Ref Number: C01647 STAGE 1 REPORT (FINAL)
SULULTA MUNICIPAL SCOPING STUDY, INTEGRATED 30 April 2018 URBAN WASH PROJECT
This document International Federation of Red Cross and Red Crescent Societies has been (IFRC) prepared for: P.O.Box 303, CH-1211 Geneve 19, Switzerland
By: Fleet House, 8-12 New Bridge Street, London, EC4V 6AL 44 (0)20 7822 1867 / www.wsup.com/advisory
Richard Wilson Main contact regarding this Associate, WSUP Advisory document: Fleet House, 8-12 New Bridge Street, London EC4V 6AL 44 (0)20 7822 8675, [email protected]
Revision Comments Date Approved by 0 Issued as “Initial Report” to IFRC for 5.1.18 Tim Hayward comment 1 Issued as Initial Report to Nestle and ERCS 16.1.18 incorporating IFRC comments and with addition of executive Summary 2 Draft Final Report to IFRC, ERCS and 5.3.18 Nestle for comment 3 Final Stage 1 Report 30.4.18 Tim Hayward 4 5
Front Cover Image: Spring source, Sululta Credit: Richard Wilson, WSUP Advisory 2017
CONTENTS
EXECUTIVE SUMMARY 6
ACRONYMS 16
1 INTRODUCTION 18 1.1 Background 18 1.2 Purpose and layout of this document 18
2 STRATEGY DEVELOPMENT 21 2.1 Introduction 21 2.2 Development of the strategy 21 2.3 Timeline for activities and associated risks 26
3 PROPOSED SULULTA WASH STRATEGY 28
4 MEETING THE DESIRED OUTCOMES 44
5 SYNERGY WITH OTHER REPORTS AND STUDIES 52
6 ALIGNMENT WITH THE ONE WASH NATIONAL PROGRAMME AND GTPII COMPLIANCE 68
7 GLOBAL PROGRAMMES FOR WATER AND SANITATION 76
ANNEXES 78
ANNEX 1: PHOTOGRAPHS OF SOME OF THE ENVIRONMENTAL AND HYGIENE CHALLENGES 79
ANNEX 2: INFORMATION REQUESTS NOV AND DEC 2017 82
ANNEX 3: 5-YEAR GROWTH AND TRANSFORMATION PLAN II 2015-2020 (GTPII, EXTRACTS) 85
ANNEX 4: PRINCIPLES OF SUSTAINABILITY MASTER PLANNING AND FEASIBILITY STUDIES 94 1 Introduction 94 2 Socio-economic analysis 95 3 Cross-cutting factors 95 4 Appropriate and affordable technology 97 5 Economies of scale, sharing and delegation 98 6 Formative Research 98 7 Financial analysis 99 8 Tariff structures and phasing 100 9 Technical assistance 100
ANNEX 5: GENERAL WASH SECTOR CHANGE GUIDANCE 102
1 Economy of Scale 102 2 Delegation 102
ANNEX 6: PROMOTION AND ADVOCACY 104 1 Introduction 104 2 High Level Advocacy 104 3 Local Level Promotion and Advocacy (involving UHEP professionals and others) 104 4 Promotion of Service Delivery 107
ANNEX 7: TECHNICAL AND OPERATIONAL DEVELOPMENT 109 1 Introduction 109 2 Manually operated systems 109 3 Centralized treatment 109 4 Decentralized treatment 110 5 Business models 110 6 Sharing of good/best practice 111
ANNEX 8: SERVICE DELIVERY 112 1 Introduction 112 2 Solid Waste Management 112 3 Hazardous Waste Management 114 4 Faecal Sludge Management 114 5 Liquid Waste Management 115 6 Institutional sanitation (schools, offices, health facilities) 116 7 Capacity Building 116 8 Informal Sector 117 9 Private Sector 117 10 Community Based Enterprises 118
ANNEX 9: REGULATION AND ENFORCEMENT 119
ANNEX 10: FINANCE 120 1 GTPII 120 2 Sanitation levy fund 120 3 Micro-finance 120 4 Subsidies and cross subsidies 120
ANNEX 11: IUSHSAP ANNEX 4.2: FSM IN LUSAKA 121
ANNEX12: SULULTA BRIEF VISIT RECORD; RICHARD WILSON WSUPA OCT/NOV 2017 128
ANNEX 13: NOTES ON EXISTING WATER SYSTEM AND PROPOSED WORKS RW 15.11.17 131
ANNEX 14: ACTORS/STAKEHOLDERS OBJECTIVES AND NETWORKS IN UPPER SULULTA WATERSHED: THE CASE OF PUBLIC INSTITUTIONS AND PRIVATE BUSINESS 146
ANNEX 15: AGENDA, ATTENDANCE LIST AND NOTES FROM WORKSHOP 20 TO 21 FEBRUARY 2018 149
ANNEX 16: WSUPA SLIDE PRESENTATIONS FROM WORKSHOP 20 TO 21 FEBRUARY 2018 156
EXECUTIVE SUMMARY
Sululta is a fast growing urban and peri-urban area to the north of Addis Ababa that is expected to continue to rapidly increase in population over the coming decades. There are significant challenges to meeting the present and future WASH needs for the general population and the administrative, industrial, commercial, educational and recreational sectors in a sustainable manner. The results of this scoping study, which was funded by IFRC, are that, in order to align with Government of Ethiopia’s ambitious policies and strategies, as well as to meet the aspirations and expectations of Sululta residents, an innovative approach will be required in the sub- sectors of water supply, sanitation and solid wastes management. In addition, in order to meet environmental and health targets, the approach needs to take into account integrated water resources management, including urban planning, agriculture, industry and commerce1. The study identifies a high level WASH Strategy for Sululta and this report contains guidelines on how to implement the strategy over the coming years. The overarching objective of the Sululta WASH Strategy is to create an “enabling environment” to provide, and also to promote and ensure take up of, sustainable and equitable water and sanitation services. This is illustrated in the following diagram:
It should be emphasized that one or more public (or private) utilities, that are based on sound business principles, will have to exist to provide sustainable water and sanitation services.
1 Sululta is fortunate in this respect to have already embarked on the development (and eventual implementation) of an Integrated Landscape/Watershed Management Plan for Upper Sululta Watershed Page 6 of 160
This may involve significant sector changes that are considered essential both in order to achieve targets set out in the country’s Growth and Transformation Plan, but also to provide financially and environmentally sustainable and acceptable WASH services to the residents of Sululta, as well as to the commercial and institutional2 bodies that support them. The consultant study has identified the need for the Sululta WASH Strategy to be: ➢ Led by the Government of Ethiopia Growth and Transformation Plan 2015-2020 ➢ Facilitated by means of an “Enabling Environment” ➢ Covering Water Supply, Sanitation and Solid Waste ➢ Implemented by regional and local government bureaus in collaboration with private enterprise and academia. To ensure success it is necessary to get “buy-in” and commitment to the proposed strategy and there are significant actions that need to be initiated, and then undertaken, by stakeholders. The initial approach to getting “buy-in” and commitment was to hold a key stakeholder workshop (20/21 February 2018). It is now apparent that the responsibility for promotion, fund leverage and implementation of the strategy falls across five different levels of stakeholder: ➢ Local government bureaus – led by the Mayor of Sululta; involving at least the water, planning, health, economic development, and education offices; but importantly also involving full representation of the community including all ethnic, gender, youth and disadvantaged groups. Sululta Mayor’s office, as leader of local sector offices and representative of beneficiaries, to champion change at political and local levels ➢ Regional government bureaus – initially led by the Oromia Water Bureau but also involving all relevant sectors, in due course - Health, Education, Environment, Urban, Economic, Agriculture, Tourism, Industry, Labour, etc. The role of the Oromia Regional Water Bureau, which has carried out detail design for a new water supply system to currently unserved urban areas of Sululta, should be extended: o to perform sustainability studies on existing and proposed water systems as part of their design review process, taking into account the multi-sector approach detailed in this strategy3 o to undertake hydrogeological and hydrological investigation and long-term monitoring4 (with possible involvement of private sector which has interest in water resource protection and sustainable development) o to incorporate the resulting sustainable design and operational business plan for Sululta into funding bids, either through the Water Resources Development Fund or through other channels, promoting the proposals as a “sustainability demonstration project” for eventual scale up within the region and nationally
2 Schools, education, government offices, etc. 3 In order to achieve WASH sustainability and multi-sector synergy, it will be necessary for the current detail designs for water supply extensions (upper, southern, urban area) to be revisited to take into account (i) the existing system, (ii) the principles of sustainability master planning and feasibility studies and also (iii) taking into account the new physical plans to be embodied in the Integrated Landscape/Watershed Management Plan 4 This has been proposed by specialist consultants engaged by Nestlé which, along with other commercial abstractors, needs to be fully informed about the water sources. It will also benefit reliable and sustainable abstraction of public water supplies and provide a more scientific basis on which to grant water abstraction licenses Page 7 of 160
➢ Water and Land Resources Centre at Addis Ababa University, which is already undertaking an Integrated Landscape/Watershed Management Plan5 (ILMP/IWMP). o Since this organisation is engaged long term and works through high level stakeholder coordination approach, it is also in a good position to promote the Sululta WASH Strategy, which is entirely in synergy with the proposed ILMP/IWMP o Sululta WASH Strategy may be regarded either as complimentary to or as a sub- component of the ILMP/IWMP ➢ Ethiopia Red Cross Society as influential advocates to federal and regional governments, CSOs and private sector for equitable WASH services and agent of IFRC. ERCS has greatly assisted WSUP Advisory in the field and has also undertaken to obtain what data may be available on the existing public water system and its management, as well as organising the workshop and coordinating stakeholders ➢ Private sector – initially led by Nestlé but also involving all industrial and commercial interests in Sululta, in due course. Nestlé, which has a vested interest in protection of water sources and in maintaining good relationship with local authorities and local communities, to continue with its strategic sponsorship: o Additionally, with its worldwide “water stewardship” approach and its policy to “support local solutions”, is in a clear position to take a leading role in local private sector participation, possibly leading to PPP (public private partnership) initiatives in delivery of water, sanitation and solid waste services Tables under Section 3 of the report provide in detail the roles and responsibilities needed to initiate and successfully implement the proposed Sululta WASH Strategy, organized under three headings: 1. Potable water supply for domestic, institutional and also commercial/industrial6 needs 2. Faecal sludge management (FSM) both decentralised7 and on-site human faecal waste disposal 3. Solid waste (non-hazardous) management (SWM) Other sections of the report show how the proposed Sululta WASH Strategy: ➢ meets the desired outcomes (as set out in the ToR) ➢ synergizes with other reports and studies ➢ aligns with the Ethiopia One WASH National Programme (OWNP) and the government’s latest Growth and Transformation Plan ➢ aligns with sustainability development goal SDG6 but also addresses other relevant SDGs Annexes are attached which: • provide extensive guidance on WASH master planning and feasibility studies that are financially, socially and environmentally sustainable • provide further guidance on:
5 There is an existing physical plan in use that was developed quite recently, so there may be some effort and advocacy required to get the ILMP/WMP adopted as complimentary to or as a replacement for this plan. 6 Commerce and industries may use a mixture of public and own private water supplies 7 This may be for instance decentralised treatment systems serving housing developments, commercial and sports facilities, schools and health facilities, etc. Page 8 of 160
o WASH sector reform processes o promotion and advocacy o technical and operational development o service delivery o finance • detail the discussions help during the workshop, issues raised and proposed next actions The following table summarises this report in terms of; • Where are we now? • How will the strategy improve the current situation? • What are the expected impacts?
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Strategy proposals to address the baseline situation and expected outcomes Sector Baseline Strategy proposal Expected impacts Urban Although the planning management Water system that meets customer needs has to be Full planning enforcement such that the planning committee is headed by the Mayor and the based on an enforced physical plan and knowledge water system can be designed to extend to all (multi- Construction Unit issues permits to build, of population increase, spatial development, customers. sector) and legal powers exist and Kebele groups expected service levels for high/low income,
are tasked to monitor development, still industry, commerce, institutional, etc. much development is uncontrolled.
Ground and Borehole licensing currently not based on Increase knowledge of hydrology and Licensed and monitored public and private surface water hydrogeology. hydrogeology. groundwater and surface water abstractions. protection Regional water bureau gives permission so Nestle to carry out or promote: Licensed and monitored industrial and (multi- long as borehole is sited 500m from any commercial environmental waste discharges sector) ➢ Hydrogeological investigations, set up other borehole. EPA also independently (liquid, solid and gas). monitoring procedures and data base, train issues licenses. permanent staff and oversee for 5-year initial Monitored and controlled dispersed There is a technical skill gap to undertake period: pollution sources. comprehensive regulation on solid and • As part of the WLRC work Transition from existing physical plan to liquid wastes being disposed from Integrated landscape/ Watershed institutions and industries. • Co-sponsored by other water using Management Plan to protect water local industries Almost all industries have no standard resources. waste disposal mechanisms. • Fully coordinated with Oromia Water
Bureau
➢ Set up public-private-partnership arrangement with local authorities to establish regulatory mechanisms to investigate and restrict existing
abstractions and to license new abstractions; based on data generated through item above • Fully coordinated with Oromia Water Bureau and Regional EPA ➢ Coordinate and meet with other private companies, particularly ones that rely on
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Sector Baseline Strategy proposal Expected impacts water as part of their economic activity, to emphasize the needs for (technical, environmental, financial and social) sustainable water, sanitation and solid waste services ➢ Emphasize win-win commercial, social, political benefits ➢ Provide expertise and advise on possible public-private-partnership service delivery models Regional bureaus and Sululta municipal offices to: ➢ Fully apply “polluter pays” principle and reduce government subsidies for industrial clean-up. ➢ Introduce abstraction and discharge licensing and monitoring. ➢ Introduce and actively promote FSM service to regularly desludge septic tanks and pit latrines ➢ Monitor and penalize properties with overflowing tanks or pits. (to reduce groundwater pollution and negative health impact). ➢ Support the Landscape and Watershed Management Plan. Water supply Water supply gap still needs to be Oromia Water Bureau (and its consultants) to: Service provision based on sustainable quantified. business models providing good level of ➢ Get full physical and operational details of service that consumers support and are able Due to a high rate of population increase existing (lower northern) system through and willing to pay for; to cover all operation, there is a big gap between water demand in enquiry and direct survey maintenance and replacement fund costs. the municipality and the water supply. ➢ Well drilling (>400m) to prove available
resources Page 11 of 160
Sector Baseline Strategy proposal Expected impacts Primary income is from collection of user ➢ Carry out feasibility level design review of fees at household level from metered proposed water system taking into account: connections. Fees are used to maintain the available water resources; IWMP/existing system. The supply is rationed to different physical plan; sustainability principles zones of the supply area. (technical, financial, social, environmental) based on guidelines included in Strategy report 6 deep wells functioning at various and annexes. production levels. ➢ Design a comprehensive system considering The production capacities of the deep wells the existing and future expansion areas in the are not fully exploited: master plan of the municipality. The existing boreholes are not producing ➢ Rehabilitation of existing wells. to their maximum capacities since some of them have not been rehabilitated and some ➢ Reform and strengthen public operator to work of them are not installed with the proper under a performance contract; to provide capacity of pumps to fully discharge the required service levels but able to set charges capacities of the boreholes. based on approved business plans and competitive working conditions. Challenges include pump failure (pumps operate for up to 22 hours) and intermittent ➢ Consider letting performance contract to power supply. private operation. Unexpected population settlement in some pocket areas of the municipality. Fecal sludge No sewerage system. Oromia Water Bureau and Nestle to: Service provision providing good level of management service that consumers support and are able HHs are connected to septic tanks or pit • Conceptualize and promote wastewater and (FSM): and willing to pay for; Volume charges to latrines. fecal sludge plans to the municipality. cover all primary labour intensive No locally based liquid/fecal waste • Contact CSOs which specialize in FSM (and evacuation and transport systems. disposal services. SWM) to elaborate designs and business plan. Treatment (for reuse) and disposal to be Private sector is used from Addis Ababa. • Speak at regular regional and national utility subsidized from municipal income and cross coordination/ “sharing of good practice” subsidy from water and electricity sales. meetings
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Sector Baseline Strategy proposal Expected impacts Municipality to introduce: • Service provision based on sustainability and business planning. • Performance Agreement between municipality and community or private operators. Solid waste Collection skip areas poorly maintained. • Service provision based on sustainability and Service provision providing good level of (non- service that consumers support and are able No mechanized equipment or trucks. business planning. hazardous) and willing to pay for; weight charges to management Final disposal points are open dumps with • Performance Agreement between municipality cover all primary labour/donkey intensive (SWM) little or no management. and community or private operators (possibly collection systems. combined with FSM management). Secondary mechanized (if needed) transport, • Introduce managed and protected disposal treatment (for reuse) and disposal to be sites. subsidized from municipal income and cross • Introduce separation of wastes at source and subsidy from water and electricity sales. maximize economic 3Rs potential. Institutional There are 39 schools – private and public Full WASH packages to be installed in schools and Improved facilities in schools and health WASH owned. health facilities with reliable water connection. facilities. Supply of water to schools is erratic. Include MHM facilities in secondary schools. Increased health and knowledge of school staff and student, patients and medical staff 6 schools have piped system but no water Promotional activities in schools and health centres and office staff. flow and health posts to increase awareness of WASH issues and to create demand for good services. Positive impact on the wider community. Pit latrines are dominant. Additionally, government offices should install Increased school attendance. One school has a septic tank connected to and maintain exemplary WASH facilities as a very the latrine facilities. Respect for education and health services effective way to promote, and initiate demand for, provided by local government. There are no private water distribution better services. tankers which could be used to fill up water Local political “champion” working with local reservoirs in schools to promote practices health and education offices and supported by such as handwashing (needs further regional health and education bureaus. probing). Page 13 of 160
Sector Baseline Strategy proposal Expected impacts Some schools have water supply, some have the pipe system but no water and most have no water supply system at all. Even though schools have some latrines, they are not up to standard and training on environmental sanitation is also a problem which has led to open defecation in school compounds. Even though some trainings on personal hygiene are given, since there is no water supply, taking care of personal hygiene without water supply becomes a problem. No schools have “full package WASH” All Promotional and advocacy activities and roles: a. Awareness by government and utility managers and employees of the public health necessity and commercial imperative of financially, socially and environmentally sustainable service delivery b. Awareness by government and utility managers and employees, as well as the private sector managers and employees, of the necessity to comply with waste discharge regulations and water abstraction consents c. Capacity development of both public and private sector managers and employees in WASH service delivery d. Empowerment of consumers, particularly women as the prime beneficiaries on behalf of families, to demand (and pay for) services e. Motivating and capacitating private residents, commercial enterprises and institutions to take the initiative to take care of “no-mans-land” urban areas (these are areas where residents, commerce, local authorities do not take responsibility and become general dumping ground) f. Enrolment of informal sector workers and formation into SMEs to benefit WASH service delivery and environmental protection g. Enrolment of minority and vulnerable groups into SMEs to benefit WASH service delivery and environmental protection h. Household water, sanitation and hygiene behaviour change; This is listed last, not because it is unimportant but in order to emphasize the importance of other aspects of advocacy, that may not be generally recognised under the BCC heading. i. Nestle to promote Sululta WASH Strategy as part of its Water Stewardship
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This Stage 1 Report, and also the output actions from the February 2018 workshop (Annex 16 and separate ppt entitled “WSUP presentation Sululta amended 1.3.18”) can now be used by the five main stakeholders (Sululta Mayor’s office plus local government departments, Oromia Regional Water Bureau, Water and Land Resources Centre, Ethiopia Red Cross Society and Nestlé) for further discussion and agreement, and to ensure successful implementation of the Sululta WASH Strategy.
