columns that apply. C1. a. HR strategy existence: Does an overall HR strategy

exist to develop and manage human resources in sanitation and drinking-‐water?

Sanitation

Drinking-‐water

Hygiene

Urban Rural Urban Rural Urban Rural Yes ☐ ☐ ☐ ☐ ☐ ☐ Under development ☐ ☐ ☐ ☐ ☐ ☐ No (If no please proceed to C2) ☐ ☐ ☐ ☐ ☐ ☐ b. HR strategy identifies needs: If an HR strategy exists

or is under development, has an HR gap5 been identified?

Sanitation Drinking-‐water Hygiene

Urban Rural Urban Rural Urban Rural

Public sector ☐ ☐ ☐ ☐ ☐ ☐ Private sector ☐ ☐ ☐ ☐ ☐ ☐ NGOs ☐ ☐ ☐ ☐ ☐ ☐ Community-‐based (e.g. CBOs) ☐ ☐ ☐ ☐ ☐ ☐ Other ☐ ☐ ☐ ☐ ☐ ☐

If other, please describe in what area this other HR gap has been identified.

c. HR strategy outlines actions to fill needs: If an HR

strategy exists or is under development, does it outline actions to fill identified gaps in HR?


Urban Rural Urban Rural Urban Rural Yes, a plan exists to fill all HR gaps ☐ ☐ ☐ ☐ ☐ ☐ Yes, but does not fill all HR gaps identified ☐ ☐ ☐ ☐ ☐ ☐ A plan is under development ☐ ☐ ☐ ☐ ☐ ☐

If yes, please describe actions to fill these gaps.

Question C1 continued on following page -‐>

5 A gap may be either shortage in the number of skilled personnel, or a deficiency in the competencies of available personnel



C1. (Continued from previous page) d. HR strategy review: How often is/ (will) the human

resources strategy (be) reviewed? Sanitation Drinking-‐water Hygiene

Urban Rural Urban Rural Urban Rural At least every 2 years ☐ ☐ ☐ ☐ ☐ ☐ Every 2-‐5 years ☐ ☐ ☐ ☐ ☐ ☐ More than 5 years in-‐between reviews ☐ ☐ ☐ ☐ ☐ ☐ Unknown ☐ ☐ ☐ ☐ ☐ ☐ Date of last HR strategy review (month/year)

e. Please attach a copy or provide a reference/link to the government strategy on human resources for WASH :

CAUSES OF HUMAN RESOURCE GAPS / SHORTAGES

C2. Constraints to WASH human resources: To what extent do the following factors constrain WASH human resources capacity? Enter score in appropriate box according to the following scale:

• 3 -‐ Severe constraint to WASH human resources • 2 -‐ Moderate constraint to WASH human resources • 1 -‐ Low or no constraint to WASH human resources

Constraint on HR capacity for: (3-‐strong, 2-‐moderate, 1-‐low or no)


a. Financial resources available for staff (salaries and benefits, including pensions etc.) a.

b. Insufficient education/training organisations or courses to meet demand by potential students b.

c. Lack of skilled graduates from training & education institutes c.

d. Preference by skilled graduates to work in other (non-‐WASH) sectors (e.g. Mining, Transport, Construction) within the country d.

e. Emigration (temporary or permanent) of skilled workers to work abroad e.

f. Skilled workers do not want to live and work in rural areas of the country f.

g. Recruitment practices g.

h. Other (please specify): h.

i. Please provide explanatory detail (i.e. causes, impacts, and barriers to addressing) or if different responses exist for the

impact of the above issues (a-‐h) on rural and urban WASH human resources, please indicate here on the most limiting factor affecting HR capacity, if appropriate.



IMPACTS OF HUMAN RESOURCE SHORTAGES

C3. Is HR limiting achievement of WASH services?: What are the three (3) tasks that would most benefit from increased human resource capacity? (Please select top three only for each sanitation, drinking-‐water and hygiene)

Task requiring human resources

Sanitation Drinking-‐

water Hygiene

a. Policy development a. ☐ ☐ ☐ b. Institutional coordination b. ☐ ☐ ☐ c. National and local/provincial WASH Planning c. ☐ ☐ ☐ d. Construction of facilities d. ☐ ☐ ☐ e. Operation and maintenance (O&M) e. ☐ ☐ ☐ f. Community mobilisation f. ☐ ☐ ☐ g. Financial planning and expenditure g. ☐ ☐ ☐ h. Enforcement of regulations h. ☐ ☐ ☐ i. Health promotion i. ☐ ☐ ☐ j. Monitoring and evaluation j. ☐ ☐ ☐ k. Other k. ☐ ☐ ☐ l. Please provide additional information on HR limiting achievement of WASH services (including any important differences

between rural and urban settings)



Section D: Financing This section examines the distribution in countries of WASH funds and mechanisms to allocate, spend, and track financial flows. FINANCING PLAN

D1. Existence of financing plan/budget: Has the government defined a financing plan/budget for the WASH sector, clearly assessing the available sources of finance and strategies for financing future needs (i.e. who should pay for what), that is published and agreed? (please select one applicable response in each row)

No agreed financing

plan/budget

Financing plan/budget in development

Financing plan/budget agreed, but insufficiently implemented

Financing plan/ budget is agreed and

used for some decisions

Financing plan/budget is agreed and consistently followed

a. Urban sanitation a. ☐ ☐ ☐ ☐ ☐ b. Rural sanitation b. ☐ ☐ ☐ ☐ ☐ c. Urban drinking-‐water supply c. ☐ ☐ ☐ ☐ ☐ d. Rural drinking-‐water supply d. ☐ ☐ ☐ ☐ ☐ e. Hygiene e. ☐ ☐ ☐ ☐ ☐ f. Please attach a copy of the financial plan or provide a web link.

FINANCING PLAN/BUDGET FOR WASH

D2. Government budget specific to WASH

a. Please list ministries/ national institutions with responsibilities in WASH and budget (ministries as listed in A9). Please add lines or attach separate page if necessary.

Ministry/ National institution

If data disaggregated please indicate annual budget Disaggregated data is not available.

No data is available

Drinking-‐water Sanitation

Hygiene promotion

Urban Rural Urban Rural Urban Rural

☐ ☐

☐ ☐

☐ ☐

☐ ☐

☐ ☐

☐ ☐

b. Please indicate the time period (e.g. financial year) for budget indicated: c. Please indicate currency/units for budget stated above:

Question D2 continued on following page -‐>



D2. (Continued from previous page) d. If unable to respond to budget information in format requested above please provide annual WASH budget

indicating what sub-‐sectors e.g. Drinking-‐Water or Sanitation are covered by ministries

e. If annual budget information is not available please explain why.

FINANCIAL DATA AND INFORMATION SYSTEMS

D3. Financial reporting: Are expenditures reports available that allow actual spending on WASH to be compared with committed funding

Expenditure reports not available

Expenditure reports available and include actual vs. committed for the following (please check all that apply)

External funding Government expenditure

ODA Non ODA a. Urban sanitation a. ☐ ☐ ☐ ☐ b. Rural sanitation b. ☐ ☐ ☐ ☐ c. Urban drinking-‐water supply c. ☐ ☐ ☐ ☐ d. Rural drinking-‐water supply d. ☐ ☐ ☐ ☐ e. Hygiene e. ☐ ☐ ☐ ☐

f. If disaggregated reports on actual spending are not available please describe what is available



D4. Cost recovery strategies: If a financing plan/budget is in place, does it define if operating and basic maintenance is to be covered by tariffs or household contributions? (please check one response in each row)

Operating and basic maintenance (O&M) to be covered via tariffs6

No finance plan Covers less than 80% of costs

Covers over 80% of costs

a. Urban sanitation a. ☐ ☐ ☐ b. Rural sanitation b. ☐ ☐ ☐ c. Urban drinking-‐water supply c. ☐ ☐ ☐ d. Rural drinking-‐water supply d. ☐ ☐ ☐ e. If costs are not fully recovered via tariffs, is the gap covered and how? Please attach relevant provisions, provide a link

or give details (including target recovery % )

f. Do you have a tracking mechanism for cost recovery, if so please describe.

6 Tariffs are payments made by users to service providers for getting access to and for using the service



FINANCING FOR DISADVANTAGED GROUPS

D5. Equity: Are there specific measures in the financing plan to target resources to reduce inequities in access and levels of service and are they being applied for the following?