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ACRONYMS
AAWSSA Addis Ababa Water Supply and Sewerage Authority AWD Acute Watery Diarrhoea (Cholera) BCC Behaviour Change Communication CSO Civil Society Organisation CWA Consolidated WASH Account (OWNP) DEWWATS Decentralized Waste Water Treatment System DP Development Partner EPA Environmental Protection Agency (under MoEFCC) ERCS Ethiopia Red Cross Society ESIA Environmental and Social Impact Assessment FGD Focus Group Discussion FS Feasibility Study FSM Faecal Sludge Management GTPII Growth and Transformation Plan 2015-2020 IFRC International Federation for Red Cross and Red Crescent ILMP Integrated Landscape Management Plan/ IWMP Integrated Watershed Management Plan IUSHS&SAP Integrated Urban Sanitation and Hygiene Strategy and Strategy Action Plan IWRM Integrated Water Resources Management M&E Monitoring and Evaluation MDG Millennium Development Goal MoE Ministry of Education MoEFCC Ministry of Environment, Forestry and Climate Change MoH Ministry of Health MoHUDC Ministry of Housing Urban Development and Construction MoWIE Ministry of Water Irrigation and Electricity OWNP One WASH National Programme PPP Public Private Partnership R&D Research and Development SDG Sustainability Development Goal SME Small and Medium Enterprise SWM Solid Waste (non-hazardous) Management ToR Terms of Reference UHEP Urban Health Extension Program
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WASH Water Sanitation and Hygiene WASHCO Water and Sanitation Committee (community based rural water operation) WIF National Water Inventory WIF Water Implementation Framework (OWNP) WLRC Water and Land Resource Centre (Addis Ababa University) WSUPA Water and Sanitation for the Urban Poor Advisory service WUG Water User Group
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1 INTRODUCTION
1.1 Background The transition from MDG to SDG prompted the IFRC WASH team to develop two new WASH strategies, one an overarching strategy which has been adopted by the membership and one specific strategy focusing upon Urban WASH, also now adopted by the RC/RC Technical Working Group on Urban WASH. One of the outcomes and action points from this new strategy is the in-depth study that will be undertaken and is the focus of this consultancy; the purpose being to provide key strategic, technical and operational guidance for the municipality of Sululta to ensure adequate and sustainable WASH for its population in the medium and longer term. This assignment is intended to be a service to the municipality and it has been indicated that the decision to provide such guidance through the commissioning of this study was the result of “consultations made between Nestlé Waters, ERCS, IFRC and the Mayor of Suluta’s Office, and a specific request of the (then) Mayor”8. This study is complimentary to a parallel activity, “Development and Implementation of an Integrated Landscape/Watershed Management Plan for Upper Sululta Watershed”, commissioned by Nestlé and undertaken by Water and Land Resource Centre (WLRC) at Addis Ababa University (AAU) -see illustration Figure 1.1. Sululta is a fast growing urban and peri-urban area to the north of Addis Ababa (the capital is known as Finfinne in the Oromia language). It reflects the current rapid growth of the Ethiopian economy in an area that is expected to continue to increase in population over the coming decades. It already has burgeoning commercial, educational and administrative sectors. There are significant challenges to meeting the present and future WASH needs for the general population, the administrative, commercial, educational and recreational sectors, livestock and farming in a sustainable manner. An integrated approach is required that at the same time protects the general environment, the watershed environment in particular, and the health and living standards of residents. 1.2 Purpose and layout of this document As explained in Section 2, it was considered that development of the Sululta WASH Strategy required early discussion with, and development by, key stakeholders. It was the consultant’s view that this could best be done through a workshop environment rather than through individual feedback responses to draft report proposals. This document (along with its annexes) contains all the information needed to make informed decisions and to begin to make a start on strategy implementation. Section 3 describes the proposed Sululta WASH Strategy discussed and agreed at the proposed workshop and during follow on communications. Subsequent sections of the report show how the proposed Sululta WASH Strategy: • meets the desired outcomes (as set out in the ToR) – Section 4 • synergizes with other reports and studies – Section 5 • aligns with the Ethiopia One WASH National Programme (OWNP) and the government’s latest Growth and Transformation Plan – Section 6 • aligns with sustainability goal SDG6 but also addresses other relevant SDGs - Section 7
8 Providing such a service to the municipality is facilitated by the global agreement between IFRC and Nestlé.
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Annexes are attached which: • indicate pictorially information on the current situation in Sululta; • give details of the WASH components of GTPII; • provide extensive guidance on WASH master planning and feasibility studies that are financially, socially and environmentally sustainable; • provide further guidance on: o WASH sector reform processes, o promotion and advocacy, o technical and operational development, o service delivery and o finance; • illustrate FSM examples from outside Ethiopia; • include the consultant’s summarized site visit record and notes; and • Include the workshop agenda, notes and WSUPA output summaries
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Figure 1.1: Present Land Use/ Land Cover map of Sululta watershed: Courtesy WLRC slide presentation 20 Oct 2017
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2 STRATEGY DEVELOPMENT
2.1 Introduction The purpose of the consultancy is to provide key strategic, technical and operational guidance for the municipality of Sululta, along with its partners at local and regional levels, and for it to be able to promote, finance and implement adequate and sustainable WASH for the urban and surrounding areas in the medium and longer term. A number of outcomes of this study were anticipated in the ToR9; these are listed and addressed in Section 4. Specifically, the strategic overview is required to consider three areas; water for all, with an emphasis on potable water supply, centralised and on-site human waste disposal, hygiene and behaviour change. This requires strategic thinking in terms of operational models that consider human resource skills, appropriate levels of service, legislative framework and new administrative and management structures that may be beneficial to equitable and acceptable services. However, “WASH”, in the Sululta context at least, must take into consideration all of: domestic and institutional water supply; industrial and commercial water supply; livestock and farming water supply; domestic solid and liquid wastes (including faecal wastes); industrial and commercial solid and liquid wastes (and by association, air pollution). The pro-active and innovative Sululta approach to the multi-sector challenges involved is to have this study undertaken in parallel with the “Development and Implementation of an Integrated Landscape/Watershed Management Plan for Upper Sululta Watershed”, as introduced above.
It is essential to engage with all the local stakeholders as concepts emerge and to work closely with the Mayor’s office and staff to formulate a plan and a development roadmap that are realistic and practical. Successful adoption of recommendations (both from this study and the parallel WLRC study) will likely require engaged leadership and a “champion” at high level.
2.2 Development of the strategy An iterative and consultative approach is required to fully develop and implement the strategy since: a) This study is being undertaken at the same time as the parallel Integrated Landscape/watershed Management Plan b) There is a physical plan recently developed and currently in use c) The Oromia Water Bureau has prepared designs and tender documents for construction of a new water system to serve the upper, southern, part of Sululta urban area d) The drive for the strategy is understood to come from local politicians (Mayor’s Office) and these will need to be involved at every development step as the main promotors and champions for change It is now apparent that there are at least five key players that can contribute to the development, and importantly adoption, of a WASH strategy. These key players have been identified as:
9 According to the ToR, the expected outcomes “collectively can be regarded as a strategic overview of the WASH status of Sululta and its future needs”
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• The Sululta Mayor’s office, as leader of local sector offices and representative of beneficiaries • The Oromia Regional Water Bureau, which has carried out detail design for a new water supply system to currently unserved urban areas of Sululta • Water and Land Resources Centre, which is undertaking an Integrated Landscape/Watershed Management Plan • Ethiopia Red Cross Society, as advocate for equitable WASH services and agent of IFRC • Nestlé, which has a vested interest in protection of water sources and in maintaining good relationship with local authorities and local communities The general approach to arrive at a final strategy is illustrated in Figure 2.1 below. The specific actions that are considered to be essential, or would at least greatly enhance and/or compliment the Sululta WASH Strategy and its implementation, are listed in the Table 2.1 below that. During the inception visit, it was not possible to get appointments with either the Mayor’s office or with Water and Land Resources Centre and a lot of time was spent in Addis Ababa traffic to visit other relevant offices. The consultants therefore recommended that a more efficient and effective approach to get coordinated commitment to a strategy would be to bring all these key players together at a workshop in Sululta This was organised by ERCS and held on 20/21st February 2018. The objectives of the workshop were to: • Share the initial draft of the strategy and to get feedback on it • Validate the findings • Get buy in from key stakeholders, particularly the Mayor, the Regional Water Bureau, WLRC and Nestlé. • Agree on actions to be undertaken by stakeholders to implement the Sululta WASH Strategy A Workshop was not envisaged in the original WSUP Advisory proposal, but in view of the risks (described in Section 2.3 below) it was considered to be an essential ingredient for development and adoption of the strategy. The workshop involved key stakeholders but unfortunately the new Mayor was not able to attend due to other unavoidable commitments. ERCS facilitated the 2-day workshop at the Yaya sports resort village in Sululta, while WSUP Advisory led the technical discussions. The Final WASH Scoping Study was due in February 2018 when most of the parallel activities as listed below (Table 2.1 and Figure 2.1) would not yet have started. It is recommended that allowance should be made for updating later (but not under the consultant’s current contract) once parallel activities are well under way and the Mayor, as well as WLRC, Oromia Water Bureau, ERCS and Nestle, have had a chance to champion the proposed Sululta WASH Strategy concepts to a wide audience. Note that, in Figure 2.1, items 1 to 6 are complete and items 7 to 12 have yet to be carried out.
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Figure 2.1: Schematic of development of the Sululta WASH Strategy
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Table 2.1: Specific actions that are considered to be essential, or would at least greatly enhance implementation of the Strategy Action By Comment Timing Importance to the Sululta WASH Strategy Champion change at Principally, Sululta If full local government, regional and private Continuous Essential political and local levels - Mayor’s office; but stakeholder buy-in to the strategy cannot be (similarly, it will need a champion Step 7 also ERCS, WLRC, achieved then the strategy is very likely to fail and political pressure to ensure Oromia Water adoption of the ILMP/IWMP) Bureau and Nestlé Data on existing water ERCS and Regional ERCS coordinated with local bureaus to obtain this Jan 2018 (part Essential system and management Water Bureau information: However, limited information was completion) (see Annex 2) - Step 2 made available. This should now be key task for Oromia Water Bureau in order to carry out overall sustainability feasibility study for all Sululta. The bureau will have the powers, both political and technical to get this done.
Integrated Water and Land There is an existing physical plan in use that was Draft due April Highly desirable Landscape/Watershed Resources Centre at developed quite recently, so there may be some 201810 Management Plan -Step 9 Addis Ababa effort and advocacy required to get the IWMP University adopted in its place?
IL/WMP Implementation It is assumed that this Over several Roll out of the IL/WMP is essential will be determined years for environmental and financial once the plan is fully sustainable development and highly developed and desirable for successful agreed upon implementation of the WASH Strategy
10 It is understood that the draft Integrated Watershed Management Plan will be available in April 2018. The associated implementation plan will only be produced much later Page 24 of 160
Action By Comment Timing Importance to the Sululta WASH Strategy Sustainability study on The Oromia In order to achieve WASH sustainability and multi- At least 3 Essential, but risks include (a) existing and proposed Regional Water sector synergy, it will be necessary for the current months may convincing the Bureau of the need water systems – Step 8 Bureau or agents detail designs for water supply extensions (upper, be required for such a study, (b) finding the acting on their behalf southern, urban area) to be revisited to take into resources (finance and expertise) to account (i) the existing system, (ii) the principles of carry out the work and (c) time sustainability master planning and feasibility involved to get it done studies11 and also (iii) taking into account the new physical plans to be embodied in the Integrated Landscape/ Watershed Management Plan Hydrogeological Oromia Regional This has been proposed by consultants engaged by Say 3 months Essential with respect to successful investigation and long- Water Bureau with Nestlé which, along with other commercial for implementation of the Sululta term monitoring – Step 10 possible (and highly abstractors, needs to be fully informed about the installations WASH Strategy, but also generally desirable) water sources. It will also benefit reliable and and then with respect to sustainable resource involvement of sustainable abstraction of public water supplies and continuous development for both public and private sector with provide a more scientific basis on which to grant private sectors interests in water water abstraction licenses resource protection and sustainable development
11 See attached guidelines (Annex 4) adapted from the IUSHS&SAP Page 25 of 160
2.3 Timeline for activities and associated risks Steps 1, 3, 4, 5, 6 in Figure 2.1 have been achieved on target. Nestlé have stated that the Integrated Landscape/ Watershed Management Plan (Step 9) will be completed in April 2018. Key stakeholder buy-in to the strategy principles included in the initial report was only partly achieved during Workshop 1 (Step 5) due to the recent political upheavals and change of mayor. Full buy-in will be an on-going process over the coming months. Areas of risk relate to: • Step 2 (data on existing system, Annex 2): ERCS coordinated with local and regional bureaus to obtain this information and some has now been provided: This should be a low risk activity for Oromia Water Bureau and the local water office, since it involves straightforward survey and data gathering, possibly with the need to install or repair borehole meters • Step 8: In order to achieve WASH sustainability and multi-sector synergy, it will be necessary, as stated in Table 2.1, for the current detail designs for water supply extensions (upper, southern, urban area) to be revisited to take into account (i) the existing system, (ii) the principles of sustainability master planning and feasibility studies, as detailed in this report, and also (iii) taking into account the new physical plans to be embodied in the Integrated Watershed Management Plan. This should be carried out by Oromia Regional Water Bureau or agents acting on its behalf. Risks include (a) convincing the Bureau of the need for such a study, (b) finding the resources (finance and expertise) to carry out the work and (c) time involved to get it done • Step 10: Hydrological and hydrogeological investigation and long-term monitoring: This has been proposed by consultants engaged by Nestlé, principally to gain knowledge that will allow the factory to be fully informed about the water source upon which their commercial activity depends. However, two other beneficial effects of this activity will be (a) knowledge to further the reliable and sustainable abstraction of public water supplies and (b) a sounder basis on which to grant water abstraction licences12 This will involve initial investment, but more importantly it will require a long-term commitment and a well- resourced professional unit to carry out monitoring, data storage and reporting. Responsibility would normally be expected to fall under the Oromia Water Bureau but private commercial interests might also collectively commit to involvement through mutual benefit. Table 2.2 below gives an indicative timeline of activities but bearing in mind the risks described above. Since the recommended activities (Steps 7, 8, 9 and 10) will go beyond the time currently set for the “final” scoping study report (Step 6, by February 2018) then the report has been labelled “Stage 1 Report”. This allows for a “Stage 2” revisit (not part of the current consultancy contract) once all the activities (steps) are completed or well under way by others.
12 The deputy head of the Oromia Water Bureau stated that there was little science currently applied to granting abstraction licences; it was merely necessary to ensure 500m between boreholes. International commercial companies appear to be obliged to carry out an ESIA as part of their abstraction licence activity, but this will be of little practical use unless founded on hydrogeological knowledge Page 26 of 160
Figure 2.2: Timeline (based on initial report proposals December 2017)
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3 PROPOSED SULULTA WASH STRATEGY
This section describes the proposed strategy as presented to stakeholders at the workshop in February 2018 so as to invite feedback, develop or amend the strategy and to get commitment to actions. Like the proposed Integrated Landscape/ Watershed Management Plan, the proposed Sululta WASH Strategy is ambitious and innovative. However, it is entirely in line with “GTP2 core strategic directions” Section 2.4 reproduced in Annex 3, that is, to “Upgrade the water supply service infrastructure to the level of middle income countries by 2020”. Obviously “infrastructure” in itself will not meet service needs; equally important is to have financially, socially and environmentally sustainable service delivery mechanisms in place, as embodied in Objective 3, “Ensure good governance in urban water supply enhancing sustainability, effectiveness, efficiency and climate change resilience of the service”. The overarching objective of the Sululta WASH Strategy is to create an “enabling environment” to provide, and also to promote and ensure take up of, sustainable and equitable water and sanitation services. This is illustrated in the following diagram (Figure 3.1):
Figure 3.1: Sululta WASH Enabling Environment The proposed Sululta WASH strategy identifies areas where particular attention is needed and the roles that particular stakeholders would be required to play. In Tables 3.1, 3.2, and 3.3 below, the roles have been divided as indicated and each table identifies what is required and
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who would be responsible in each of the three sub-sectoral areas of water, faecal sludge management and non-hazardous solid waste management. The tables also indicate where in this report and in the accompanying annexes that policy background and implementation guidance may be found. It should be emphasized that one or more public (or private) utilities, that are based on sound business principles, will have to exist to provide sustainable services. This may involve significant sector changes, but these are considered essential in order to achieve targets set out in the country’s Growth and Transformation Plan, as indicate above, as well as to meet local aspirations. Guidelines are included in this report to assist stakeholders in performing various roles to bring about the necessary changes. Regulatory functions are required in order to achieve: • Strict control of planning regulations • “Ownership” and enforcement of performance agreements with public and private utilities and delegated providers • Licensing and monitoring of public and private groundwater and surface water abstractions • Licensing and monitoring of industrial and commercial environmental waste discharge consents (liquid, solid and gas) • Monitoring of dispersed pollution sources Required promotional and advocacy activities and roles include the following areas: • Awareness by government and utility managers and employees of the public health necessity and commercial imperative of financially, socially and environmentally sustainable service delivery • Awareness by government and utility managers and employees, as well as the private sector managers and employees, of the necessity to comply with waste discharge regulations and water abstraction consents • Capacity development of both public and private sector managers and employees in WASH service delivery • Empowerment of consumers, particularly women as the prime beneficiaries on behalf of families, to demand (and pay for) services • Motivating and capacitating private residents, commercial enterprises and institutions to take the initiative to take care of “no-mans-land” urban areas • Promotional activities in schools and health centres and health posts to increase awareness of WASH issues and initiate demand for good services • Enrolment of informal sector workers and formation into SMEs to benefit WASH service delivery and environmental protection • Enrolment of minority and vulnerable groups into SMEs to benefit WASH service delivery and environmental protection • Household water, sanitation and hygiene behaviour change13
13 This is listed last, not because it is unimportant but in order to emphasize the importance of other aspects of advocacy, that may not be generally recognised under the BCC heading. Household advocacy is currently the Page 29 of 160
It is expected that all these required promotional and advocacy activities and roles should ideally be included within a Communication Plan based on thorough “formative research”.
The WASH strategy for Sululta should also adopt the same guiding principles as those used under the Consolidated WASH Account (CWA) component of the One WASH National Programme. These are, in brief form: • Integration of the water, health, education and finance sectors • Harmonization of partners’ approaches and activities • Alignment of partners’ activities with those of the Government of Ethiopia • Partnership between implementing parties at all levels The Sululta WASH Strategy gives a possibility to demonstrate all four guiding principles and in fact also to take them a step further to include SWM, IWRM, urban development and management of industrial and commercial hazardous liquid and solid wastes. Furthermore, any WASH capital works required should be based on: • Institutionally, financially14, technically, environmentally and socially sustainable feasibility studies (FSs) • Business models resulting from the FSs that are worthy of investment and that provide reliable and affordable service delivery to consumers/customers • Procurement and implementation procedures15 that ensure good value for money and timely delivery, while also meeting any funder particular conditions16 As already stated, the responsibility for implementation of the strategy falls across five different levels of stakeholder: • Regional government bureaus – initially led by the Oromia Water Bureau but also involving all relevant sectors17 in due course • Local government bureaus – led by the Mayor of Sululta; involving at least the water, planning, health, economic development, and education offices (see Annex 14), but importantly also involving full representation of the community including all ethnic, gender, youth and disadvantaged groups • Private sector – initially led by Nestlé but also involving all industrial and commercial interests in Sululta, in due course • Consultants (WLRC at Addis Ababa University, undertaking an Integrated Landscape/Watershed Management Plan18 (ILMP/IWMP).
responsibility of the MoH Urban Health Extension Programme; the medical aspects of this programme have to date been more successful that public health aspects 14 Annex 4, Part 8, provides detailed guidance on tariff structures and phasing so as the ensure equitable service delivery while maximising benefits of cross-subsidy 15 Current procedures under the OWNP CWA have raised issues, such as over-centralisation of procurement and inadequate design and contract preparation 16 This is considered to be the best approach to leveraging finance (the ToR requires the consultant to address “Scale up and funding opportunities”) 17 Health, Education, Environment, Urban, Economic, Agriculture, Tourism, Industry, Labour, etc. 18 There is an existing physical plan in use that was developed quite recently, so there may be some effort and advocacy required to get the ILMP/WMP adopted as complimentary to or as a replacement for this plan. Page 30 of 160
a. Since this organisation is engaged long term and works through high level stakeholder coordination approach, it is also in a good position to promote the Sululta WASH Strategy, which is entirely in synergy with the proposed ILMP/IWMP b. Sululta WASH Strategy may be regarded either as complimentary to or as a sub-component of the ILMP/IWMP • Ethiopia Red Cross Society as influential advocate to federal and regional governments, CSOs and private sector for equitable WASH services and agent of IFRC.
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The tables below indicate how these responsibilities are to be discharged, and by whom, and also indicate where in the report (the sections above and below) and in the accompanying annexes that policy background and implementation guidance may be found.
Table 3.1: Strategy Roles and Responsibilities: Potable water supply for domestic, institutional and also commercial/industrial19 needs Roles Details Responsibility Reference to report section and/or guidance given in annexes WASH Sector Reform Public utility to provide sustainable Any existing “Water Board” may not be strong enough to See “Ownership and enforcement of Annexes 4, 5, 7, 8, 10, 14 services based on sound business models enforce contractual obligations – this should be performance agreements with public utilities” and clear contractual obligations discussed with the Mayor and Municipality office. below – The utility will be on one side of a “performance agreement” (or similar) and the municipality (as owners of the assets) on the other. Economy of scale It may be appropriate to either: This will be the subject of sustainability master- 1. combine water supply, sanitation (faecal sludge planning/ feasibility study management) and solid waste management under one utility, or 2. combine FSM and SWM and keep this service separate from water supply Delegation Delegation of certain services under clear contractual arrangements does not conflict with the “economy of scale” principle and can in fact enhance service delivery through local “ownership” and accountability. There are many SMEs already operating in Sululta: These and private companies may be remodeled or set up to carry out many WASH sub-activities such as water kiosk operation, public toilets, vehicle maintenance, solid waste collection, recycling, faecal waste management, etc.
19 Commerce and industries may use a mixture of public and own private water supplies. See Section 5: “Water Demand and Groundwater Potential Study and Delineation of Protection Perimeter for Great Abyssinia Bottling Factory, Sululta Area. Sept 2014. AG Consult, Consulting Hydrogeologists and Engineers, Addis Ababa” Page 32 of 160
Table 3.1: Strategy Roles and Responsibilities: Potable water supply for domestic, institutional and also commercial/industrial19 needs Roles Details Responsibility Reference to report section and/or guidance given in annexes A successful business model trialed in Addis is a public toilet combining water sales, showers, shop, phone recharge, sitting area. Regulatory roles Strict control of planning regulations The water distribution systems will need to be re- Planning control is currently enforced, and Section 2, Step 7. designed to follow the ILMP/IWMP/ existing plans/ building permits issued, by a committee headed Annex 9. actual development/ by the Mayor’s office, but control needs to be Annex 14. urgently strengthened. Coordinated by Salulta Land Development and Management office? “Ownership” and enforcement of The consultant can provide various model The Mayor’s office, possibly in collaboration with Section 6. performance agreements with public contracts/agreements and delegation contracts to be Oromia Water Bureau, to look at the existing Annex 4, pat 5. utilities adopted by the owners of the assets (which may be the Water Board and see how to strengthen it. Annex 5, parts 1 and 2. municipality) Licensing and monitoring of public and Needs to be based on sound hydrogeological and The Oromia Water Bureau has a role to issue Annex 3, Goal 3.5. private groundwater and surface water hydrological data and regularly updated by continuous water abstraction licenses (the deputy head Section 5. abstractions monitoring systems. stated that the only criterion was that wells had Nestle consultants have made recommendations for a to 500m apart) but it is understood that the EPA comprehensive monitoring system. also issues licenses without reference or Groundwater investigations carried out include: coordination with the water bureau. • Geophysical work carried by Oromia Water Bureau For commercial use wells, it appears that applications have to be submitted: as part of its designs for the upper (southern) part of Sululta. a) To the Nile Basin Initiative (Government • 2016 geophysical work around the Nestle factory Office) for a licence to extract water in area which limits will be stipulated. The application has to include company documents and an ESIA report. b) To the Environmental Office of Oromia Bureau for annual licence (for instance, for a factory to pump and pack water). Licensing and monitoring of industrial and Two Sululta examples are: Perhaps the Mayor’s office following public Annex 1 photos of abattoir commercial environmental waste pressure and involvement of the EPA in Ministry discharge/dump area. discharge consents (liquid, solid and gas) Page 33 of 160
Table 3.1: Strategy Roles and Responsibilities: Potable water supply for domestic, institutional and also commercial/industrial19 needs Roles Details Responsibility Reference to report section and/or guidance given in annexes • the large China/Ethiopia tannery which has been of Environment, Forestry and Climate Change shut due to discharge of untreated wastes to water (MoEFCC). course Through local Sululta office of Environmental • The large abattoir in Sululta: appearance of Protection, Forests and Climate Change. uncontrolled liquid and solid waste dumping Monitoring of dispersed pollution sources Nitrate levels in the four boreholes used by Nestle may The EPA has resources only to monitor See google map illustration through visual inspection and sample be an illustration of how this sensitive aquifer may be industries. Detailed monitoring and control of of Nestle boreholes in analyses (liquid, solid and gas) including affected by urban development dispersed pollution will need to be assisted by Annex 1. the powers to enter private property local level activists, perhaps mobilizing community volunteers or through an organized Water or WASH User Group (WUG). However, a FSM service will need to be in place before controls can be enforced. Promotional and advocacy roles Awareness of government and utility For water supply this means using annually recharged The Oromia Water Bureau needs to be Annex 3, GTPII; 2.4, managers and employees of the public borehole water (even in dry years) and management by motivated to carry out Sustainability Master Objective 3, etc. health necessity and commercial a financially ringfenced utility based on sound business Planning and Feasibility Study (including imperative to provide, sell and promote planning. proposals for management structures, financially and environmentally sustainable performance agreements, tariffs, etc.) for services existing and proposed systems and to align with the ILMP/IWMP. Such arrangements (particularly setting tariffs) may fall outside of current regional government practice, but justification may be found in GTPII (related to sustainable service delivery) and used to “champion” and implement reform both at local (Mayor) level and at regional (Water Bureau) level. Awareness of government and utility Abstraction licensing needs to be based on hydrological Oromia Water Bureau in collaboration/ Annex 6 managers and employees, individuals and and hydrogeological data-based knowledge (which is not coordination with the EPA. communities, as well as the private sector yet available). In the meanwhile, any license should be managers and employees, of the need to conservative and also “temporary”; subject to revision comply with water abstraction consents once better data is available.
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Table 3.1: Strategy Roles and Responsibilities: Potable water supply for domestic, institutional and also commercial/industrial19 needs Roles Details Responsibility Reference to report section and/or guidance given in annexes Capacity development of both public and Currently water utility staff retention and skills may be Such arrangements (particularly setting salary Annex 3, GTPII; 2.4, private sector managers and employees in poor due to low wages and lack of incentivization. Salary scales) may fall outside of current regional Objective 3, etc. WASH service delivery, including all related scale, working conditions, incentivization and bonus government practice, but justification may be Annex 8, part 7 environmental and commercial aspects arrangements may be set at competitive levels in found in GTPII (related to sustainable service Performance Agreements, Service Management delivery) and used to “champion” and Contracts, etc. between asset owners and the utility and implement reform both at local (Mayor) level also through delegated service management contracts and at regional (Water Bureau) level. (DMCs). Full advantage needs to be taken of professional and artisan water sector training available at specialist universities and colleges for both public and private employees. Empowerment of consumers (particularly A very important part of encouraging consumers to Service levels need to set through Sustainability Annex 4. women as the prime beneficiaries on “demand” water supply is to also give a clear message Feasibility Study (for 2030 horizon) to arrive at a Annex 6. behalf of families) to demand services that such services have to be paid for (at tariffs that will sound “business model”: this should be done by through political, cultural and religious ensure reliable service whenever needed). The level of Oromia Water Bureau and/or its agents and structures/organizations; and to become service has to be set to match affordability as partners. The results should be made very clear members of formal watch-dog groups such determined by sustainability feasibility study based on and available to both communities and as Water User Groups or Associations, socio-economic data and technical options: For instance, individuals, but also to politicians who will be kebele based planning control oversight giving low-income families metered house connections under pressure from community groups to groups, etc. may be unaffordable for the consumer and also involve supply cheap (sub-economic) water. high capital costs in terms of distribution pipes. Any move by political or commercial interests to supply sub-economic (or even free) water may be counter-productive in the medium to long term. Very importantly, promotional activities in Additionally, government offices should install and Local political “champion” working with local See Annex 1 photos for schools and health centres and health maintain exemplary WASH facilities as a very effective health and education offices and supported by examples of lack of hand- posts to be aware of WASH issues and way to promote, and initiate demand for, better regional health and education bureaus. washing facilities in Sululta demand good services. services. offices and the Health Centre Household water, sanitation and hygiene Advice needs to be given on safe handling, storage and It is the responsibility of the Urban Health Annex 6 behaviour change in-house treatment of water that may have been Extension Worker (under Regional Health contaminated at source or become contaminated during Bureau) but water and sanitation may get less transport from the water point. attention than maternity care, immunization,
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Table 3.1: Strategy Roles and Responsibilities: Potable water supply for domestic, institutional and also commercial/industrial19 needs Roles Details Responsibility Reference to report section and/or guidance given in annexes etc. This needs to be changed, perhaps through the local “champion”. It is expected that all these required promotional and advocacy activities and roles will be included The Communication Plan may need to be Annexes 4, 5, 7, 8. within a Communication Plan based on thorough formative research. undertaken by specialist consultants in this field. Capital works will be based on: Institutionally, financially, technically, Oromia Water Bureau and its’ agents and environmentally and socially sustainable partners (DPs, CSO, private enterprise, public feasibility studies to meet a 2030 planning utilities, etc.) with active local “champion” horizon. support that is free from commercial and/or political interests. Sululta Investment Office facilitates and Business models resulting from the FSs Annex 14 promotes investment in the town. that are worthy of investment and that provide reliable and affordable service Sululta Water Supply Service office is responsible delivery to consumers/customers for expansion and operation of water supply and revenue collection. Procurement and implementation Current procedures under the OWNP CWA have raised procedures that ensure good value for issues, such as over-centralization of procurement and money and timely delivery, while also inadequate design and contract preparation. However, meeting any funder particular conditions the CWA is at present only a small part of total WASH funding in Ethiopia so that, outside of the CWA, implementers and funders can agree on the most efficient procurement and implementation procedures.
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Table 3.2: Strategy Roles and Responsibilities: Faecal sludge management (FSM) both decentralized20 and on-site human waste disposal Roles Details Responsibility Report section and/or annex WASH Sector Reform See Table 3.1 Regulatory roles “Ownership” and enforcement of Vacuum trucks may be owned by the municipality or water The “utilities” in the case of SWM and FSM may performance agreements with public utility, for instance, but tariffs may be set too low to cover the be a number of SMEs using donkey carts as well and private “utilities”. cost of maintenance (as may be evidenced by the large as private tanker and truck operators. The proportion on non-functional vehicles in AAWSSA and other important point is that they should all be town utility yards). Private vacuum trucks are hired from AA by operating as sound business models under individuals and companies at commercial rates, but these simple but clear performance rates will likely be too high for many households. agreements/contracts. FSM (and SWM) services could be made available through delegated service management contracts (DSMCs) under a single water and sanitation utility to take advantage of a single management and office structure. Monitoring of dispersed pollution Planning consent for any development should comply with The planning committee under the Mayor’s sources through visual inspection and physical plans in force. Building planning consent should also office responsible for planning consents and sample analyses (liquid, solid and be conditional on construction of adequate toilets. In some building permits. gas) including the powers to enter countries, it is conditional that the toilet facilities are built private property before house construction starts and built to the same standard as the house: For instance, a block-built house must have a toilet with block walls and washable pit slab or pour flush ceramic squat plate or pedestal. Promotional and advocacy roles Awareness of government and utility Existing sanitation services (such as public toilets) and SWM Low cost systems using manually operated FSM managers and employees of the (both primary collection and final disposal) are regarded more desludging pumps and sealed containers on public health necessity and as job creation SMEs. So, although they may be “socially” donkey carts has not yet been developed in commercial imperative to provide, sustainable, they generally require municipal subsidy, and Ethiopia, but needs to be introduced as viable environmental control is rare (either at transfer stations or at business models, learning from other countries.
20 This may be for instance decentralised treatment systems serving housing developments, commercial and sports facilities, schools and health facilities, etc. Page 37 of 160
Table 3.2: Strategy Roles and Responsibilities: Faecal sludge management (FSM) both decentralized20 and on-site human waste disposal Roles Details Responsibility Report section and/or annex sell and promote financially and final disposal dump sites and what pass for faecal sludge environmentally sustainable services “drying beds”). Awareness of government and utility There appears to be local understanding of this, hence the It will be important to confirm awareness and managers and employees, as well as agreement to initiation of the IL/WMP. Also, the recent commitment. the private sector managers and closure of the tannery is evidence of political commitment employees, of the public health (and maybe public pressure) to environmental controls. necessity and sustainability imperative to comply with waste discharge regulations. Capacity development of both public See Table 3.1 and private sector managers and employees in WASH service delivery, including all related environmental and commercial aspects Empowerment of consumers There is a role for individuals and community leaders (political, This can be part of public sensitization through, (particularly women as the prime religious, WUG, etc.) to ensure that planning regulations are for instance, the Mayor’s office and should also beneficiaries on behalf of families) to complied with and to monitor surface and water pollution be fully integrated into the regular UHEP. demand services through political, resulting from full pit latrines and tanks as well as uncollected cultural and religious structures/ or badly stored solid waste. organizations; and to become members of formal watch-dog groups such as Water User Groups, kebele based planning control oversight groups, etc. Very importantly, promotional Hygiene and sanitation awareness should be maximized at Health, education and municipal bureaus activities in schools, health centres institutions as a cost-effective behaviour change and supported by the “champion”. and health posts as well as local awareness modality. However, as experienced elsewhere, government offices, to ensure lessons will be poorly received unless there is consistent water awareness of WASH issues and supply and unless institutional facilities are of an exemplary demand good services. standard. Enrolment of low income, gender, In the sanitation sector this often involves women’s groups Possibly labour bureau with support from youth and disadvantaged and operating public toilets, but often over-staffed and underpaid. Mayor’s office. formation into SMEs to benefit As stated above (Table 3.1), recent innovations in Addis are Technical development through Oromia Water public toilets combined with showers, shop, pleasant rest Bureau.
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Table 3.2: Strategy Roles and Responsibilities: Faecal sludge management (FSM) both decentralized20 and on-site human waste disposal Roles Details Responsibility Report section and/or annex WASH service delivery and area, mobile recharge station, which are reported to cover environmental protection costs through sales as well as livelihood for operators. Household water, sanitation and In the urban environment, BCC needs to extend outside of the UHEP supported by the “champion” hygiene behaviour change property to include open defecation areas solid waste dump areas and community motivation to receive/pay for sanitation marketing support to build safe and hygienic toilet facilities as well as to demand FSM operational services. It is expected that all these required promotional and advocacy activities and roles will be included As for Table 3.1, the Communication Plan may within a Communication Plan based on thorough formative research. need to be undertaken by specialist consultants in this field. Capital works will be based on: Institutionally, financially, This is as important for sanitation as it is for water. However, it Ideally this should be undertaken by the technically, environmentally and is more difficult to get a viable business model operational for Municipality or the Oromia Water Bureau, along socially sustainable feasibility FSM whereby all costs are covered by revenue and innovative with water system studies. However, it is likely studies (FS) financing mechanisms may be required, such as subsidies from not an area that will be familiar to the bureau, sanitation levy on water sales and from municipal rates. Also, except perhaps through WRDF procedures and subsidies should be aimed at downstream processing rather may need assistance from specialist TA. It is than upstream collection systems (which, in theory, can be anticipated that recommendations will also be made self-financing from fees). included in the ILMP/IWMP. Business models resulting from the Besides groundwater pollution, overflowing pit latrines, Currently there is no vacuum tanker stationed in FSs that are worthy of investment holding tanks and septic tanks and clogged soakaways create a Sululta and no engineered disposal point (drying and that provide reliable and serious public health hazard, particularly during rain and bed). Also, a motorized vehicle will not be able to affordable service delivery to surface water flooding. access all location, costs may be prohibitive and consumers/customers Sululta wetland is currently being built on, as indicated in the most pit latrines and many tanks will never be IL/WMP studies. emptied. AWD (cholera) is a recurrent problem in Addis Ababa and In order to realistically enforce regulations there other urban areas. needs to be affordable services in place that are Final disposal of faecal wastes is generally into “drying beds” based on business models that use appropriate but the designs and operational procedures need to be technology and probably manual operation engineered and managed to ensure pathogen destruction and (although such concepts are currently not well safe re-use as soil conditioner. appreciated in Ethiopia in general). Schemes involving anaerobic digestion of sludge before drying beds are not common in Ethiopia but are reasonably well establish elsewhere. Page 39 of 160
Table 3.2: Strategy Roles and Responsibilities: Faecal sludge management (FSM) both decentralized20 and on-site human waste disposal Roles Details Responsibility Report section and/or annex Procurement and implementation As for Table 3.1. procedures that ensure good value for money and timely delivery, while also meeting any funder particular conditions
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Table 3.3: Strategy Roles and Responsibilities: Solid waste (non-hazardous) management (SWM) Roles Details Responsibility Report section and/or annex WASH Sector Reform See Table 3.1 Regulatory roles
“Ownership” and enforcement of Currently, solid waste collection/transfer stations in As stated in Table 3.2: The “utilities” in the case Annex 1 photos. performance agreements with public or Sululta are not maintained and the final disposal point is of SWM and FSM may be a number of SMEs Annex 8, Section 3. private utilities “temporary”. The municipality has a budget to purchase using donkey carts as well as private tanker and a truck to transfer waste from collection areas to final truck operators. The important point is that they disposal but there may be no business model that should all be operating as sound business models describes how the service is to managed and paid for under simple but clear performance and the truck maintained. agreements/contracts. FSM (and SWM) services The current solid waste disposal site is located near a could be made available through delegated private operating quarry site; this immediately brings up service management contracts (DSMCs) under a two possibilities: (a) use of old quarry excavations for single water and sanitation utility to take controlled engineered21 landfill and (b) contracting the advantage of a single management and office private operator to carry out secondary collections and structure. to operate the disposal sites, since he/she already operates (and presumably maintains) a fleet of vehicles and earth moving equipment. Promotional and advocacy roles
Awareness of government and utility As stated in Table 3.2, existing sanitation services (such As stated in Table 3.2, low cost systems using managers and employees of the public as public toilets) and SWM (both primary collection and manually operated FSM desludging pumps and health necessity and commercial final disposal) are regarded more as job creation SMEs. sealed containers on donkey carts have not yet imperative to provide, sell and promote So, although they may be “socially” sustainable, they been developed in Ethiopia. However, door to financially and environmentally sustainable generally require municipal subsidy and environmental door donkey cart collection of household solid services control is rare (either at transfer stations or at final waste is common. In smaller towns these disposal dump sites and what pass for faecal sludge primary collectors may travel all the way to the “drying beds”). final uncontrolled or poorly controlled final
21 Engineering is required to ensure surface water runoff through diversion channels and impermeable capping on closed tip “cells”, impermeable clay pit lining, full mechanical compaction, etc. Page 41 of 160
Table 3.3: Strategy Roles and Responsibilities: Solid waste (non-hazardous) management (SWM) Roles Details Responsibility Report section and/or annex disposal dump. In larger towns solid waste is taken from intermediate transfer station in (ideally) covered trucks. Capacity development of both public and See Table 3.1 and Table 3.2 private sector managers and employees in WASH service delivery, including all related environmental and commercial aspects Empowerment of consumers (particularly See Table 3.2 women as the prime beneficiaries on behalf of families) to demand services through political, cultural and religious structures/organizations; and to become members of formal watch-dog groups such as Water User Associations, kebele based planning control oversight groups, etc. Motivating and capacitating private There is a tendency for urban residents, particularly This has been well researched as part of the Annex 6, Section 3 residents, commercial enterprises and newly arrived people from rural areas, to lose IUSHSAP to determine just who could be institutions to take the initiative to take community identity and responsibility and to regards motivated to watch over, as well as to clean up, care of “no-mans-land” urban areas and anything outside of their property as “someone else’s urban spaces. Local political leaders (Kabele and encourage good citizenship at local problem”. Katena levels), UHEP, WUGs as well as community/street level. community police, etc. have been identified to assist and motivate community responsibility. Very importantly, promotional activities in Solid waste is often buried or burn on site. Medical Health, education and municipal bureaus Annex 1 photos schools and health centres and health wastes are hazardous wastes and should be incinerated supported by the “Champion”. posts to be aware of WASH issues and at high temperatures. Placenta pits should be used only demand good services. for the intended purpose. Again, institutions offer the most effective BCC through provision of exemplary facilities and exposure to learning minds. Enrolment of informal sector workers and Re-use and recycling is often carried out by informal Formalization of the informal sector into SMEs formation into SMEs to benefit WASH workers either at street level or at transfer sites and final with controlled working conditions, use of PPE, service delivery and environmental disposal dumps: Workers will likely be from poor and delegated contracts offers the opportunity protection families, may involve children and disadvantaged and, in to improve working conditions for the most the latter case, may be subject to very hazardous vulnerable, create viable business models and increase the 3Rs (reduce, reuse, recycle) Page 42 of 160
Table 3.3: Strategy Roles and Responsibilities: Solid waste (non-hazardous) management (SWM) Roles Details Responsibility Report section and/or annex working conditions (toxic wastes, disease vectors, smoke, etc.) Household water, sanitation and hygiene In the urban environment, BCC needs to extend outside UHEP supported by the “Champion” behaviour change of the property to include “no man’s land” areas, as discussed above. It is expected that all these required promotional and advocacy activities and roles will be included As for Table 3.1 and Table 3.2, the within a Communication Plan based on thorough formative research. Communication Plan may need to be undertaken by specialist consultants in this field. Capital works will be based on:
Institutionally, financially, technically, Final disposal points for solid waste should be well There are arguments to support the idea of FSM Annex 4 environmentally and socially sustainable engineered and subject to ESIA to ensure zero health and SWM services being provided by a single feasibility studies impact in the neighbourhood and low environmental operator/contractor and this possibility should impact (air and water) and to maximize re-use and be fully evaluation in sustainable feasibility recycling. There must be no tipping of either faecal studies. wastes or hazardous wastes at municipal disposal sites. Business models resulting from the FSs SWM subsidies should be aimed at downstream parts of that are worthy of investment and that the sanitation chain, so as to reduce disposal site gate provide reliable and affordable service fees (both for household and permitted trade wastes) delivery to consumers/customers and, along with enforcement, reduce fly tipping.
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4 MEETING THE DESIRED OUTCOMES
The table below identifies the approach taken by the consultant to address each of the desired outcomes (as included in the ToR but grouped under common themes for ease of response).