(please select one column for sanitation and one column for drinking-‐water supply )

Specific measures for Sanitation

Specific measures for drinking-‐water supply

No

Yes, but measures are not applied

consistently

Yes, and measures are applied

No

Yes, but measures are not applied

consistently

Yes, and measures are applied

i. Disparity between urban and rural i. ☐ ☐ ☐ ☐ ☐ ☐ ii. Disparity between formal urban, peri-‐urban

and slums ii. ☐ ☐ ☐ ☐ ☐ ☐

iii. Disparity between rich and poor iii. ☐ ☐ ☐ ☐ ☐ ☐ iv. Other disparities iv. � � ☐ � � ☐

(If other disparities are targeted, please describe. Refer to list of disadvantaged groups in question A8)

v. For each listed above, and where applicable, please describe the measure taken to reduce inequities in access and levels of

service, and provide a reference and/or link to the relevant section of the finance plan :



UTILIZATION OF AVAILABLE FUNDS (ABSORPTION)

D7. Absorption of external funds: What is the percentage of official donor capital commitments for WASH utilized (three-‐year average)?

Less than 50% 50-‐75% Over 75%

a. Urban sanitation a. ☐ ☐ ☐ b. Rural sanitation b. ☐ ☐ ☐ c. Urban drinking-‐water supply c. ☐ ☐ ☐ d. Rural drinking-‐water supply d. ☐ ☐ ☐

e. If donor capital commitments were under-‐utilized, what is/was the greatest problem in using these funds?

D8. Domestic absorption: What is the estimated percentage of domestic commitments utilized (three year average)?

Less than 50% 50-‐75% Over 75%


e. If applicable, were the following problematic in terms of spending the allocated funds: a) funding release

procedures are too lengthy, or; b) timeframe to spend the budget is too short. Please provide a brief explanation of these or other types of bottlenecks, if they exist.

D6. Affordability: Are there financial schemes to make access to WASH more affordable for disadvantaged groups? (These include for example voucher schemes, fee exemption schemes, block tariffs etc.)

No schemes exist Affordability

schemes exist, but are not widely used

Affordability schemes exist and are widely used

a. Sanitation a. ☐ ☐ ☐ b. Drinking-‐water supply b. ☐ ☐ ☐ c. Please provide examples of affordability schemes in use and the scope of coverage for these schemes.



7 Targeted budget support involves the transfer of funds to the National Treasury as ex-‐post “financing” of specific expenditures within the budget or of specific budget lines for the sector. Basket funding can be assimilated to this category. 8 General budget support is a transfer to the National Treasury in support of a national development or reform policy and strategy that may provide in the form of a Good Governance with specific indicators for the sector.

EXTERNAL FINANCING

D9. Donor funding: Is there a coordination mechanism between bi-‐lateral/multi-‐lateral donors and government and how are the donor funds channelled to the sector? (Please indicate number of donors for each category)

Total number of donors involved

Number of donors allocating funding through a signed agreement responsive to government

defined priorities

Funding channels -‐number of donors using the following channels to fund the country WASH sector

Direct funding to sector not

through national budget

Targeted budget

support for the

sector(Basket funding)7

General budget support with

specific objectives or performance

indicators for the sector8

a. Sanitation a. b. Drinking-‐water supply b. c. Hygiene c.

d. Please provide information on difficulties encountered in the coordination and channelling of the external funding

SUFFICIENCY OF FINANCING

D10. Sufficient finance to meet targets: Going forward, do you estimate that financing allocated to water/sanitation/hygiene improvements are sufficient to meet MDG targets?

Less than 50% of needs

Between 50 to 75% of what is

needed

More than 75% of what is needed




FINANCIAL FLOWS

D11. Financial flows for sanitation, drinking-‐water, and hygiene promotion: This table aims to capture all financial flows in to the WASH sector, and where the money is spent. The sources of financial flows are based on three broad categories: Tariffs, Taxes and Transfers (3Ts), which we have classified under household, government and external sources of financing. The table should capture the sources of data, but also highlight any reporting gaps (i.e. data that was not readily available). For example you may be aware of expenditures for which data is not available. Information on these data gaps is essential. Please indicate in the relevant box where data sources may be missing, and provide a brief explanation of the nature and scope of this gap. Please complete as many boxes as possible.

Country: Currency / units (e.g. USD millions): Financial Year (2010, 2011 or 2012) Contact Person: Contact Email:

Expenditure

Water Sanitation Hygiene General, unallocated Sources, and

data gaps

Source of financing Total Total Urban Rural Total Urban Rural Total Urban Rural Total Urban Rural (additional space

provided next page)

1. Households

- Tariffs for services provided

- Households’ out-of-pocket

expenditure for self-supply

2. Government or public authority

- Central level

- State / provincial level

- Local level

3. External sources

- International public transfers (ODA)

- Voluntary transfers (NGOs and foundations)

4 Total financing sources

5. Percentage of total WASH financing 100% % % % %

Repayable financing (inflows)

Question D11 continued on following page -‐>

D11. Continued from previous page.

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