Anticipated Outcomes Comments Concepts Reference 1 The study will provide an overall, Setting a 30-year decade by decade Future needs will be based upon an extrapolation Socio-economic data is included in non-partisan strategic overview timescale is likely to be of limited from the current situation in Sululta, evaluated existing reports and documents as of the present WASH status in value. Projections can only be as through pre-existing and/or new socio-economic, listed in Section 5. Sululta and project that overview reliable as the data on which they technical, organizational and environmental studies, Relevant section of GTPII related to in terms of future needs for the are based. Although improving, and statistical and asset data available at water and sanitation are included as next 30 years (2017 to 2047). WASH data in Ethiopia is generally municipality, woreda, water board, utility, developer Annex 3. 4 The study will present a menu of poor and sanitation data is and funder levels. Discussion on alignment with the options to meet all three needs particularly lacking. Currently, there is a significant knowledge gap One WASH National Program is (Item 7 below) on a decade by A more realistic approach will be to around existing WASH services in Sululta and this will included in Section 6 and meeting decade basis from 2017 to 2047. use the sort of timescale used in the need to be investigated by Oromia Water Bureau as SDG aspirations are discussed in 5 A more detailed and defined OWNP, that is, a menu of options to part its design review. As stated in Sub-section 2.2 Section 7. menu of options should be be adopted immediately over the above, Sustainability Master Planning and Feasibility Full guidance is provided in Annexes provided for the first five years period January 2018 to December Studies are proposed to be undertaken by, or 4 to 10 inclusive on sustainability 22 (2018-2022). 2022 and longer-term options to be commissioned through, the Oromia Water Bureau planning, WASH sector reform, 11 The study will take into account introduced in the period up to 2030. and taking into account the new IWMP when promotion and advocacy, technical available. development, business models, and align with Government of It is not appropriate or possible to The strategy aligns with government guidelines and service delivery, private sector, Ethiopia Policy and Strategies in present a “menu of options” either the policy set out in parts of GTP2 (2015-2020) that capacity building, equitability, tariffs, relation to WASH provision. short or long-term since this is a deal with WASH provision and, as far as possible etc. etc. "scoping study" to arrive at Sululta given current Ethiopia WASH status, with SDGs. WASH Strategy. Options will be considered as part of sustainability
22 but not financed or undertaken as part of this consultancy Page 44 of 160
Anticipated Outcomes Comments Concepts Reference master planning and feasibility studies (to be carried out by others) and fully informed by parallel activities as listed in Sub-section 2.2. All options will be examined as part of sustainability feasibility study to arrive at the most financially, socially and environmental business plan for period to 2030. 6 The study should take into Government planning cycles are The consultant makes no apology for setting very As above consideration Ethiopian covered by Growth and high standards for WASH service delivery and control that go beyond general current practice in Ethiopia. Government planning cycles and Transformation Plans on 5-year However, the proposed strategy does align with the possibilities of the study cycles, as indicated above. government policy, as discussed above. contributing to potential resource mobilisation or The intention is that a WASH model (or models) will be developed that is (are) considered “bankable” and financing for WASH development worthy of both immediate investment and future activities be that from replication elsewhere. Government or local sources, international bodies, International Financial Institutions and the private sector. 2 The study should take into As indicated in Section 5 below, At the February workshops, the Oromia Water Section 5 consideration any existing three potential or actual sources of Bureau were represented very ably by a senior National or local WASH plans and WASH financing have been hydrogeologist and an engineer. financing available in the near identified: However, the interests of “government”, DPs, CSOs term. • It is understood that AAWSSA and also AAWSSA, were not well represented. may have plans to drill 2 boreholes and ancillary civil works for Sululta - AAWSSA
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Anticipated Outcomes Comments Concepts Reference takes water from surrounding Oromia woredas and drills local wells as compensation. Details, timing and funding source are not known. • Oromia Water Bureau (through consultants) has carried out detailed designs and prepared contract documents for water supply to the currently unserved upper southern parts of urban Sululta, as Lot 5 of 36, to complement the existing system: This also included geophysical (non-intrusive) groundwater assessment. • The bureau has funding and will commence by drilling four deep wells to prove resource. It will also carry out a design review stage. • Nestlé are carrying out limited assistance to the local water bureau to refurbish boreholes as part of their Water Stewardship initiative. 3 The study will unpack those Financial, social and environmental The WASH sustainability feasibility studies (including As indicated above: projected needs in three areas; sustainability is essential for both SWM) should be prepared under the leadership of Full guidance is provided in Annexes water supply for all needs with water supply and human waste Oromia Water Bureau and the Environment Office 4 to 10 inclusive on sustainability an emphasis on potable water disposal, but also for solid waste and Municipality (or their consultants) in accordance planning, WASH sector reform,
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Anticipated Outcomes Comments Concepts Reference supply; centralised and on-site management. In the Sululta case, with guidelines included in this report; that is, based promotion and advocacy, technical human waste disposal; hygiene sustainability will essentially be on socio-economic analysis and formative research, development, business models, and behaviour change. covered: cross-cutting factors (resilience to natural and service delivery, private sector, • In part by the Integrated manmade disasters, discretionary tariffs, equitable capacity building, equitability, tariffs, Watershed Management Plan, service delivery, gender and disadvantaged), etc. which takes into account appropriate and affordable technology, economies Socio-economic data is included in information available on SWM, of scale, concepts on clustering and delegated existing reports and documents as IWRM and industrial liquid and management, an appreciation of operational listed in Section 5. solid wastes, and financial constraints (that is balancing level of Relevant section of GTPII related to • In part by sustainability Master services with ability to pay), tariff structures and water and sanitation are included as Planning and feasibility studies, phasing, and the needs for capacity building Annex 3. technical assistance as described in this report and Discussion on alignment with the its annexes, is intended to Advocacy will be considered at both management One WASH National Program is deliver “bankable projects” able levels (in terms of promoting and delivering services) included in Section 6 and meeting to attract funder confidence and and at consumer levels (take up of services and SDG aspirations are discussed in assured return on investment willingness, as compared with ability, to pay). Section 7. (in terms of beneficiary service Hygiene and behaviour change are already covered
levels and coverage). under the MoH by comprehensive Health Extension See also: As stated above, the Sululta WASH Programme (HEP), used successfully at rural levels, • Integrated Urban Sanitation and Strategy is intended to attract and the more recently introduced but to date less Hygiene Strategy (IUSHS) and funding and co-funding and/or to successful Urban Health Extension Programme. The particularly the Strategy Action trigger scale up through “Integrated Urban Hygiene and Sanitation Strategy Plan (IUSHSAP-Actions and demonstration. and Strategy Action Plan” and “National Hygiene and Environmental Health Strategy” may be used in IUSHSAP-Guidelines), issued by “Hygiene and behaviour change” order to recommend an outline cost effective GoE in April 2017 (written with are inadequate terms for what is advocacy package. WSUP Advisory consultancy needed to promote and achieve assistance and under guidance sanitation targets in Ethiopia, from five ministry TWG; water, particularly urban sanitation. A health, education, urban and mindset change is needed at all tourism) levels. Page 47 of 160
Anticipated Outcomes Comments Concepts Reference • National Hygiene and Environmental Health Strategy issued by MoH, also in April 2017 7 The study will not only focus There are currently moves in See Section 6: Alignment with One WASH National As above upon the environmental and Ethiopia towards more efficient and Programme and GTPII compliance technical options but also accountable urban utilities. This is • WASH developments in Sululta, alongside the separately define what may be likely to involve independent Integrated Watershed (or Landscape) needed in legislation (local); regional utility regulators, physical Management Plan, offer the potential to lead management; administration; and financial ring-fencing, clustering the way in terms of sector reform financial viability; human of large and small towns and piped • Performance agreements or service resource development and skills village schemes for economy of scale management contracts, as well as delegation training; community participation and ease of regulation and agreements, offer the potential to include staff including tariff setting and monitoring, delegation, sharing advancement packages (performance related commercial and industrial limited resources, etc. payments, career structures, training, work revenue generation for both Human resources and skills retention facilities, sharing good practice, secondments, investment and operation and within public utilities as well as etc.) maintenance costs. federal and regional governments is • Capacity building needs, tariff structures and a major challenge in Ethiopia, as well phasing, cross subsidy from water to sanitation, as in many other rapidly developing municipal tax subsidies, sanitation levies, cross- economies in Africa. subsidy from high income users, commercial and Community participation in project industrial, etc. should all be assessed as part of development and in final O&M is Sustainability Master Planning and Feasibility clearly required. Studies • Physical ownership of assets and community “symbolic ownership” need to be distinguished • Water User Groups are important mechanisms for efficient service delivery and customer satisfaction
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Anticipated Outcomes Comments Concepts Reference 8 The study will consult and take • Plans to tap existing springs for Spring protection works should be considered that Annex 1. into account the water public water supply may be provide hygienic collection of potable water, clothes stewardship project of Nestlé difficult to implement where washing facilities away from the potable water Waters and advice on synergy they are currently in multiple collection points and channel both waste water and
and coherence with the study use, as illustrated in the photo in surplus flows to irrigation.
outcomes and water stewardship Annex 1. Any scheme should be aimed at demonstrating See proposed Sululta WASH Strategy objectives. • The current delivery of free viable business models that can be replicated Section 3. water to residents on the throughout the urban areas. boundary of the Nestlé factory It I suggested that, in the longer term, the facility may be necessary for local PR provided by Nestle might be expanded to follow the but should not be promoted as a successful business model trialled in Addis which sustainable option for the town includes a public toilet combining water sales, as a whole. showers, shop, phone recharge, sitting area, trees, etc. 9 The study will take into account The current WASH delivery This is the reason for the proposed step 2 under Sub- Annex 2. present WASH delivery capacities capacities in Sululta are low due to section 2.2 above and progress on this, reported in Annex 1. in Sululta by the WASH providers rapid development and lack of Annex 2. and potential capacities or installed capacity. Despite reported engagement that may be realised good yields from boreholes (See by all stakeholders for the benefit Annex 2), customers are understood of all. to receive water only one or two days per week. Water is pumped direct to pipe system than via the storage tanks. There is no vacuum tanker available locally for faecal waste collection and solid waste lies in open dumps. 10 The study will consider a ‘pro- The Sustainability Master Planning and Sustainability Considerations towards and actions poor’ approach that ensures that Feasibility Study approach considers all cross-cutting for the urban poor, minority groups, all the population in Sululta will issues and will ensure equitable service delivery. gender, vulnerable, etc. are fully Page 49 of 160
Anticipated Outcomes Comments Concepts Reference be catered for and in an inclusive addressed in guidance given in the manner that takes into Annexes 4 (Item 3), Annex 6, Annex consideration vulnerable groups 7, Annex 8 (Items 8, 9, 10), etc. such as the elderly and infirm; to 10 inclusive and specifically those that may be poorly Socio-economic data is included in represented or served due to existing reports and documents as gender or diversity issues; those listed in Section 5. that are disabled and any group Relevant section of GTPII related to considered as disenfranchised. equitable water and sanitation services are included as Annex 3. Discussion on alignment with the One WASH National Program is included in Section 6 and meeting SDG aspirations are discussed in Section 7. 12 The study in no way will be It is proposed that significant However, any stakeholder and community level perceived as a commitment by advocacy and “championing” of the discussions by the consultants will avoid any the consortium or any of its proposed Sululta WASH Strategy, as indication of what might result from the study. members to invest further or well as sensitization of all consumer provide further support to the groups (from low income residents municipality of Sululta. through to institutions and commercial organizations) will be needed to bring the strategy into action and this will require both political and funder commitment to make it effective. 13 Also, at the core of IFRC WASH The GoE policies on urban The study goes beyond the confines of domestic Discussion on alignment with the strategic thinking is the Beautification and Greening will be water supply, sanitation and hygiene and, as One WASH National Program is recognition that while our taken into account, both in terms of discussed above, will include aspects of SWM, included in Section 6 and meeting primary focus is upon SDG 6, we citizen wellbeing but also in terms of industrial liquid and solid wastes and IWRM that can Page 50 of 160
Anticipated Outcomes Comments Concepts Reference recognise WASH importantly safe reuse of treated liquid and solid seriously impact individual health (and in SDG aspirations are discussed in overlaps with SDG 3 namely faecal wastes. Much of this is also consequence ability to take part in the town’s Section 7. ensuring healthy lives and expected to be covered by the economy). Currently the GTPII (also included in promoting the well-being for all Integrated Landscape Management Section 6) over-rides both of OWNP at all ages essential to Plan. and SDGs in terms of government sustainable development. policy.
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5 SYNERGY WITH OTHER REPORTS AND STUDIES
Studies, reports, designs, notes, presentations, etc. either undertaken or in progress have been reviewed and the relevance to this study noted in the table below: Source and Title Relevance to this study IFRC Urban WASH TWG Meeting, Geneva It is stated that the Sululta Urban WASH (SuW) Pilot Ethiopia represents an example of what the RC/RC can do in Secretariat, 21 Mar 2017, Presentation from collaboration with the Private Sector and State Authorities. Budget: CHF 567,300: Timeframe 24 Months Noor Pwani, EAIOI & Southern Africa International Federation of Red Cross and This gives useful guidance on how IFRC/ERCS plans to approach urban WASH through support of municipalities and Red Crescent Societies, a Global Specific utilities, support demonstration projects, achieve scale, but recognising limitations: “Federation and its membership has Strategic Direction for Urban Water, the potential to accomplish much more in scale, impact and quality than at present. There are also opportunities to Sanitation & Hygiene (WASH), Urban WASH demonstrate a greater degree of social inclusion and innovation ... It is also recognised that our efforts in the Urban WASH Technical Working Group, May 1st 2017 context are limited at present … it will be important to engage with internal and external groups working in the same area.” “Learn to understand the challenges from the perspective of the service provider ... Identify the barriers they face … and then identify ways in which the NS can support them to improve” “It can take many years to build up the required level of understanding and trust with utilities and municipalities to be able to tackle the underlying issues and to see real sustainable change” “Private sector providers of services (such as small-scale water systems or pit latrine emptying services) must be recognised as an essential part of the urban WASH sector. Academic and learning centres should also be recognised as useful collaborators to … conduct formative research and baseline/endline surveys” Roles played in the further development of urban WASH are listed as: • IFRC: Provision of strategic and legal guidance, leadership, and relationship management. Lead the TWG. Coordinate R&D for emergencies. Development of tools. Overall coordination. • “P” national societies: Centres of technical and programme innovation. Technical guidance and support to HNS as and when appropriate. • “H” national societies: National urban WASH strategy. Project implementation. National and sub-National Stakeholder relationships. Applicable at all levels:
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Source and Title Relevance to this study • Advocacy (but what is being advocated by who will depend on context) • Resource Mobilisation (both financial and human resources) • Learning and sharing Nestlé Nestlé Water Stewardship Addis Ababa 2 May 2016
Water Demand and Groundwater Potential The study estimates demand from water supply, irrigation and industry for the coming 20 years. In 2020, water supply Study and Delineation of Protection demand is estimated at 29.5 l/s and industry demand is estimated at 48.5 l/s: However, we do not know from this how Perimeter for Great Abyssinia Bottling much industrial water is (or will be) drawn from the existing public system. This needs to be determined by examination of Factory, Sululta Area. Sept 2014. AG Consult, meter readings. Consulting Hydrogeologists and Engineers, It reports 2014 population as 37,988 from a “Sululta Municipality Field Survey 2006 EC”. Addis Ababa A stark view on the 2014 water situation:
With respect to the existing public water supply system, the study: • lists sizes and lengths of pipes, total 15km in GI pipe sizes ¾” to 3” • lists 7 reservoirs in sizes 500m3 to 50m3 • lists 6 borehole sources ranging in yield from 2.4 to 12.5 l/s However, a layout plan is not included. Also, it is not indicated whether the yields are current or original development figures. Modes of service are reported as:
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Source and Title Relevance to this study
Water demand is based on population projections and assumed water consumption for each mode of service. Non- domestic and institutional water demand is also systematically estimated.
The report appears to minimise the threat of pollution on groundwater, which seems to be in contrast to concerns raised by WLRC in its work on the watershed:
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Source and Title Relevance to this study
While Nestle have adequate treatment systems for the bottled water and are planning to replace wells with higher specification (such as increased casing depth), public wells will rely on groundwater being chemically fit for consumption as it comes out of the ground.
Critical review of hydrogeological reports of The report reproduces the results of geophysical surveys carried out in 2016 around the Nestle factory with some indication the Sululta Bottling Plant/ INTP160060, Mar of general aquifer characteristics: 2017, Anteagroup, France
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Source and Title Relevance to this study
The apparent nitrate "plume" in BHs 1 to 4 (according to RW interpretation of the report) is indicative of the aquifer vulnerability to surface pollution and will be relevant to the town water supply which will receive only chlorination at best. The abattoir and solid waste disposal area are uphill of the factory are far as I could judge, together with dense housing and commercial areas. See Annex 1. The hydrological monitoring system proposed by these consultants would appear to be essential, since very little is known about aquifer characteristic and vulnerability: Page 56 of 160
Source and Title Relevance to this study
“Water Story NW Ethiopia”, 13 Dec 2017 Identification of a sporting celebrity as promotion ambassador is excellent initiative. Two wells have been cleaned and one has had pump lowered and headworks refurbished, etc. One of the outputs from the “two-year urban pilot WASH project” is the development of two springs for community water consumption”. As noted during a site visit to one of these springs (“Basaka”), there is local opposition to its capture for town since 50% of kebele is irrigated from here. Also, the design would need to take into account that donkey vendors collect water from here and sell it on (at 3-5 Birr/jerry can) and the current clothes washing would need to be allowed for.
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Source and Title Relevance to this study
Coordinates, altitude, depth and discharge Table 5.1 lists (including coordinates and altitude): potential of existing boreholes surrounding • 2 No Allied Chemicals, chemical factory, 0.9 l/s each, 80m deep and within Nestle Water Ethiopia. 2-page • 1 No Dr Hailu Worku, Agro processing, not functioning, 1 l/s Appendix 5 to the ESIA from GS Consultant • 1 No Tamaz, Floor Factory, 0.3 l/s, 98m deep • 1 No Oromia Steel Pipe factory, 1.0 l/s, 104m deep • Selale, Dairy, milk factory, 2.0 l/s • BH1, BH2 and BH5 for Great Abyssinia, water bottling (1.2 l/s 150m, 5.6 l/s 85m, 2.6 l/s 250m) • China Africa Tannery, 20.0 l/s, 320m deep • Elementu Integrated Milk Industry SH. Co., 2.0 l/s, 230m deep • Belaya Industrial PLC, 5.0 l/s, 171m deep Table 5.2 lists current status of 4 Nestle wells, 3 existing and one “under plan for extension” • Existing BH-01, 1.4 l/s pump at 132m pump depth • Existing BH-02, 5.6 l/s pump at 66m depth • Existing BH-03, 1.2 l/s pump at 206m • BH-04, 6.9 l/s pump at 170m, under plan for extension
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Source and Title Relevance to this study Rehabilitation of Goro-Arba Water Well, This is the “Deep Well 1” referred to above. However, the advice appears to differ in that it recommends “maximum 6 Sululta Town, Final report Oct 2017, Edit Plc hours pumping with at least 2 hours rest in between” compared with the 24 hours/day capacity quoted above. The well is in poor condition and still blocked with recovery (fishing) equipment below 113m.
Proposal from ICE France related to equipping Very high specification to Nestle standard, stainless steel, but not including treatment. High price. Nestle plans for two wells of 25m3/hr at 205m and 15 m3/hr at 66m. Government Sululta SP. Regional Study of Sululta Town Wash Snapshot Assessment on Sululta Area Close Proximity of Great Abyssinia P.L.C. Likimyelesh Nigussie and Mebit Mitiku, and Arto Suominen
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Source and Title Relevance to this study Sululta Town Irrigation Agronomy Report Aug 2014, AG Consult Regional Finance and Economic Development and Sululta office “GAONF Zone SEP Year of 2007 and 2008 EC”. “Oromia special zone office of finance and economic development (statistics and information preparation and Economic report on Special Zone surrounding dissemination team) prepared this socio-economic profile with intention of presenting a comprehensive summary of Finfinne (Addis Ababa) physical and socio-economic condition of Oromia special zone surrounding Finfine (Addis Ababa).” Based on a proclamation to establish Oromiya Special Zone Surrounding Finfinne, The Executive Organ Of the Oromiya National Regional State on proclamation number 115/2000 dated 08/12/2000 has established Oromia Special Zone surrounding Finfine composing of eight towns (Dukem, Lege-Tafo Lege-Dadi, Sendafa–Beke, Sululta, Holota, Burayu, Sebeta and Gelan) and Six Rural Woredas (Welmera, Sebeta Hawas, Akaki, Sululta, Mulo and Berek). The report estimates 2009 EFY population for “Sululta Town Wereda” as 23,615. According to the 1999 population and housing Census of Ethiopia, “the average household size of the Zone was 9 persons per household for the Zone in the year 2008, which is 4. for urban and 5. for rural per household” which is very confusing! There is nothing on household income levels or socio-economic status which might indicate affordable WASH tariff levels and charges. Physical and Socio-Economic Profile for The objective of … this profile is to create … physical and socio-economic data base of Sululta district that reflects the Sululta District (Woreda) Statistics existing situation, development problems and potentials of the district to be used by Government and Non-governmental Department Year 2007/8 organization to identify development gaps researchers, and the like. It puts the 2008EFY urban population projection as only 12,177 and 140,510 rural for the whole of Sululta woreda The paper has three parts: first … physical features like location relief, drainage, soil, vegetation and wild life. The second chapter focused on socio-economic aspects such as human population, economic activities and social infrastructures. The final chapter highlights … existing problems … • Environmental problem: Soil degradation due to over cultivation, overgrazing and rapid deforestation rate and low soil and water conservation practice … variability of rain fall which results in to crop production failure … • Economic Problem: Shortage of farm land, high prevalence of crop diseases and pests, shortage of agricultural inputs, lack of capacity to buy, undeveloped culture of saving of the society, acute shortage of grazing … • Social service problem: rapid population growth and large family size (what size?) … land fragmentation, unemployment, migration of people from rural to urban areas, low productivity, … low potable water coverage, low electric power supply especially in rural areas. Again, there is nothing on household income levels or socio-economic status which might indicate affordable WASH tariff levels and charges.
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Source and Title Relevance to this study Sululta City Administration, Finance and Sululta town with its 4 urban kebeles has a total population of about 50,077 … with the annual average growth rate of Economic Cooperative Office, a Survey of 1.32%. The distribution of religion shows Orthotics 76%, Muslim 9%, protestant 8% and others 4% ... There are about 54% Physical and Economic Data or Profile of 2007 Oromo, 25% Amara, 7% Gurage, 1% Gamo, 5% Tigre, and 8% others (siltie, Walayita, etc). The job condition of the and 2008 population includes, agriculture 33.1%, trade 36.8%, government employees 1.8%, Industry employee, 7.81%, others 20.49% (non-government employee, daily labourers etc). It is stated that there are many Small and Micro Scale Enterprises (SME’s) listed below:
TypesN of SME No. SME Total number of Members Starting Capital Reg. Capital Agriculture1 61 114 72750 _ Industry2 97 312 165300 _ Construction3 176 1114 213200 _ Different4 Service 185 678 238250 _ Commerce5 265 558 358220 _ Total 784 2776 1,047,720 Source: From SME office Sululta , 2007 & 2008
It is stated that “From the urban population of the town 33,050 urban populations were supplied with potable water where 66% have an access of clean water supply.” However, this population figure does not agree with the figure of 50,077 given in the same report (above). It concludes that, in the town, “majority of the population access of clean water supply through pipe …” The report also concludes that: • … there is a high migration rate of population to Suluta town … which has resulted in shortage of housing, water and energy etc. “It is clear for everybody that the rapid population growth together with the high migration rate, the unplanned urbanization, etc have become obstacles to the town’s development.” • The revenue collected in the town was covering the expenditure of the town … which is important for the sustainable development of the town.
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Source and Title Relevance to this study • Micro and Small-scale Enterprises are currently becoming the main actors in alleviating unemployment and a base for small industry developments. • The other economic sectors like transport and communication play an important role in the development of an area. • “Generally, it would be worth to explain that the municipality or the city Administration alone cannot bring expected results without the active involvement of the community, wealthiest Individuals, different organizations including NGOs. Thus, the city administration need to have an integrated development plan to promote strong community participation.” It recommends (related to WASH): • Promote extensive development of basic and quality infrastructures (roads, communications, water and energy supplies) for the development of the town • Give due attention to the disabled peoples so as to make them productive citizens by providing special training and education, by opening some business activities • Give due emphasis to environmental pollution with the active participation of the industrialists and other stakeholders • Initiate investors and SME’S who participate in production industries (labour extensive) and also small industries like bricks factory, cottages industries, etc. • Increase revenue of the town by promoting the new revenue reforms with active participation of the tax payers Sululta Planning Office Physical plan for Sululta. Impressive, with 2m contours. It took 3 years to get it approved. It may take time and effort to replace it with the It is in AutoCAD - local office could not hand it watershed-based plan from WLRC? Despite committees, building permits, enforcement powers and community over, so Betty or Henok will try to get it in watchdogs, a large part of development is reported by the local planners to be illegal/informal. The new watershed 23 readable form from regional planning bureau. management plan will need high profile champions . New water system has been designed (see below) but will be subject to design review to take into account current development and proposed planning. Oromia Regional Water Bureau
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Source and Title Relevance to this study Oromia Water Bureau design for Sululta (see Extracts 2 in Annex 12): • assumes that the Sululta existing system works and covers the lowland northern town area. • No layout plans identified for the existing system. • It appears to identify another 41km of pipelines not identified by AG Consult (See Annex 13, Extract 1). • mentions 2 system upgrades (one in 2001EC involving 500m3 tank, generator house, 24km pipelines of which 3km transmission line; one in 2002EC involving 200m3 tank, generator house, 17km pipelines of which 7km transmission line.) • proposes a new system for the upper southern newer development areas (Fig. 2-0-2) • assumes that 4 boreholes can be drilled each with a yield of 25 l/s with pump installation at 250m
These are bid documents and detail design drawing in AutoCAD
WLRC: Development and Implementation of Integrated Watershed Management Plan for Upper Sululta Watershed: Water and Land Resource Centre Addis Ababa University Inception Report (short version) The project falls under the Nestle water stewardship program:
The project is in two phases, currently planning to be followed by implementation:
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Source and Title Relevance to this study
The main outputs related to WASH are protection of water sources, sustainable economic activity (and thus ability to pay for improved services) and direct health impact from environmental protection (solid, liquid and gas). The project has been extended spatially to below existing urban areas and below the Africa China Overseas Leather Industry factory, so capturing all major pollution sources affecting the urban water supply, total 14,465ha. The inception report highlights perhaps one very significant reason why it has been difficult to implement the physical plan and control development; that is, ambiguity as to whether peri-urban areas, where much of the rapid development is taking place, falls under urban or rural control.
Section 5.5 describes extensive monitoring proposals for surface water but is less clear about what will be done to install groundwater monitoring system under the project.
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Source and Title Relevance to this study
The proposed “detailed socio-economic survey” appears to be related to land use rather than urban household characteristics which would be useful for WASH planning. Introduction to WLRC and Sululta IWM Project Some very useful slides illustrating rapid development and urbanisation. It also shows existing environmental degradation and introduces the tools to be used in the project. It indicates that this could be an exemplary project for replication elsewhere and also draw in other private companies Actors-stakeholders objectives and networks Gives methodology for stakeholder FGDs, questionnaires and surveys. Includes urban and rural communities, NGOs, CSOs in Upper Sululta Watershed: the case of and individuals. But with emphasis on public and private “institutions”. Gives very useful information on local government public institutions and private business. July offices and Table 1 is reproduced as Annex 14 to this (Sululta WASH Strategy scoping) report. 2017 It also very usefully lists private enterprises and their use of and impact upon water resources as Table 8 (also reproduced in Annex 14:
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Source and Title Relevance to this study
The analysis also identifies weak public and private sector capacity in relation to IWM and this will be equally relevant to WASH service delivery and the required changes described in this (Sululta WASH Strategy scoping) report:
Implementation Progress Report Nov 2016 to WLRC identify an existing physical plan and compare it with a watershed management plan concept (Annex 13, Extract 3). Sept 2017 However, it is not known whether the WLRC have copy of the existing physical plan or whether the slide is a photo of a wall presentation? RW has seen the AutoCAD version of the physical plan at the Sululta land management office (head, Ato Chela): this took 3 years to develop and to get approval at regional level (consultant was told). Page 66 of 160
Source and Title Relevance to this study Addis Ababa water utility: AAWASSA has plans to drill 2 boreholes and Full details of all plans and funding for Sululta are currently unknown to Oromia Water Bureau. ancillary civil works for Sululta – It is understood that AAWASSA takes water from surrounding Oromia woredas and drills local wells as compensation. Also, there is reported gross pollution of Oromia water courses from Addis Ababa sewage (but not Sululta)
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6 ALIGNMENT WITH THE ONE WASH NATIONAL PROGRAMME AND GTPII COMPLIANCE
Since well before 2013, it has been the aspiration of GOE that all Ethiopian urban and rural WASH interventions should fall under the umbrella of the One WASH National Programme (OWNP). The basic principle is “One Plan, One Budget, One Report” with procedures established under a Water Implementation Framework (WIF). A Consolidated WASH Account was set up to pool funding, a National Water Inventory (WIF) was undertaken and a unified Monitoring and Evaluation (M&E) System was intended.
The OWNP has been running since 2013 (under an MoU signed by the ministries of Water Irrigation and Electricity, Education, Health and Finance and Economic Development). It is currently being reviewed and updated (in detail for July 2017 to June 2020 and in generic terms to 2030) to ensure that it is in line with Ethiopia’s second Growth and Transformation Plan (GTP-II to 2020), see Annex 3, and the internationally agreed SDG targets (to 2030, see Section 7 below).
Achievement of these targets from the current baselines presents many challenges, but successful full-scale demonstration projects have the potential to catalyse change across the country through regional and national fora for sharing good practice. The integrated approach to WASH in Sululta offers the potential to develop and implement such a catalytic demonstration project, where equitable, affordable and desirable long- term services are provided in a financially, socially and environmentally secure way; in other words, sustainable.
It is likely that new Ethiopian OWNP modalities will include the following relevant broad concepts:
Concepts under Proposed interpretation for the Sululta WASH Strategy consideration by GOE 1 Regional regulators24 Locally regulated model with: (reporting to a federal oversight body)
24 As included under GTPII (Goal 4.2, Annex 3) and current south-south dialogue Page 68 of 160
Concepts under Proposed interpretation for the Sululta WASH Strategy consideration by GOE 2 Two-way (oversight • Municipality (as the effective owner of assets) through a strengthened Water Board structure, signing a Performance and reporting) Agreement (or Service Management Contract) with one or more physically and financially ring-fenced accountable mechanism through “utilities”25 KPIs (key • The utilities would be responsible for operating and managing the assets that are “owned” by the municipality performance indicators) • The utilities could be community organizations or private entities 3 Voluntary clustering • The Performance Agreement (with its included KPIs and other schedules such as staff incentives and audit) approved by of large, medium Oromia Water Bureau, following consultations carried out as part of this strategy implementation 26 and small towns • A Water Users Group acting as citizens “watch-dog” with terms and conditions and funding as provided in the Performance Agreement 4 Inclusion of It is proposed that all public pipe water supplies and faecal sludge management (FSM) within the watershed and utilised by 27 networked villages domestic, institutional (schools, health, government, remand, etc.), sport facilities, commerce and industry should fall under under (1), (2) and utility management. (3)28 Following the example of the One WASH Plus29 towns, it is also proposed for Sululta that domestic solid waste should fall under utility management (but not solid and liquid commercial and industrial wastes, nor hazardous health wastes). The reasons for the inclusion of FSM and SWM under single utility management is that: • There are similarities in operational requirements for FSM and SWM • The effort in setting up an accountable and sustainable service will not need to be duplicated
25 See Annex 5 26 See IUSHS&SAP (see footnote below) 27 See “Operation and maintenance of Rural Piped Multi Village Water Schemes, Consensus Report (final approved by MoWIE) 22 June 2017” 28 This concept is new and under consideration under OWNP current review 29 Under a project managed by UNICEF and funded by DFID, 8 medium sized towns have been established with full WASH and SWM services Page 69 of 160
Concepts under Proposed interpretation for the Sululta WASH Strategy consideration by GOE • Water supply and sanitation are of equal importance and both need a sustainable service delivery mechanism The subject of licensing of ground and surface water abstractions used both for the public water supply as well as for individual abstractions (domestic, institutional, commercial, industrial, irrigation, livestock) will be further covered by the Integrated Landscape Management Plan. See also item 7 below. Similarly, the control of hazardous solid and liquid commercial, industrial and health wastes will be further covered by the Integrated Landscape Management Plan. See also item 7 below See photos (Annex 1) which illustrate some of the solid and liquid waste disposal challenges currently experienced in Sululta. 5 Delegation of It is common in Ethiopia for Small and Medium Enterprises (SMEs) to manage WASH services at the delivery end: Examples of services and support delegated services which may be active in Sululta may include: functions to • Urban water supply public taps at Kebele level: The tap is metered, tariffs are regulated and the operator submits her community accounts to the utility organizations and private enterprise • Rural water supplies are generally operated by WASHCOs, which may or may not be registered: These comprise and involving clear “volunteer” part-time individuals, generally underqualified to operate mechanical systems and manage billing and contractual accounts. obligations • Public toilets may be operated by women’s groups: The motivation is more job creation rather than service delivery: Service levels may be poor due partly to low remuneration for the women and partly to inadequate management. • Solid waste is collected door to door by collectives using donkey carts and delivered to transfer stations or direct to out- of-town dump sites: Control may be poor. • The informal sector, which can be regarded as “private sector”, may be heavily involved in gleaning at transfer stations and dump sites and in recycling activities. These have the potential to be organized and transformed into commercial enterprises. Additionally, there is potential to expand “delegation of services” to include “outsourcing” many WASH activities to community groups and private enterprise, but only under strict contractual terms that ensure both value for money for the client and also fair remuneration for workers; this may include: Page 70 of 160
Concepts under Proposed interpretation for the Sululta WASH Strategy consideration by GOE • Maintenance of mechanical and electrical equipment • Operation of ring-fenced water supply zones by local community or private enterprises - this has been shown to be particularly effective in low-income areas elsewhere • Billing • Sanitation marketing; manufacture, promotion and sale of washable precast latrine slabs (many models available, either for dry pits or pour flush systems) • FSM using manually operated sludge pumps, sealed containers, donkey carts or pickups, PPE and worker wash facilities, safe and legal disposal (see examples from WSUP website and Annex 11; also, Kibera Nairobi experience from 2010-12, which is not on the website) 6 Sustainability As noted above, the Oromia Water Bureau has carried out a detailed design of a new upper (southern) Sululta urban water Master Planning and supply. While not undermining the excellent work done here, we recommend that this should be taken back a step to 30 Feasibility Studies feasibility stage so as to take into account:
• The existing (northern) urban water system and potential for integration with the proposed new system • The Landscape (Watershed) Management Plan, currently in progress by WLRC, and its integration with, or replacement of, the existing physical plan in use (although poorly enforced) • Principles of Sustainability Master Planning and Feasibility Studies as detailed in this report
30 The concept of Sustainability Master Planning has been fully described in the Integrated Urban Sanitation and Hygiene Strategy and Strategy Action Plan (IUSHS&SAP) which was adopted by GoE in March 2017. The word “sustainability” was added to emphasise that sanitation and water planning is much more than about the infrastructure normally associated with conventional master planning. The IUSHS&SAP was produced by WSUP Advisory (2014 to 2016) working on behalf of five ministries led by the Ministry of Health and under a contract with UNICEF. The IUSHSAP guidance chapters have been adapted for all WASH activities (not just urban sanitation) and for Sululta in particular: These are included as Annexes 4 to 10 inclusive. Sustainability Master Planning and Feasibility Studies are covered by Annex 4 Page 71 of 160
Concepts under Proposed interpretation for the Sululta WASH Strategy consideration by GOE Sustainability Master Planning and Feasibility Studies involve various elements that make up comprehensive plans capable of yielding “bankable projects” or “the least cost option that provides equitable financially and environmentally sustainable sanitation and water service delivery”. The following should be included under the heading of sustainable planning: • Socio-economic analysis • Cross-cutting factors (resilience to natural and manmade disasters, discretionary tariffs, equitable service delivery, gender and the disadvantaged) • ESIA and IWRM (see Item 7 below) • Appropriate and affordable technology • Economies of scale, sharing and delegated management (see Items 1 to 5 inclusive above) • Formative research • Financial analysis • Tariff structures and phasing • Funding • Technical assistance 7 Environmental and An essential part of master planning and feasibility studies is environmental and social impact assessment (ESIA) required social impact before particular projects can start; for instance: assessments and • FSM (Fecal Sludge Management) primary and secondary treatment systems, including DEWWATS (Decentralized Waste IWRM31 Water Treatment Systems), need to ensure that groundwater sources are not affected and that faecal sludge and liquid wastes are treated sufficiently for safe re-use
31 As many commentators within Ethiopia have advised and as included under GTPII and SDGs, it is essential that water and sanitation schemes consider the wider water and environmental factors Page 72 of 160
Concepts under Proposed interpretation for the Sululta WASH Strategy consideration by GOE • Communities, as well as politicians and technical managers, need to be sufficiently sensitised to the low impact of well- designed and operated sanitation systems located close to dwellings. Such sensitisation (or advocacy) may take many months and may require visits to successful “demonstration sites” (working business models) and sharing of good practice An “IWRM structure” includes oversight, licensing, reporting and enforcement mechanisms: • Industrial scale irrigation may significantly impact on traditional village and pastoral water practice • Demand for water for domestic, commercial and industrial uses in towns and cities may also compete/impact surrounding village water supplies • Conventionally, IWRM normally requires a licensing system for surface and ground water abstractions based on sound hydrological and hydrogeological science and administered strictly under well-funded and independent national or regional EPAs (Environmental Protection Agencies). In this way, competition for water resources can be managed equitably, generally with priority being given to domestic water needs over agriculture and livestock; and both of these being given priority over industrial and commercial needs • Equally important, but rather more difficult, is the control of illegal solid and liquid wastes into the aquatic environments; point pollution sources from sewage treatment plants and industrial can, in principle at least, be controlled through legislation and enforcement capacity. However, dispersed pollution sources from urban septic tanks, pit latrines, solid waste and agriculture are extremely difficult to tackle and may need in-stream mitigation as well as upstream controls • Protection of groundwater from pit latrines and holding/septic tanks requires good design to ensure that facilities are
above the water table and that attenuation of BOD5 and nutrients such as nitrates (currently observed in the Nestlé boreholes) is performed effectively by shallow soil bacteria. Surplus sludge must be removed on a regular basis to ensure that attenuation soakaways do not become clogged such as to limit or stop efficient bacteria activity. 8 Competition for Regional governments have limited funding available through sector budgets (MoWIE, MoH, MoE, MoHUDC), OWNP CWA, funding based on multi-lateral, bi-lateral and CSO sources. Projects based on sustainability analysis and that can be shown to have potential for “bankable projects”
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Concepts under Proposed interpretation for the Sululta WASH Strategy consideration by GOE scale up and/or replication are the ones most likely to attract funding since they offer good value for money or “return on investment”. This is the principle involved in the Water Resources Development Fund, but uptake of available funding has so far been poor for a number of reasons, but principally due to the current low financial viability of urban water utilities and the preference for “easy” grant money (although inadequate to meet GTPII). Establishing viable utilities in Sululta will have a number of benefits: (a) better service to customers including low income area, (b) environmental protection, (c) funding pull, (d) political status, Etc. 9 Clarity on asset Before schemes are constructed there needs to be clarity on the eventual ownership of the assets. Generally, installed ownership infrastructure, construction equipment and temporary works remain under ownership of the developer (funder and/or contractor) until the “practical completion (PC)” date, at which point permanent works become the property of the client. The contractor retains responsibility for fixing faults in construction during the defect liability period (DLP). This is all standard procedure for civil works but where communities may be engaged in construction of small to medium sized projects and where exiting local or village type schemes are to be improved and taken under public control then it is imperative that an “asset transfer agreement” is negotiated and signed before works are commenced. On the other hand, even though physical ownership may be transferred, there is significant advantage that some sort of “symbolic ownership32” be retained at community level so as to avoid illegal connections, reduce vandalism, ensure leak reporting and improve willingness to pay for services. In low income areas, as well as other areas, delegation of sub-city management to locally recruited staff or local private enterprise has the potential to retain such “symbolic ownership” (see Annex 5, part 2). 10 Equitable Funding may be DP and CSO led unless channelled through sector or CWA budgets. It may be possible to “steer” such funding distribution of to focus on “bankable projects” that ensure affordable and adequate services to customers.
32 The author first heard the “symbolic ownership” terminology in relation to Water Trusts first established in Lusaka in 2000 under sponsorship from CARE International. The 10 water trusts serve around 500,000 people in LIAs and are still held up as efficient and acceptable service delivery models, now also incorporating FSM in two cases Page 74 of 160
Concepts under Proposed interpretation for the Sululta WASH Strategy consideration by GOE funding monitored by regional bureaus, but not at the expense of undermining competition 11 “In-house” capacity See item 7 in the table included under Section 4 above building at woreda and municipal levels through long-term on-the-job technical assistance and centres of excellence training
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7 GLOBAL PROGRAMMES FOR WATER AND SANITATION
As discussed in Section 6, Ethiopia’s current use of GTPII as its short-term goals are proving to be challenging for the country. To achieve the onerous targets in SDG6 will also require clear and enlightened policies, technical capacity, knowledge management and massive investment: However, the Sululta WASH Strategy as described in this report aligns with the SDG ambitions and has the potential to demonstrate how the SDG targets may be met; principally through financial, social and environmental sustainability, including WASH sector reform measures and strong advocacy. The years 2000-2015 marked the Millennium Development Goals striving to halve the proportion of people without access to hygienic sanitation facilities by 2015. In addition, by 2025, access to safe water and hygienic sanitation facilities was targeted for everyone. Since the global MDG effort was not fully successful especially with sanitation, the programme for WASH services has been extended up to 2030 and the programme name has changed from Millennium Development Goals (MDG) to Sustainable Development Goals (SDG) with 17 goals and 169 targets. Goal 6 aims to ‘Ensure availability and sustainable management of water and sanitation for all’ comprising six technical targets relating to: a. Drinking water: (Target 6.1): By 2030, achieve universal and equitable access to safe and affordable drinking water for all b. sanitation and hygiene: (Target 6.2): By 2030, achieve access to adequate and equitable sanitation and hygiene for all and end open defecation, paying special attention to the needs of women and girls and those in vulnerable situations c. wastewater management (Target 6.3): By 2030, improve water quality by reducing pollution, eliminating dumping and minimizing release of hazardous chemicals and materials, halving the proportion of untreated wastewater and substantially increasing recycling and safe reuse globally The 2030 global agenda for water and sanitation services is not merely for the sector but also to support the achievement of other targets through WASH services. These includes: reducing poverty and achieving universal access to basic services (Targets 1.1 and 1.2); ending all forms of malnutrition (Target 2.2); ending preventable child deaths, combating neglected tropical diseases and waterborne diseases, and achieving universal health coverage (Targets 3.2, 3.3, 3.8 and 3.9); providing safe and inclusive learning environments (Target 4a); ending violence against women and girls and reducing gender inequality ( target 5.2 and 5.4); ensuring adequate, safe and affordable housing for all (Target 11.1) and reducing deaths caused by disasters (target 11.5).33
33 United Nations General Assembly, ‘Resolution adopted by the General Assembly on 25 September 2015: 70/1. Transforming our world: The 2030 Agenda for Sustainable Development’, A/RES/70/1, 21 October 2015 Page 76 of 160
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ANNEXES
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ANNEX 1: PHOTOGRAPHS OF SOME OF THE ENVIRONMENTAL AND HYGIENE CHALLENGES
The following photographs illustrate some of the solid and liquid waste disposal and hygiene challenges currently faced in Sululta
SOLID WASTE “TRANSFER STATION” AND “TEMPORARY” SOLID WASTE DISPOSAL SITE
TANNERY RECENTLY CLOSED DUE TO DISCHARGE OF UNTREATED WASTES TO RIVER. PLACENTA PIT AT HEALTH CENTRE FULL OF SOLID WASTE.
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LARGE ABATTOIR UNTREATED SOLID AND LIQUID WASTE DUMP.
DISEASE VECTORS AT WORK. UNTREATED LIQUID ABATTOIR WASTE FLOWING TOWARDS INFILTRATION ZONES.
UNPROTECTED SPRING SERVING DOMESTIC WATER, DONKEY VENDORS, LAUNDRY AND LARGE AREA OF IRRIGATION.
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EVIDENCE OF POLLUTION PLUME FROM HOUSING AND COMMERCIAL AREAS UPSTREAM OF WATER ABSTRACTION WELLS. GROUNDWATER FLOW IS SOUTH TO NORTH ON THE PLAN. COMMERCIAL ENTERPRISES HAVE RESOURCES AND COMMERCIAL INTEREST TO PROTECT AND/OR TREAT ABSTRACTED GROUNDWATER, WHILE PUBLIC WATER SUPPLIES MAY RELY ON GROUNDWATER BEING POTABLE AS ABSTRACTED
LATRINE FACILITIES AT MUNICIPAL OFFICES AND HEALTH CENTRE SHOWING OUT-OF-USE HANDWASHING FACILITIES, PARTLY DUE TO LACK OF WATER SUPPLY BUT ALSO DUE TO A LACK OF SANITATION AWARENESS AT ALL LEVELS, FROM PROVIDERS TO CONSUMER
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ANNEX 2: INFORMATION REQUESTS NOV AND DEC 2017
Existing physical water system in Lower Sululta: • Physical layouts of all existing public water systems in the four kebeles (boreholes, transmission pipes, reservoirs, distribution pipes and public taps). These could be reasonably plotted onto google earth maps with levels on boreholes, tanks and high and low pipeline point included. • Current yields of all public water supply boreholes in all four kebeles (at least one month’s record of meter readings and hours pumped at each borehole, if meters are non-functional, then they must be replaced or repaired first). Local operatives should be shown how to do this on a daily basis and how to enter data on paper and then onto spreadsheet. • Explanation as to why the stated yields are high enough to meet all current demand but yet consumers only receive water for a fraction of the week through a rationing system? This will need in-depth discussion with the Sululta water bureau as well as with the municipality and mayor’s office. • Explanation as to why water is pumped directly into the distribution system rather than pumping at night as well as day to fill the storage/ distribution tanks? This will also need in depth discussion with the Sululta water bureau as well as with the municipality and mayor’s offices. Physical town plan being used by local physical planning department: • The existing physical plan in AutoCAD and also in readable format for computers with standard software. This can possibly be obtained from regional planning bureau or from WLRC, which we have been told has a copy. Commercial data of the local public water supply operations: Data on commercial aspects of the water unit in Sululta (where known or available from written records), which perhaps can be gathered from water office, revenues or through the mayor's office? • two latest recent years of annual accounts and/or auditors report • numbers of working, non-working and missing domestic meters • numbers of working, non-working and missing institutional, commercial, industrial meters • number of working, non-working and missing public tap meters • billing efficiency, that is, revenue as a percentage of bills issued Management structure of the Sululta Water Bureau • Oversight of operations and performance – through town water board or other • Staff numbers, grades, qualifications and duties • Office facilities, computers, etc. • Workshop facilities • Transport
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Results as at 29.12.17
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ANNEX 3: 5-YEAR GROWTH AND TRANSFORMATION PLAN II 2015- 2020 (GTPII, EXTRACTS)
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ANNEX 4: PRINCIPLES OF SUSTAINABILITY34 MASTER PLANNING AND FEASIBILITY STUDIES
(Concepts are adapted from the Integrated Urban Sanitation and Hygiene Strategy Action Plan (SAP) developed by WSUP Advisory for Government of Ethiopia under contract to UNICEF) 1 Introduction This section gives guidance on the general principles related to master planning; it does not specifically state who is responsible for each component related to master planning. However, it is generally expected that the master planning shall be carried out by individual or groups of municipalities and utilities with assistance from the Regional Water Bureau. These organizations will use their own resources and will further engage support from national and international Technical Assistance, Universities and Technical Colleges. “Minimum package” plans need to be developed for applicant individual and grouped/clustered municipalities and utilities based on readiness criteria. Master planning and feasibility studies are required to prepare such minimum packages that are financially and environmentally sustainable and that can demonstrate a business case or “bankable project” worthy of investment. “Minimum package” has so far been conceived as applying to individual towns, with smaller towns generally being allocated lower levels of service than larger ones in the planning process. However, this has the risk of leaving smaller towns at the bottom of the ladder for some considerable time, with serious impact on the most vulnerable, including children. The SAP therefore takes a different approach in that it encourages small and large towns to group and eventually formally cluster to share services under reformed management structures (for instance, WaSH under a utility serving several towns and certain SWM services under a delegated operator …... Under these circumstances, equitable service delivery can be assured across towns of different sizes. As important, environmental protection measures can be applied throughout the service delivery areas that include both small and large towns. Because of economy of scale, institutional review and other factors, the sustainability master planning should be able to identify a Minimum WASH Package (MWP) that could be broadly defined as: “The least cost option that provides equitable financially and environmentally sustainable water and sanitation service delivery for both small and large towns”. This annex outlines the various elements that make up comprehensive master plans capable of yielding up “bankable MWP” projects. These elements, included below, are socio-economic analysis (Section 2 of this annex), cross-cutting factors (3), appropriate and affordable technology (4), economies of scale, sharing and delegated management (5), formative research (6), financial analysis (7), tariff structures and phasing (8) and technical assistance (9). Not included in the list below, but an essential part of more detailed feasibility and design studies that may follow master planning, are environmental and social impact assessments, ESIAs, that may be required before a project starts. However, it is important to be aware at master planning stage of any potential issues that might arise at ESIA stage. For instance, FSM primary and secondary treatment systems including DEWWATS (decentralised waste water treatment systems) need to ensure that groundwater sources are not affected, that sludges and liquid wastes are treated sufficiently for safe re-use, and that communities, as well as politicians and technical managers, are sufficiently sensitised
34 The word “sustainability” has been added to emphasize that water and sanitation planning is much more than about the infrastructure normally associated with conventional master planning Page 94 of 160
to the low impact of well-designed and operated systems located close to dwellings: Such sensitization (or advocacy) may take many months and may require visits to successful “demonstration sites” (see Annex 7 which includes sections on “sharing of good practice” and “business models”). 2 Socio-economic analysis The basis for any water, faecal sanitation and solid waste master plan is knowledge about the customers to be served by municipal and utility operators, both to understand their needs and aspirations and also to determine what is affordable. This includes socio-economic status of the various groups of customers, their spatial distribution and population trends. Such trends include in- and out-migration, natural growth, densification, planned or assumed expansion of service areas, etc. The analysis must recognize town planning ambitions in terms of “slum clearance” and medium rise replacement, commercial and industrial development, creation of open spaces and infrastructure development (roads and railways). 3 Cross-cutting factors Sustainability master planning shall take full account of all cross-cutting factors which include: Resilience to natural and manmade disasters: ➢ This shall involve increasing design factors, such as on surface raw water storage, groundwater reserves and treated water storage ➢ It should also involve establishing and supporting the supply chain for in-house water filtration units to allow for contaminated mains water during water rationing and to mitigate for residents using alternative contaminated surface and shallow groundwater sources of water ➢ Design of sanitation systems shall be based on lowest predicted per capita water availability during drought or due to water being required by disasters in the locality; at least 50 l/p/d is required at household level for full flush systems connected to centralized sewage treatment systems.35 ➢ Hence centralized sewerage systems should only be considered where water supply of around 100 l/p/d and 150% of industrial and commercial demand (to allow for temporal and spatial variations related to consumer types and for NRW) can be assured, including drought years, for all consumers connected to the sewerage system ➢ As a result, low water usage sanitation systems shall be considered as an option in all master planning: Such systems include minimum cost, but environmentally sustainable, FSM systems based on pit latrines, septic tanks and decentralized waste water treatment systems DEWWATS (4) Discretionary tariffs: ➢ In areas where financially sustainable water and sanitation tariffs will be introduced, discretionary tariffs shall be considered ➢ This may perhaps best be implemented by delegated operators who are aware of hardship cases and can register these households as eligible for subsidised charges36
35 However, to date, average per capita urban consumptions above 30 l/p/d are rarely reached, even under normal climatic conditions and even in large developed cities 36 An example may be given from direct observation in Ethiopia low income urban areas where the residents buy water from a utility managed kiosk and where the kiosk operator earns her money on a commission basis (hence it can be regarded as “delegated management”). See for instance visit note to Awash Melkassa: “Visit to one “Ketena” or “Goxii” No.2: 297 households, 203 male led and 94 female led. Water vendor sells 25l for 0.25 Birr. She pays 2.50 Birr/m3 to the utility. From a bill that she produced, she paid 250 Birr to the utility in one Page 95 of 160
➢ If larger scale private or community based delegated water, sanitation and SWM service providers, serving populations of say 10,000 or more households, are planned under institutional changes (and where these have been demonstrated to be financially and environmentally sustainable through master planning and feasibility studies) then such operators should also be close enough to the communities to evaluate and manage discretionary tariffs. Equitable service delivery: ➢ It is obviously not possible for all urban customers to receive the same level of water and sanitation services since the variations in standards of in-house facilities, and what each customer can afford, between low and high-income residents may be vastly different. However, the concept of “equitable service delivery” shall be included within any specific service level category ➢ For instance, all water kiosks shall be open for the same length of time each day and have sufficient pressure to meet consumer demand. Also, customers with a household meter at the perimeter of a water supply zone shall have equal water availability to customers at lower elevations and closer to water sources ➢ Appropriate FSM services shall be available to all customers in a given service area at the same unit charge: For instance, in predominantly pit latrine areas low cost technology with manual operation of equipment and donkey cart haulage to transfer stations shall be considered in order to bring service levels in line with customer affordability levels (4) ➢ The above 3 bullets of course require adequate master planning and subsequent detail design and full implementation of water systems and FSM infrastructure and services ➢ Solid waste collection services shall be available to all customers throughout the town with appropriate primary collection methods used to ensure the dual requirements for job creation but also for full primary service level cost recovery, that is, at least to transfer stations ➢ It is considered that SWM tariffs (8) should be based on property value so as to generate revenue from higher income residents to subsidize downstream costs in the sanitation chain, that is, secondary transport and environmentally sustainable final disposal (reuse, recycle and sanitary landfill) Gender and disadvantaged: ➢ The sustainability master planning shall explore and evaluate low cost options for sanitation facilities located within private, public, communal, commercial, educational, health, government and other institutional buildings to cater for gender and vulnerability requirements ➢ Such sanitation facilities shall have child, gender and differently abled features, but importantly they shall take into account the whole sanitation chain in terms of appropriate technology and cost recovery to ensure affordability for these customer categories ➢ Women, youth and differently abled persons (the CGD category) shall be involved in enterprises that will deal with sanitation services, partly since these are vulnerable groups often with poor sanitation services themselves ➢ The principle of job creation shall not conflict with the principles of efficiency and cost recovery; as such, enterprises shall be required to agree to and sign delegated service management
month (250/2.5 = 100m3 in sale per month). So gross income = 100/0.025*0.25 = 1,000 Birr and net income = 1,000 -250 = 750 birr = around USD 37 per month.” In this particular case, the local Ketena official and the water vendor herself, when asked, did not see a need for subsidized charges, since the charges were already low. However, the potential is there. Page 96 of 160
contracts (Annex 5) to ensure equitable and sufficient financially and environmentally sustainable service delivery ➢ The involvement of women, youth and differently abled persons in environmental protection activities shall also be considered to fill the “gap” between household responsibility for in-house cleanliness and the regular municipal and utility service provisions; namely, open dumping of rubbish. See Annex 6 for recommended actions around communal and “no-man’s land” areas ➢ In compliance with the GTPII (Annex 3), women membership of WASHCOs shall be increased to 50% or more and training of women artisans, higher and medium professionals shall be increased to 25% or more 4 Appropriate and affordable technology There is an urgent need to develop and use a range DEWWATS technical options on a large scale in Ethiopia, due to the country’s medium rise housing policy, satellite housing and industrial and commercial centres, countrywide shortage of water required for full flush toilets, high cost and/or lack of available land, lack of sewerage and sewage treatment work infrastructure and other factors. See Annex 7 for R&D related to DEWWATS. This means that increasingly sophisticated technology will need to be developed and rolled out on a large scale for the very dense urban environments that are increasingly appearing in Ethiopia. Such systems will equally require sophisticated supply chains and O&M systems to be established and maintained in a financially and environmentally sustainable way; the full business case around DEWWATS shall be derived as part of sustainability master planning and inter-relationship agreements and contracts shall be drawn up between owners, operators and the users of recycled liquids and solids. Where space allows, for instance in less densely populated urban areas, DEWWATS shall be developed that are based on appropriate technology such as baffle reactors, planted gravel beds, etc. With this exception of DEWWATS in large towns and cities, other technologies and business plans associated with sanitation shall be appropriate to customer affordability (2). This will need new or revived approaches in the master planning that consider such factors as: ➢ Sanitation marketing of low cost pit latrine slabs: research, design and businesses development around manufacture and selling of mass produced GRP, polypropylene, smooth thin reinforced concrete (using moulds), “Sand-plat”, etc. types that also allow for easy and hygienic pit emptying using mechanically driven and hand operated pumps (see bullet below) ➢ Manually operated pumping systems for emptying pit latrines, particularly in inaccessible locations and low-income areas.37 See also Annex 7 for discussion on R&D related to manual systems. ➢ Small scale sludge transfer stations under delegated management and located within town boundaries that also act as anaerobic primary treatment and using generated biogas for local small-scale enterprises. ➢ Secondary small scale engineered sludge drying beds, also located within or just outside town boundaries, from where treated sludge can be marketed as a soil conditioner for municipal and private development landscaping. ➢ Sorting of solid waste at household level into organic, metals/plastic and non-recyclable; involvement and formalization/support of the existing informal sector involved with recycling
37 This is clearly an area for R&D (Annex 7) where labour orientated systems need to be considered and demonstrated as part of financially sustainable and equitable service delivery to all, not just to middle and high income customers.
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➢ Establishing cost effective local, regional and national reduction, re-use and recycling technologies (the “3Rs”) and associated supply chains and businesses ➢ Establishment of supply chain and marketing of low cost “candle” water filters for use in houses, commercial and institutional establishments (3)38 As an integral part of sustainability master planning, individual and voluntary grouped/clustered municipalities and utilities, along with their consultants and under guidance from regional bureaus shall fully evaluate appropriate and affordable sanitation technologies related to household toilets, communal toilets, public toilets, institutional toilets, health sanitation facilities, sanitary land fill sites, sludge drying beds etc. as indicated above. The master planning shall also involve wherever possible Ethiopian (and if necessary counterpart international) universities and TVETCs having strong sanitary engineering faculties. Through the “sharing of good/best practice” at regional and national levels (Annex 7), being fed in part by the results from “holistic” sustainability master planning actions, as described in this section, then it is expected that manuals will be produced at national level that will give further guidance on technological options and possible business models available at different levels of affordability. It is further expected that Ethiopian (and if necessary counterpart international) universities and TVETCs having strong sanitary engineering faculties shall play a role in writing of the manuals and in developing and monitoring “full size business models” 39. 5 Economies of scale, sharing and delegation Consideration of informal sharing (short term) and formal “clustering” shall be a core institutional component of all master plans, as discussed in Annex 5. This will also be a likely prerequisite for introduction of utility regulators (GTPII Annex 3). This will need the full voluntary cooperation of all participating towns which see the service delivery benefits and the greater possibility of “bankable MWP40 projects” to attract grant money and, importantly, that have the potential to lead to healthy financial operations able eventually to attract loan money. Delegation of ring-fenced sections of service delivery and specialist activities to private and community based organization under strict delegated service management contracts (DSMCs, Annex 5) shall be fully integrated in the master planning proposals. 6 Formative Research Urban water and sanitation is principally about service delivery: An enabling environment is needed to ensure delivery of sustainable services but also to ensure that customers use and pay for the services once provided. However, there are likely to be “road-blocks” at both these levels which could result, for instance, in slow implementation of management and operational systems on the one hand and slow uptake of services by customers on the other hand. The result may be wasted investment or low “return” on the investments (in terms of consumer benefit).
38 This will greatly reduce the unit cost of water associated with plastic bottles (including the cost of plastics disposal) and make safe water available to lower income consumers normally obliged to drink often unreliable mains water. This will also be a step towards 3Rs by reducing waste 39 It is to be noted in this respect that small scale pilot projects may be able to test technologies but that these have limited value when it comes to the generally more difficult area of testing business models 40 Minimum Sanitation (or WASH) Package has been suggested under the SAP to be: The least cost option that provides equitable financially and environmentally sustainable sanitation (and water) service delivery for both small and large towns Page 98 of 160
As discussed under the advocacy (Annex 6), what is known as Formative Research is required to identify, at an early stage in master planning, blocks to the implementation of financially and environmentally sustainable services and blocks to customer demand for and uptake of those services. The methodologies used in Formative Research to bring about behaviour change (that is, including high level change within municipalities and service providers as much as consumer change) include “Tools” and “Communication Plans” that shall be formulated as part of sustainability master planning, detailed feasibility study and design stages. Essentially, Formative Research builds on Socio-economic Analysis (2) and Appropriate and Affordable Technology (4), taking into account Cross-cutting Factors (3) and ideally linked in an iterative or “feed- back loop” with Financial Analysis (7) to arrive at an Information, Education and Communication (IEC) strategy. The communication plans within the IEC roll out may typically be formulated to address fouror more time stages; pre-construction, during construction, post-construction and long-term repetition of behaviour change messages. 7 Financial analysis Financial analysis, which shall be carried out as the key part of master planning and feasibility studies, should demonstrate that a project is “bankable” in terms of financial sustainability, such that it will attract funding from donors and lending agencies. The analysis may, as above, involve an “iterative process” involving technical development (3), economies of scale (5), formative research (6) and tariff structures and phasing (8): ➢ For instance, a particular sanitation technology or service delivery level may be desired, and the corresponding capital and operating costs will be entered into a financial model. However, the result of running the model may show that the tariff levels needed to cover the costs (O&M and loan repayment, if any, and depreciation/ replacement cost), in the absence of long-term reliable cross-subsidy or outside subsidy, will be beyond the customer ability to pay (as determined from socio-economic study (2). ➢ The iterative process therefore might involve re-visiting technologies that are simpler and/or more labour intensive (3) and/or it might involve revisiting formative research (6) and tariff structures (8) in order to explore whether the higher income customers could pay more in order to subsidize services to lower income customers. Alternatively, funding agencies might be approached to negotiate softer loan terms. ➢ In addition, the actual figures on income and expenditure in many situations may not be accurately known: In these cases, it is essential to run sensitivity analyses on the financial model to minimize project risk. Consideration of economies of scale (5 and Annex 5) suggests that sharing, more formal clustering and delegated management may be beneficial, since they should lead to more cost-effective service delivery and easier regulation and monitoring. This will in turn increase customer willingness to pay and to use the service41, thus improving the overall financial sustainability of service delivery and increasing investor confidence, whether on a grant or loan basis. However, such proposals need to be clearly optimised through financial analysis: For instance, including a more distant town in a cluster where roads and communication channels are poor might in fact increase, not decrease, overall costs.
41 Terminology used elsewhere discusses moving from a “vicious cycle” (poor service > low willingness to pay > no income to improve service > poor service) to a “virtuous cycle” (improved service level > willingness to pay > increased income > increased investment in services > improved service levels) Page 99 of 160
8 Tariff structures and phasing As discussed above under financial analysis, business planning involves “balancing the books” whereby the levels of service provided and the degree of technical sophistication are matched by income generated from sales. In practice, even after introduction of all possible efficiency measures, full cost recovery for sanitation services is difficult to achieve, particularly if capital costs are included: Therefore, the SAP proposes the inclusion of subsidies and cross-subsidies as part of the business planning and for inclusion in the financial modelling. The SAP also proposes that subsidies be applied to “downstream” ends of sanitation chains, since ability to pay for “upstream” primary labour intensive low tech solid waste collection, and for proposed primary labour intensive low tech faecal waste collection (4), may be expected to be sufficient to cover costs. It is more difficult to get cost recovery on downstream treatment, recycling and final disposal systems. Also, lower gate fees at solid waste disposal sites for instance can be utilised as one means (alongside enforcement) to discourage illegal fly tipping. Although sewerage charges (ideally at full cost recovery rates) should be combined with water bills and be based on water volume, charges for pit emptying and septic tank and cesspit desludging as well as for solid waste should in principle be based on volume. However, as suggested under Sub- section 3, cross-cutting factors, discretionary tariffs shall be considered and tariffs should include a multiplier factor based on property value so as to generate revenue from higher income residents to subsidize downstream costs in the sanitation chain, that is, secondary transport and environmentally sustainable final disposal (reuse, recycle and sanitary landfill) Master planning shall aim for full cost recovery for water supply including capital and depreciation costs as well as generation of a surplus to subsidise sanitation. Further, sanitation subsidies from municipal rates, electricity tariffs, etc. shall be discussed and agreed at municipal and regional levels. Where possible and acceptable to the local and national economy, a surplus might be generated from industrial and commercial tariffs to subsidize downstream sanitation services. Of course, willingness to pay will likely only be achieved following construction or rehabilitation of systems to ensure adequate water sources, storage and distribution and implementation of IEC packages (6) and advocacy measures (Annex 6). The master planning shall allow for sustainable charges for vacuum trucks within business models that maximise upstream labour-intensive systems (4) and economies of scale (5). For instance, labour intensive operation of small mechanical and manual desludging pumps and donkey cart transport of sealed containers to local transfer/ primary treatment stations will allow the limited number of expensive-to-run vacuum trucks to concentrate on continuous full tank runs from transfer stations to drying beds in a well-managed highly efficient operation. It is necessary for the master planning to particularly consider commercial and industrial tariffs related to water supply, solid waste management (SWM), hazardous waste management (HWM) and liquid waste management (LWM) (see also Annex 8, Service Delivery). Tariffs, charges and penalties shall be strictly on a “polluter pays” principle aimed at full operational and capital cost recovery as well as to create a surplus to fund a local task force (under the Mayor’s office for instance) or to help fund the EPA in the Ministry of Environment, Forestry and Climate Change (MoEFCC). 9 Technical assistance It is expected that TA will be needed to assist with sustainability master planning and feasibility studies and to support funding bids. The TA shall be focused at individual and grouped/clustered municipality and utility level in order to concentrate on getting coherent master plans together that will generate
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“bankable MWP42 projects” capable of attracting funding. The TA involvement at this level will include on-the-job capacity building and it is necessary that counterpart staff are assigned to work with any TA consultants and that their individual progress is monitored, assessed and reported. The other area for immediate focused TA, including on-the-job capacity building, is expected to be at the level of Regional Water Bureau which will be expected to support the master planning and funding bids within their region. It is also expected that extended term TA involvement will be required for research and development (4) and to bring about institutional changes (Annex 5). TA will be engaged and managed according to the following modalities, which differ from the usual project-based approach where TA is recruited and managed by a single client or project unit: 1. By or through collaborating ministries and bureaus 2. Directly by an associated or collaborating partner organization, which can be a bilateral or multilateral aid agency, service provider, NGO, etc. 3. By contributors to the OWNP through the Regional WASH Coordination office
42 A suggested definition of Minimum WASH Package has been given as “The least cost option that provides equitable financially and environmentally sustainable water and sanitation service delivery for both small and large towns” Page 101 of 160
ANNEX 5: GENERAL WASH SECTOR CHANGE GUIDANCE
(Concepts are adapted from the Integrated Urban Sanitation and Hygiene Strategy Action Plan (SAP) developed by WSUP Advisory for Government of Ethiopia under contract to UNICEF) 1 Economy of Scale All cities and towns shall consider the sharing of facilities and human resources between neighbouring towns in order to benefit from economy of scale and to make the best use of limited technical and management capacity. In the short term the current informal practice of sharing and mutual assistance shall be extended wherever possible and with assistance and guidance from regional government and bureaus. Besides the national and regional advocacy “champions” (as discussed in Annex 6), it may be envisaged that the most rapid improvement and initiatives will be spearheaded by one or more ambitious individuals in each city or group of towns with vision and dedication to improve the living conditions of the urban (and particularly the poor and CGD) residents. Economy of scale means that unit costs for WASH infrastructure and operations will increase significantly as the town size decreases; the benefits to be gained may be demonstrated through financial analysis (Annex 4) of various cluster options. These informal arrangements should, wherever possible, be transformed to more formal arrangements whereby an “association of municipalities” enters into a formal contract with a single public operator formed from the existing town utilities. The formal arrangements shall be made binding through contract: Such a contract might be in the form of Performance Agreement (PA), Service Management Contract (SMC), Concession Contract (CC), etc. with various levels or autonomy, community involvement, private sector involvement, depending on local circumstances and capacity. Contract wording shall consider economies of scale, contracting out/ delegated management, adoption of national good practices, business plans, capacity needs, drought and climate change resilience, tied water and sanitation funding and use of outside technical assistance. However, as noted above, such proposals need to be clearly optimised through financial analysis: For instance, including a more distant town in a cluster where roads and communication channels are poor might in fact increase, not decrease, overall costs. Voluntary sharing and clustering has an added advantage in terms drought and climate change resilience since, for example, multiple water sources combined with emergency water trucks can provide for better distribution to the worst affected areas. Due to the strong links between water supply and sanitation (due to needs of hygiene, flushing water and cross-subsidy potential), individual or clustered municipalities and utilities shall prepare sustainability master plans (Annex 4) and shall test business models (Annex 7) that include both water supply and faecal sanitation. The linkage may also be extended to solid waste management (SWM) since environmental sanitation is also strongly linked to health benefits. Capacity building at service provision level (Annex 6) shall include system development, financial analysis, procurement of facilities, operations, training of staff and development of leadership programs, etc.43. Municipalities and utilities shall initiate and contribute towards regional and national fora for sharing of good/ best practice for technical innovations, operational systems, capacity building, etc. (see Annex 7). 2 Delegation There are many advantages for large or voluntarily grouped (and eventually formally clustered) municipalities/utilities to delegate some of their services to delegated operators which will be responsible either for a specific geographical
43 The One WASH National Programme, in February 2016, issued a series of “OpenWASH” Training Manuals which may be useful for cascaded training Page 102 of 160
area, where accountability and efficient service delivery to customers may be greatly improved, or for specialist technical activities, such as operation of a solid waste disposal site. In this case, the mandated operators (public utility) shall sign a Delegated Service Management Contract (DSMC) with the delegated operators. An example of various DSMC types used elsewhere can be provided by the consultants. The main advantage of a DSMC relates to the physical and financial ring-fencing of services and in establishing a clear full cost recovery (that is, including investment costs) modality in order to both deliver and sustain services. Employee incentive schemes shall be introduced in both SMCs and DSMCs to drive efficiency and improved levels of service. For instance, staff might receive a monetary bonus or other incentive for achieving high KPI (Key Performance Indicator) scores in water and sanitation provision. Additionally, competition between municipalities in any Region, and acknowledgement through award and recognition, shall be initiated to drive improvement: One common KPI example is street cleanliness. However, ability to cover operation and maintenance costs from revenue and to create a surplus for repayment of loans for capital infrastructure would be a higher level and perhaps even more valuable longer-term indicator worthy of recognition. Large private operators shall only be considered once systems have been fully installed and financial sustainability has been clearly demonstrated, since private operators are generally not able to receive International Financial Institution (IFI) grant money and since private companies will be risk averse and likely to pass risk on to customers in increased charges. It is envisaged that, for instance, a delegated sanitation operator serving several adjacent towns should, at least in the short to medium term, be publicly owned. In this way, charges can be controlled to ensure affordability but at the same time minimising outside subsidies. There shall be full cooperation, and written agreements put in place, between all departments and organisations within a municipality or cluster of municipalities with respect to water supply, sewerage, sanitation services, beautification and greening, health services, etc. It is again expected that the municipal authorities, with assistance and guidance from the regional authorities, will play leading roles to ensure that such full cooperation and written agreement are put in place. One clear example of where inter-departmental agreements will be essential is in relation to the planned use of Decentralised Waste Water Treatment Systems. Since the DEWWATS will be adjacent to buildings (medium rise clusters and institutions) within the town, then the technology and re-use paths will need to be fully evaluated at master planning and feasibility stages (Annex 4), fully tested through business models, in terms of financial sustainability, financing, economic value of products (soil conditioner and biogas), responsibility for operation and maintenance, use of private sector, community acceptance, health and safety, ESIA, etc. Inter-department cooperation will be required for many of these links in the DEWWATS “supply chain” (for instance, between the operator of the plant and users of treated products).
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ANNEX 6: PROMOTION AND ADVOCACY
(Concepts are adapted from the Integrated Urban Sanitation and Hygiene Strategy Action Plan (SAP) developed by WSUP Advisory for Government of Ethiopia under contract to UNICEF) 1 Introduction Advocacy needs to be tackled at three levels, all vitally important and essential for successful roll out of the SAP. Section 2 deals with high level advocacy (top-down approach) while Section 3 relates to the equally important promotion of, and demand for services related to, sanitation at household and street level through individual, community and local authority levels (bottom-up approach). Section 3 also describes complementary actions that need to be taken at federal level. In order to achieve financially and environmentally sustainable water and sanitation service delivery, the service providers themselves (municipalities and utilities) need to promote and “sell” their “products” (that is, sanitation and water supply services). This aspect is covered under Section 4. 2 High Level Advocacy Under OWNP, it shall be the role of the National Steering Committee (and the National WASH Coordination Office) to take the national lead on sanitation advocacy and to identify and appoint one or more “National Urban Sanitation Champions”. It shall be the role of the Regional Steering Committee to take the regional lead on sanitation advocacy and to identify and appoint one or more “Regional Urban Sanitation Champions”. This action shall be assisted by Regional WASH Coordination Offices and Regional WASH sector Bureaux heads, etc. Besides these national and regional champions, it may be expected that rapid advances in sanitation improvement will also be achieved where “natural leaders” at city/town level come forward to spearhead change. Sanitation is emphasized here since urban sanitation in particular has fallen behind following rapid recent urban development in Ethiopia. However, both high level and local strong advocacy is also required for safe, reliable and sustainable water supply. 3 Local Level Promotion and Advocacy (involving UHEP professionals and others) The required actions needed to improve individual, community and city-wide actions with respect to sanitation are clearly articulated below but it is essential that these should nevertheless be read in conjunction with Annex 5 to the IUSHSAP, which is divided into six sections: (1) Behaviour Change, (2) The Stakeholders, (3) The Three Interventions, (4) Notes on Formative Research, (5) Broad Costs Estimates and (6) Historical development of the SAP Advocacy components during April/May 2016.
SAP Advocacy 5.3.1: Maximise the WaSH performance of the Urban Health Extension Package Implementer: Federal MoH/ Program on Urban Health Extension Package Immediate actions: • Maintain the UHEP documentation, training and implementation as it is. (The rationale for doing so is put forward in Annex 5.1 (2) on Stakeholders) Later actions: • Complement the content about householder demand for clean streets, etc. with an instruction to give advice to householders about demanding good sanitation services– but services at a level that they are willing to pay for, dependant on the set tariffs - for the house and for the neighbourhood
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• Clarify the recommended mechanism (how, to whom, etc.) for householders to make such demands, and how they might be recorded • Include a recommendation to households about helping keep their neighbourhood tidy • Require the UHEP professional to actively engage with colleagues and other WaSH agencies, especially her collaboration with the health centre’s environmental health officer and her development of school Health Clubs/ Hygiene Clubs (Please refer to Annex 5.1 (2) on Stakeholders) • Amend the Job Description of the UHEP supervisor to include a duty to (a) actively liaise and collaborate with kebele authorities and their health & sanitation committees and (b) get out- and-about covering the non-household areas of the catchment area Further actions: • Develop each health centre’s access to Google Earth-type maps of their catchment areas • Promote tighter mapping of each UHEP professional’s priority sanitation areas or clusters of households, in order to highlight priority target areas and measure and record annual incremental success
SAP Advocacy 5.3.2 (a): Expand the area of public realm that is kept ‘Clean and Green’ Implementer (a): The property owner, householder, shopkeeper, entrepreneur, school director Immediate actions: • The implementers (listed above) to marginally expand the area of commonly-held land they look after (even though they have neither legal ownership nor duty) • At federal level, in collaboration with the regions, the relevant ministry to design and introduce a campaign - perhaps branded as ‘Love My Akababi’ Campaign (‘Love my neighbourhood/ surroundings’) – which promotes the social and patriotic virtue of sweeping, cleaning and greening the area immediately beyond one’s own doorstep (Annex 5.1 (3.3) ‘Love My Akababi’ Campaign explains more deeply the rationale behind the campaign. Annex 5.1 (1) Behaviour Change offers an example of a logo) • At kebele (or ketena) level, the kebele health & sanitation committee, with moral back-up and support, to do regular ‘walkabouts’ speaking with citizens, promoting tree-planting and gardens, praising the householders in clean & green neighbourhoods and advising in unclean ones • Include the cleanliness of surroundings into the criteria for the ‘Model Household’ graduation ceremony • The lead responsible agency should be the health & sanitation committee. The support, as part of an accompanying team, can be drawn from formal authority figures - the UHEP supervisor at the local health centre, denbaskebari (law enforcement officers), and/or community police – and informal ones – the shimagelle and arogit (male and female respected elders) • To provide momentum, volunteer schoolchildren could be invited to speak with householders, shopkeepers etc. while the nearby presence of the ‘senior team’ adds weight to the message • At local level, the UHEP professional – together with the local Women’s Health Development Army representative - to invite each householder to clean beyond their front gate (in the interests of the good of the neighbourhood environment)
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• UHEP professionals to act more rigorously in taking non-households (shops, businesses, schools) into consideration as community members and expand routine sanitation advice to beyond just households • Involve and use as many local civic organisations as possible to affect change. Examples will be the area’s Idirs (self-help groups), youth organisations, women’s associations
SAP Advocacy 5.3.2 (b): Expand the area of public realm that is kept ‘Clean and Green’ Implementer (b): The kebele authority Immediate action: • Work to (a) designate new green spaces (b) keep existing open spaces green, and (c) turn current brown spaces to green. (Further details are described in Annex 5.1 (3.2) ‘Turning Brown to Green’) • Designate a kebele employee to ‘give voice’ to the voiceless ‘no-man’s land’ within the kebele- supervised area. (Privately-owned spaces, which have individuals to articulate on their behalf, are probably drawing away attention - and priority – from commonly-owned spaces) Later action: • The kebele authority to review all its public realm and identify the current worst space within its area (e.g. a particular stretch of creek or gulley used for open defecation and fly-tipping) • Conceive, design and implement a plan to transform that one area into a community asset. (Probably the plan will encompass (a) securing the site to prevent further contamination (b) an intensive one-off cleaning by the contracted associated, and (c) protecting from new contamination, perhaps through improved lighting, personal oversight, etc.) • For new-build sites, ensure 30% of land is allocated for green spaces, according to newly- introduced national planning laws. Require public realm improvement Further action: • Annually, identify a new site for cleaning & greening. (In this way, through the removal of the worst-offending areas from the range, the kebele average cleanliness will rise) • Consider the protection of new open spaces – or the leasing of areas of ‘no-man’s land’ to private entrepreneurs or family businesses • Explore how religious entities (e.g. the Ethiopian Orthodox Church, mosques, other faith communities) can expand their influence on the environment. (Sacred areas are noticeably respected and litter-free) • Create woreda-based sapling nurseries, for distribution
SAP Advocacy 5.3.2 (c): Expand the area of public realm that is kept ‘Clean and Green’ Implementer (c): The federal authorities Immediate action: • Review the current national-level methodology for the awarding of town and city ‘clean & green’ status. (The thinking behind how this existing effort can be further enhanced is described in Annex 5.1 (3.1), Clean City Rankings)
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• If necessary, convert the assessment from a generalised banding-type grading to a specific town/city score. Category-by-category, rank each town • Consider rebranding the initiative as ‘Clean City, Clean Kebele, Clean Neighbourhood) • Instruct the regional authorities on the amendments Later action: • Publicise, internally and publicly. Allocate rewards (perhaps in the form of promised technical assistance, etc.) to best-performers. Raise the town/city ranking in discussions • Require municipal authorities, to reflect on and plan for improvement • Encourage municipal authorities to raise awareness and apply pressure on subordinate authorities (in cities, woreda authorities and then kebele ones; in smaller towns, kebele authorities and/or ketena ones) • Stimulate competition (or healthy rivalry) within categories. Coax mayors to apply pressure on kebele authorities for the sake of municipal reputation
SAP Advocacy 5.3.3: Test approaches and generate a record of Best Practice Implementer: The municipal authorities/ Greenery & Beautification Departments Short-term action: • Accompany the efforts of each kebele in its securing, cleaning-up and protection of its one major eyesore each year (The theoretical under-pinning behind the use of one problem area at a time, each explored in depth, is outlined in Annex 5.1 (5) Notes on Formative Research.) • Support their plan by facilitating discussions that ‘drill down’ on each contributing factor. (e.g. Who neglected the application of penalties? What changes in the relevant unit’s management are needed? Who advised a certain premises on its latrine-to-stream sewage disposal, and when? What was the follow-up? How can the area be lit at night? What went wrong with the system of notification to the association?) • Successively address concerns. Work to resolve each issue and, through this, attempt to trigger systemic changes with wider knock-on impacts. (A technical description of this approach is ‘Problem-Driven Iterative Adaptation’. A lay description might be ‘trial-and-error through case- reviews’) • Document and photograph experiences (both positive and negative). Feedback into town/city forums for learning. Using best practice examples, represent town/city in federal forum • Use best-performing towns/cities as physical role-models in best practice. Facilitate and budget for peer-exchange visits where leaders of aspiring towns can see ideas first hand, and receive return visits from experienced leaders Further action: • Guarantee the inclusion of open space regulations and by-laws in planning debates
4 Promotion of Service Delivery In parallel with top-down advocacy (Section 2) and promotion of “self-help” activities and creating a demand for services, the bottom-up approach (Section 3), it is vital that the municipalities and utilities themselves utilise the outcomes from the sustainability master planning, principally the formative research aspects (Annex 4), to overcome
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any blocks to take up of services by customers (domestic, commercial, institutional) and to actively promote and “sell” their “products” (sanitation and water supply services). The methods to be used to sell the services could be similar to methods used by commercial service providers, such as mobile phone network providers. Exactly how this is done shall be laid out in a Communication Plan (again, see Annex 4) with its associated creative tools and promotional materials. The motivation for municipalities and utilities, as well as their delegated operators and suppliers, to promote and sell their services will come partly from conditions included in Service Management Contracts (SMC) and Delegated Service Management Contracts (DSMC), see Annex 5. In the Ethiopian context, it is also expected that municipal and utility heads will respond positively to top-down advocacy as described in Section 2.
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ANNEX 7: TECHNICAL AND OPERATIONAL DEVELOPMENT
(Concepts are adapted from the Integrated Urban Sanitation and Hygiene Strategy Action Plan (SAP) developed by WSUP Advisory for Government of Ethiopia under contract to UNICEF) 1 Introduction Although this section on technical and operational development has many overlaps with master planning (Annex 4), it is kept separate since research and development related to new and appropriate technology and sustainable business models will be longer term, will involve national and international universities and development bodies and with the results shared through national and regional fora (See Annex 6). Technical and vocational training institutions, including universities, are expected to play an important role in addressing the technology gaps. The task of achieving total WASH services in general and sanitation in particular requires active research and injection of innovative ideas to cope with emerging issues (R&D). This requires close collaboration with universities and research institutes in the country. 2 Manually operated systems Formative research (Annex 4) shall be used to determine the best route to overcoming blocks to appropriate FSM technology, where such blocks may be both at professional levels within utilities as well as at local worker levels. The new OWNP OpenWASH training manuals describe a range of appropriate FSM technologies and these manuals can be used alongside the formative research and other advocacy packages (Annex 5). This is clearly an area for R&D where labour orientated systems need to be considered and demonstrated as part of financially, sustainable and equitable service delivery to all, not just to middle and high-income customers. Whether the sludge removal systems are manual, portable motor driven, “vacutug” mounted, tractor/trailer mounted or small or large vacuum tanker mounted is a consideration for access, cost, maintenance and workshop capacity, skills, etc. However, H&S, PPE (personal protective equipment), wash facilities, worker health monitoring/checkups, worker and customer acceptance, etc. will be similar for all options. Viability investigations can be enhanced by formative research approaches including demonstration of practices and understanding of benefits. The emphasis needs to be on appropriate planning of business options for interested community based organizations and private entrepreneurs and companies. See Annex 10 as a pictorial illustration. Primary collection of solid waste is already being carried out manually and using donkey carts (either to transfer station or direct to waste disposal sites in smaller towns) and this technology and associated business models (Section 5 to this annex) can be adapted and built upon for primary FSM services. The use of small bajajs with 1.5-2.5 m3 capacity need to also be demonstrated wherever appropriate to handle solid waste and faecal sludge in congested areas where access for garbage trucks and vacuum trucks is not possible. Manual segregation of solid waste by household occupants and household collection of recyclable materials by the informal sector is an extremely cost-effective way to improve both financial and environmental sustainability. What needs to be developed is the technology and business models related to containerization and transport and processing along the various reuse and recycling chains. An extension to this concept is how to utilize treated solid and liquid wastes from the DEWWATS proposed to be used in large towns and cities (4). There is a need to investigate what role labour intensive methods can play in utilizing biogas by local entrepreneurs and in getting treated liquid effluent to where it can be used for “beautification and greening”. 3 Centralized treatment Comparative analyses of the available wastewater treatment technologies carried out locally and internationally reveal that centralized systems like conventional activated sludge system and equivalent technologies could be relevant for 80,000-100,000 pe range provided there is enough space, that sufficient water can be guaranteed for full flush toilets and that there is a possibility of reuse of the treated effluent in a cost-effective manner.
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As stated earlier, in order to have adequate water available to flush long sewers, the current urban water supply service levels of around 30 l/p/d needs to be increased to all-year-round (including drought years) reliable supplies of at least 100 l/p/d and 150% of industrial and commercial demand (to allow for NRW loss). There may be economy of scale advantages to link adjacent cities and towns in terms of infrastructure development and reuse of treated effluent. 44 4 Decentralized treatment As discussed in Annex 4 under master planning, there is an urgent need to develop and use a range of DEWWATS technical options on a large scale in Ethiopia, due to medium rise housing policy, satellite housing and industrial and commercial centres, countrywide shortage of water for full flush toilets, high cost and/or lack of available land, lack of sewerage and treatment work infrastructure and other factors. This means that increasingly sophisticated financially and environmentally sustainable systems will need to be developed and rolled out on a large scale for the very dense urban environments that are increasingly appearing in Ethiopia. On balance, it is likely that sustainability master planning will indicate the need for DEWWATS at least in the medium term and on a large scale. Centralized sewerage is likely to be constrained to city centres and high income and commercial areas. The IUSHSAP has a target to construct 200 DEWWATS within the first 5 years and 1000 DEWWATS within 10 years, as a pragmatic approach to address environmental issues in a risk averse way. However, the full business case for DEWWATS has not yet been established, particularly related to the sophisticated supply chains and O&M systems that will need to be established and maintained in a financially and environmentally sustainable way;45 the full business case around DEWWATS therefore shall be researched and trials carried out in parallel to, and so as to inform, master planning and inter-relationship agreements and contracts that need to be drawn up between owners, operators and the users of recycled liquids and solids. Although the capital expenditure for DEWWATs may be less than for centralized systems, operating expenditure could be very high if sludge and liquid effluent has to be tankered away for final treatment and disposal. Hence design and operation of DEWWATs for use in urban Ethiopia has to allow for full treatment and local use of liquid effluent for municipal beautification and greening. In order to reduce cost for sludge transport, consideration should be given to local engineered drying beds within or on town boundaries. See Annex 10 for pictorial example. 5 Business models Achieving financial and environmental sustainability in the Ethiopian context requires that water services, but also sanitation services (for faecal solids and liquids, for commercial and industrial liquid and solid wastes, for medical wastes and for domestic solid wastes) are treated as much as a business as selling mobile telephones, for instance. Even though a sanitation “business” may rely on subsidies (for instance, from municipal rates) and cross-subsidies (for instance, from surplus water revenue, either at town level or from a national Sanitation Levy Fund46), the financial
44 Addis Ababa, Kaliti and Akaki towns that share the same catchment area could be good examples where the treated effluent of the Addis Ababa centralized waste water treatment could be used for irrigation around Kaliti and Akaki. Furthermore, buildings and institutions located upstream of the treatment plant especially in Kaliti could also be connected to the system. 45 Currently, condominial housing may be connected to centralized sewerage in the few places where this exists. Elsewhere conservancy tanks (“septic tank” is not the correct term unless full treatment of liquid wasted can be achieved by ground infiltration, something very difficult to achieve in the urban setting) are used, but emptying them has been a challenge in many towns and cities – as a result, the smell of raw sewage in drains is all pervasive in much of Addis and may well have been a contributory factor to current outbreaks of cholera (AWD). Linking condos to DEWWATS will, at least in theory, make operations easier and costs lower than centralized systems, through local reuse of treated (safe) liquid effluent for local “greening and beautification” and with overflow of treated (safe) liquid effluent to drains and water courses. DEWWATS will not be without its challenges, but is considered by many authorities in Ethiopia to be the best option to address sanitation in rapidly developing Ethiopian metropolitan areas 46 Zambia applies a SLF of 2% on all water sales to help fund sanitation services while Uganda has proposed a 5% SLF Page 110 of 160
analyses carried out for sustainability master planning (Annex 4) still need to show where the money will come from to pay all O&M costs and all capital charges. Demonstration projects need to be established and to be of sufficient scale to accurately model economics as much as technology. The demonstration models need to be monitored over an extended period and to include all information on customers, income and expenditure, health and safety, labour issues, environmental compliance, etc. 6 Sharing of good/best practice As technologies and associated business models are developed, trialled and included in master planning (Annex 4) and become established in-service delivery systems (Annex 7), then lessons need to be learnt from both success and failures and these need to be shared within and between regions so as to stimulate improvements in practice and also to avoid any duplication of effort or the repetition of less successful ways of working. A recommended stepwise methodology on sharing of good practice is presented in the IUSHSAP as an outline for further development by the national WASH Steering Committee and regional fora including Regional WASH Coordination Offices and Regional WASH sector bureaus.
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ANNEX 8: SERVICE DELIVERY
(Concepts are adapted from the Integrated Urban Sanitation and Hygiene Strategy Action Plan (SAP) developed by WSUP Advisory for Government of Ethiopia under contract to UNICEF) 1 Introduction This section of the SAP covers service delivery: household premises faecal solid and liquid waste facilities; institutional premises faecal solid and liquid waste facilities; downstream faecal solid and liquid waste services for both institutions and households; and special cases such as public toilets and DEWWATS. Liquid and solid hazardous wastes are categorised together since treatment regulation, handling processes are largely common. This annex on service delivery has many overlaps with other sections such as institutional development (Annex 5), master planning (Annex 4), promotion and advocacy (Annex 6), technical and operational development (Annex 7) and regulation and enforcement (Annex 9), but it is kept separate since it is something to be addressed by municipalities and utilities and regional WaSH offices and bureaus either alongside or independent of master planning and applications for funding: This is because improvement and sustainability of service delivery is the core duty of municipal and utility providers and such improvement should be a motive in itself, even without the inducement of development money and technical assistance. 2 Solid Waste Management Non-hazardous solid wastes are discussed here separately from hazardous wastes which are covered under Section 3 below. Non-hazardous solid waste will be generated from industry, institutions and households with little distinction except in proportions of waste types. See IUSHSAP-IG (Implementation Guidelines) document for full details, but in summary: ➢ As a guiding principle, SWM shall follow and enforce the Ethiopian National Urban Solid Waste Management Standards, published in February 2014 ➢ The targets set within GTPII and the IUSHS shall enable the Ministry of Urban Development and Housing (MoUDH) to meet the ambitious standards set out via Proclamation (513/2007). See IUSHSAP Annex 8.1 for a comprehensive list of regulations ➢ As with all aspects of sanitation, advocacy shall be used to raise the sector profile with regards to SWM ➢ In parallel with SWM initiatives related to Clean/Green Cities, the current practice to build on designated open spaces, often in contravention of planning laws, shall to be stopped47 ➢ Reduction of waste at source shall be achieved through improved waste segregation and composting using the concept of “3Rs” (Reduce Reuse Recycle) ➢ For larger towns and groups of sharing or clustered towns, the private sector shall be involved in collection, transport and recycling of waste 48
47 It is understood that a new institution, “Land Use Corporation”, has been established that will ensure that space for DEWWATS and public latrines shall be created as per 30%, 30%, 40% approach in Addis and other congested big cities 48 The private sector will be looking to make money which means that there must be the potential for a viable or financially sustainable business model. Much of the IUSHSAP addresses how such “businesses” can rise up out of the currently very poorly performing sanitation services. It is considered that through clustering, pooling of resources, choice of affordable service delivery levels and mechanisms, cross-subsidies, use of clear contractual arrangements, etc., it will be possible to ring-fence certain activities that will attract the private sector through delegated service management contracts (examples can be provided by the consultants). It is likely that small towns acting alone will not be able to attract the private sector (other than the SMMEs and informal workers already engaged) but in combination with other large and small towns, there is a greater chance of attracting formal delegated private enterprises. Hence the importance of “sharing” and “clustering” as described in Annex 5. Page 112 of 160
➢ Support shall be provided for business planning (Annex 7) for SMMEs ➢ The role of the large informal sector engaged in SWM and recycling, such as Korealias, shall be recognized and included in business planning (8) ➢ Municipalities and regional bureaus shall link the informal sector with accessible recycling industries ➢ The recycling of waste electrical and electronic equipment (WEEE), chemicals and oils shall follow good environmental practice with monitoring carried out by the Ministry of Environment ➢ Regional bureaus and municipalities shall prepare inventories of locally or nationally accessible formal and informal recycling industries ➢ Urban drainage often contains indiscriminately disposed solid wastes so that design of access covers for easy cleaning shall be considered by municipal authorities alongside cost effective SWM and street cleaning and advocacy to reduce loads ➢ All primary collection, sorting and recycling of waste shall be financially sustainable and demonstrated through master planning (Annex 4) ➢ Secondary stage SWM, such as management of transfer stations and secondary transportation, shall be performed, as far as possible on a cost recovery basis49, by SMMEs or private contractors depending on the size and number of clustered municipalities and local conditions ➢ Individual and clustered municipalities shall, as part of master planning (Section 4), develop plans for safe final processing and disposal Immediate actions to be taken, or at least considered, at municipal level, in order to improve financial sustainability of SWM operations (See also Sub-section 4.3, Sub-section 4.9 and Sub-section 9.5 related to tariffs and subsidies), shall include: ➢ Introduction or expansion of existing informal sharing by municipalities to improve SWM through economy of scale and sharing of skills and other resources ➢ Setting up a reserve for municipal solid waste management operation and maintenance finance at town level through current taxation mechanism ➢ Increased household, commercial, industrial and institutional collection fees ➢ Inclusion of a multiplier factor to SWM tariffs based on property value so as to generate revenue from higher income residents to subsidize downstream costs in the sanitation chain, that is, secondary transport and environmentally sustainable final disposal (reuse, recycle and sanitary landfill) ➢ Consideration of combining solid waste and water tariffs50 The following shall be particularly considered when planning SWM disposal sites: ➢ Land fill sites need careful planning since sanitary land fill requires daily operations carried out with maximum efficiency. Skilled professional inputs are needed since there are many factors to be considered when designing and constructing a landfill site
49 As discussed in Annex 7 on business models, it will be difficult to cover all sanitation costs through revenue at least in initial stages of the IUSHSAP. However, it should be possible to organise upstream services to be financially sustainable while strategic subsidy to downstream SWM activity is envisaged. 50 There is a possible potential to combine solid waste and water tariffs following the example of one town where the garbage collection bill is linked to water bill based on water consumption. However, the case for this and associated questions around equitability need to be fully evaluated during master planning and establishment of business models
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➢ A high standard of operational management is required with strict control over the types of wastes reaching the landfill and to ensure maximum cost recovery from domestic, commercial and particularly industrial waste streams, without driving customers to use illegal tipping ➢ Hence, any subsidies (whether locally, regionally or nationally derived) shall be put into the downstream end of “sanitation chains” in order to ensure that waste is properly disposed and not “fly-tipped” ➢ Focus shall, wherever possible, be on low cost technologies and equipment which can be easily maintained at landfill/disposal sites ➢ Future proposals for landfill sites shall include full recovery of operation and maintenance costs in addition to capital costs. Donor funding should be conditional on municipalities committing to full cost recovery principles (including guaranteed subsidies and cross-subsidies) ➢ Global Environment Facility and Climate Funds may be considered to cover both capital and subsidies for operation costs as a short term interim measure until financial sustainability can be reached. (Six cities in Ethiopia are currently covered under this initiative.) Most of the enforcement for solid waste management is concentrated on industrial parks with no mechanisms in place for monitoring domestic waste disposal points such as landfill sites. Improved co-ordination is required between the Ministry of Urban Development and Construction (MoUDC) which shall be responsible for managing the landfill sites and the MoFECC responsible for testing and establishing quality assurance. Refer to Section 13 of the National Urban Solid Waste Management Standards (2014) which highlights landfill standards for category 1 and 2 cities and category 3, 4 and 5 towns. The MoUDC shall set out action plans detailing how compliance with standards will be achieved. All waste disposal sites shall have in ESIA undertaken in compliance with Proc. No 299/2002 Environmental Impact Assessment Proclamation. Regional bureaus shall explore how links with universities both in Addis and in the Regions can be strengthened in order to tap into existing and proposed testing and laboratory capabilities. Currently MoFECC uses two laboratories in Addis and Oromiya region, but could well benefit further from other regional testing capabilities. 3 Hazardous Waste Management Solid and liquid hazardous wastes will primarily be generated by industry (with enormous variations) and health institutions, although e-wastes may come from all sources. Hazardous solid waste that includes health care waste, e-waste and industrial waste shall be handled separately from municipal waste so as to reduce the risk of irreversible pollution from heavy metals, hazardous health care waste, etc. Hazardous and industrial liquid wastes also have toxic effects and need special treatment to make them less harmful. Common examples of hazardous substances include paints, fuels, oils, cleaners, metal processing chemicals, agrochemicals, etc. All hazardous solid and liquid wastes generated must receive treatment at the production facilities prior to disposal in a manner approved by the municipal authority. Following treatment, the proposed method and timing of the disposal must also be approved by the municipal authorities following consultation with regulatory and environmental bodies. Regulations shall be enforced and financial penalties and high disposal charges shall be implemented to encourage in- factory processing and recycling of industrial wastes. In the management of these wastes it is better to implement fully the “polluter pays” principle. The industries should take responsibility for the processing, collection and safe disposal of the wastes by contracting with the municipality or specialist enterprises. They should also cover all the costs encountered in the management of these wastes. 4 Faecal Sludge Management As noted in Annex 7, there is an urgent need to develop and use a range of DEWWATS technical options on a large scale in Ethiopia due to its medium rise housing policy, satellite housing and industrial and commercial centres, countrywide shortage of water for full flush toilets, high cost and/or lack of available land, lack of sewerage and treatment work infrastructure and other factors. The full business case around DEWWATS shall be derived as part of
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master planning and inter-relationship agreements and contracts shall be drawn up between owners, operators and the users of recycled liquids and solids. Individual and voluntary grouped/clustered municipalities and utilities shall consider how they can manage package plant decentralised waste water treatment systems (DEWWATS) to serve local medium rise (condominial) communities having flush toilets but where there is neither centralised sewerage nor sufficient water for full flushing. Considerations include: ownership of the systems; responsibility for operation maintenance and cost recovery; service management contracts with suppliers of the equipment; local reuse of liquid waste; removal, transport, processing and recycling of (faecal) sludges; customer relations; enforcement of discharge; environmental and H&S impacts; etc. With the exception of DEWWATS in large towns and cities, other technologies and business plans associated with sanitation shall be appropriate to customer affordability. Individual and clustered municipalities and utilities shall develop businesses around primary and secondary FSM and LWM services by SMMEs or private enterprises. Primary FSM and LWM business models shall include costing, financial modelling, delegated service management contracts, appropriate pit latrine, septic tank and cesspit emptying technologies, primary transport, tariff setting and collection, customer liaison, etc. Primary services are considered to include mostly low tech. activities from customer to transfer station gate: ➢ Of immediate concern is development of appropriate technology for emptying pit latrines (in some towns over 80% of inhabitants use pit latrines) that are inaccessible to vacuum equipment or where the financial analysis indicates that use of vacuum trucks is financially unsustainable51 ➢ FSM transfer stations may involve primary treatment of faecal wastes through anaerobic treatment or through other technology developed under DEWWATS research. Final treatment of FSM faecal sludge is best done on engineered drying beds, preferably covered and preferably close to transfer stations within built up areas so as to save on secondary transport. See pictorial example Annex 1052 Secondary FSM and LWM business models shall include costing, financial modelling, delegated service management contracts, appropriate decentralised treatment technologies within built up areas, tariff setting, customer liaison, etc. Secondary services are considered to include management of transfer stations, primary and secondary treatment processes, secondary transport, quality control of final products for re-use, liaison with users of final products, community relations with people living near to process units, marketing and sales. 5 Liquid Waste Management Hazardous liquid wastes are covered under Section 3. This sub-section deals with liquid wastes arising from overflowing septic tanks and cesspits and from centralized sewage treatment systems. It does not cover storm water in open and closed drains, road surface, pools, culverts, ditches and other places, although many of these drains act as open sewers taking overflow from “septic tanks” and pit latrines as well as sullage water. Liquid waste management related to conventional sewerage systems and sewage treatment works is the responsibility of the water supply and sewerage utilities. It is the responsibility of these utilities to comply with environmental discharge consents. However, the Ministry of Forestry and Environment and Climate Change (MoFECC) currently concentrate their efforts and limited resources on monitoring and control of industrial discharges with little time for sewage effluent or stream and river basin quality modelling, etc. Service delivery around centralized sewerage shall concentrate on three issues that have been found in many such schemes throughout Africa:
51 This is clearly an area for R&D where labour orientated systems need to be considered and demonstrated as part of financially sustainable and equitable service delivery to all, not just to middle and high-income customers. 52 Experience elsewhere is that digested sludge dried in thin layers on engineered beds does not create adverse health or aesthetic impact Page 115 of 160
1. Having adequate water available to flush long sewers: Water supply systems are required that will increase current unreliable supplies of around 30l/p/d to all-year-round (including drought years) reliable supply of at least 100l/p/d and 150% of industrial and commercial demand (to allow for NRW loss) 2. Using formative research tools to persuade customers to connect: This is often a roadblock to sewerage introduction, particularly in low income communities 3. Introduction of full cost recovery for both O&M and loan repayments: Without very significant guaranteed operational subsidies, full cost recovery principle will likely limit sustainability of centralized sewerage Currently conventional sewage effluent makes up only a fraction of liquid wastes. In consequence; the IUSHSAP also covers service delivery around liquid and solid fecal waste streams from pit latrines, septic tanks and cesspits and from proposed DEWWATS as described. As noted above, centralized sewerage is likely to be constrained to city centres and high income and commercial areas. 6 Institutional sanitation (schools, offices, health facilities) Installation and maintenance and operation of institutional sanitation and water facilities (schools, health facilities and government offices, prisons, market places, bus stations, etc.) is the responsibility of the parent local government authorities for funding and compliance with regulations (building regulations, CGD friendly, environmental discharge consents, service provider conditions, etc.). These authorities are also responsible for promotion of proper use of facilities and expenditure on operational costs. However, as noted above, these authorities are, in many cases, neglecting their duty with a consequential significant impact in poor health of the nation: Something to be vigorously tackled and where effort has been made to find out what is needed to turn around attitudes on sanitation. See Annex 6 and IUSHSAP Annex 5.1 for very specific recommended actions; also, general reference may be made to Annex 4 on formative research. Individual and clustered municipalities shall develop businesses (Annex 7) around provision and operation of public toilets by SMMEs or private enterprises including costing, financial modelling, delegated service management contracts, community relations, secondary public services (such as showers, meeting rooms, gardens and shops), marketing and sales. 7 Capacity Building Capacity building at service provision level shall include system development, financial analysis, procurement of facilities, operations, training of staff and development of leadership programs, etc. Training shall be extended to both in-house staff and workers and also to SMMEs. Medium and short-term training aimed at generating technical and professional staff and leadership will be organized with different educational institutions. Training shall be cascaded to TVETCs/HSCs (Technical and Vocational Education Training Colleges/ Health Science Colleges) and to artisans. Curriculum and delivery of training courses to elevate the professional capacity of city officials and SMMEs in a range of priority SWM aspects shall be established. The OWNP One WASH National Programme has recently, in February 2016, issued a series of “OpenWASH” Training Manuals: They include five manuals, including Urban Water Supply, Urban Sanitation, Solid Waste Management, Working with People and Guidelines on use of the manuals and will be particularly useful for the cascaded training. As detailed in Annex 4, it is expected that technical assistance (TA) will be urgently needed to support funding bids. The TA will be focused at individual and clustered municipality and utility level in order to concentrate on getting coherent master plans together capable of attracting funding. The TA involvement at this level will include on-the-job capacity building and it is necessary that counterpart staff are assigned and that their individual progress is monitored, assessed and reported. The other area of immediate focused TA, including on-the-job capacity building, is expected to be at the level of Regional WASH Coordination Office and Regional WASH sector Bureaus which will be expected to support the master planning and funding bids within their region.
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8 Informal Sector In most towns/cities the formal private sector, as recognised associations, is properly engaged in sanitation and waste management activities, while informal private waste collectors are not supported by the government and not structurally organized.53 The informal sector comprises of metal- and rag-pickers (Korealias) and small dealers who collect waste from streets, possibly from households and certainly from disposal sites. There is a need to prepare inventories of recycling industries and map how those industries are currently engaging with the informal sector. Municipalities and regional bureaus shall therefore prepare inventories of formal and informal recycling industries, to engage with the informal sector (which is primarily involved with solid waste recycling), to give support and training to the informal workers on H&S and business development, and to link the informal sector with recycling industries. The municipalities shall authorise and permit the formation of co-operatives for the informal workers. This will enable the municipalities to then establish contracts included KPIs (related to level of service and charging mechanisms) and minimum safe working conditions (examples from outside Ethiopia may be referred to54). MoUDC shall provide guidelines for formation of Korealias co-operatives. The Ministry already has stipulated health and safety practices in the SWM proclamation which should be followed by co-operatives. Links shall be strengthened with MFIs so that the co-operatives have access to funds to acquire equipment such as wheel barrows and PPE (personal protective equipment, such as overalls, gloves, masks and safety boots) which would facilitate their work. Reference may also be made to microfinance for current schemes in Ethiopia. Also, co-operatives shall be linked to the Urban Health Extension Programme (see Annex 6) so that joint capacity building activities can be developed. 9 Private Sector Currently waste segregation at household level is low and needs to be improved55. This is an area where private sector providers can play a critical role. Private sector can also play a role in improving the recycling industry. The federal government shall develop and disseminate model franchise/contract documents for SWM services, including collection, 3Rs and landfill operations, with performance specifications and legal clauses geared towards enhancing the participation of entry-level SMMEs to the SWM services sector. This would be organised by municipalities since they manage SWM services. For primary collection of solid waste from household to common collection bin or waste collector trucks, the small, medium and micro enterprises (SMMEs) which currently handle this upstream end of the business will need to sign contracts that make them fully accountable for cost effective service delivery. Current cost recovery is extremely low so that some serious and concerted effort will be needed to move to full operational cost recovery. Typical delegated service management contract examples and templates used by World Bank for management of landfill sites can be provided by the consultants.
53 Situational Analysis of Urban Sanitation and Waste Management, "The Political, Structural, Socio-Economic, Institutional, Organizational, Environmental, Behavioral, Cultural, Socio-Demographic Dimensions”, Prepared by: Addis Continental Institute of Public Health for Strengthening Ethiopia’s Urban Health Program (SEUHP), John Snow, Inc. (JSI), Addis Ababa, Ethiopia
54 http://www.swachcoop.com/about-swachpune.html 55 Situational Analysis of Urban Sanitation and Waste Management, "The Political, Structural, Socio-Economic, Institutional, Organizational, Environmental, Behavioral, Cultural, Socio-Demographic Dimensions”, Prepared by: Addis Continental Institute of Public Health for Strengthening Ethiopia’s Urban Health Program (SEUHP), John Snow, Inc. (JSI), Addis Ababa, Ethiopia
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10 Community Based Enterprises Community based enterprises will be widely used in SWM and FSM management including composting of organic waste in line with the IUSHS and the solid waste standards prepared by MoUDC (2). Mechanisms need to be developed to enable community based groups to set up solid and faecal waste enterprises. An enabling environment for SMMEs shall be created through schemes such as the Oromia Credit, Savings Share Company scheme run under the auspices of the ROSSA project. Refer to Annex 10 for further information. All delegated service providers, whether private or community based, need to be controlled through clear contractual arrangements that include KPIs and tariff setting, etc. See also Annex 5 and sample contracts available from the consultants.
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ANNEX 9: REGULATION AND ENFORCEMENT
(Concepts are adapted from the Integrated Urban Sanitation and Hygiene Strategy Action Plan (SAP) developed by WSUP Advisory for Government of Ethiopia under contract to UNICEF) It is clear that there needs to be a stronger coordination and integration amongst the various sectors in order to create a common mechanism to enforce laws and acts related to urban development and provision of WASH services. As the area of Urban Sanitation and Hygiene involves different sectors there is a likelihood of overlap in the course of regulatory enforcement. Avoiding duplication and overlaps will not only ensure better use of public resources but will help to minimize the burden on regulated subjects and maximize effectiveness. The enforcement and application of such provisions in the course of IUSHSAP implementation not only improves the immediate environment but also human health and wellbeing, thereby enhancing growth and development. As stipulated in the IUSHS with reference to Regulation and Enforcement, the IUSHSAP focuses on the following areas as effective enforcement of the various proclamations pertaining to the IUSHS as shown in Annex 8.1 of the IUSHSAP. Building Control Building control shall be applied on rigorous, regular and consistent basis to ensure that a given construction fulfils a set of rules and standards that specify the minimum standards of buildings and non-building structures. The main purpose shall be to protect public health, safety and general welfare to the construction and occupancy of buildings and structures. The minimum standards of design and implementation include mechanical integrity such as sanitation, water supply, plumbing, site drainage and storage. Though the building control focuses mainly on the new buildings, its principles strongly apply to existing buildings leading to renovation and complete replacement of buildings as started in Addis Ababa and other regional capitals. The MoUDC, which has issued (draft?) building codes for consultation, is expected to control the construction of appropriate latrines, hand wash facilities, septic tanks and other sanitation facilities in such a way that sanitation and hygiene status in towns is improved during the IUSHSAP implementation period. Evaluation of environmental data shall be done on repetitive and continuous bases in order to observe, measure and to follow changes over a period of time with a view to assess the efficiency of control measures. Inspection functions shall be co-ordinated and, where needed, consolidated. Process Monitoring Process monitoring shall be covered in formal contract arrangements that include key performance indicators KPIs, for instance under Concession contracts and DSMCs (Annex 5). Environmental Compliance Measurement and verification to ensure that standards are strictly followed at sites during construction, as provided by the rules and regulations, are key elements towards safeguarding health and safety, protecting the environment, etc. All actors shall develop and apply mechanisms that help achieve the best possible outcomes. In this case, combining broad compliance promotion with well targeted controls and the application of deterrent sanctions for various violations will ensure attainment of optimal results. Transparency and compliance shall be promoted through the use of appropriate instruments such as guidance, toolkits and checklists. Regulatory enforcement and inspections shall be evidence-based and measurement-based (deciding what to inspect grounded on data and evidence) and results shall be evaluated regularly. Although monitoring of environmental compliance with regard to sanitation facilities by the Ministry of Forestry and Environment is at an infant stage, it is expected that their scope and effectiveness will be enhanced during the IUSHSAP implementation period. As an example, this Ministry is expanding its laboratories and other facilities to undertake their tasks.
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ANNEX 10: FINANCE
(Concepts are adapted from the Integrated Urban Sanitation and Hygiene Strategy Action Plan (SAP) developed by WSUP Advisory for Government of Ethiopia under contract to UNICEF) 1 GTPII WASH sector GTPII budgets include both capital and recurring costs. It was envisaged (in 2015) that possible financial sources would comprise of 49% from government treasury, 31% donor funding (loan and grant), 4% from CSO’s and 16% from municipalities and urban utilities. Refer to Annex 3 for the components of GTPII related to urban water supply and sanitation. 2 Sanitation levy fund Operational costs of sanitation will likely exceed direct revenue for some time and it is expected that subsidies will be required for “downstream” services as described in Annex 7. This may be achieved through a sanitation levy fund (SLF) or more localized forms of cross-subsidy. The SLF concept is to add a small percentage to all water bills (for instance 2% existing in Lusaka and 5% proposed in Kampala) with this revenue being exclusively used to support the FSM/LWM sanitation chain from on-site latrine to final disposal. 3 Micro-finance There is a need to promote co-operative bank/MFI financing for solid and liquid waste projects through a group loan guaranteed by the municipality of towns. One example is the Oromia Credit and Saving Share Company (OCSSCO) who provide loans to co-operatives formed by youth and women groups. A dedicated scheme for solid and liquid waste management shall be introduced and lessons learnt from existing schemes to support replication in regions and scale up. See also Annex 9.1 under the IUSHSAP for details of available micro-finance schemes. 4 Subsidies and cross subsidies Currently, the water sector does not raise enough funding through tariffs to meet operation and maintenance costs. Once the water sector has been strengthened there would then be scope to cross-subsidise costs for the sanitation sector. Tariffs for water supply shall be reviewed by using the Ministry of Water guidelines. Tariff increases shall be proposed to match inflation to ensure affordability, following master planning and associated financial analysis (Annex 4). Tariffs need to be consistent and with more clarity on charging for domestic, commercial, industry, government and water points. Collection of revenue shall be facilitated by improved billing and collection systems in utilities. There is also the potential to combine water and garbage collection bills through a tiered tariff, as demonstrated in Dire Dawa city (see also in IUSHSAP Annex 10.2) and this could be extended to cover FSM services. Direct subsidies to the downstream end of the sanitation chain rather than the upstream end shall be applied in order to make services delivery cost effective; such considerations to be included in master planning/ business planning (see Annex 4). Sanitation marketing shall be promoted through campaigns and through improved access to finance (such as MFIs) for youth groups to set up enterprises. SMMEs may be supported through low interest loans with initiatives similar to the scheme discussed in Annexe 9.1 of the IUSHSAP. The private sector could also be a financing source, e.g. for business advertisement on street dust bins, etc.56
56 Currently there are significant number of street dust bins in Addis Ababa and other cities sponsored by business organizations with their business advertisement on them. Page 120 of 160
ANNEX 11: IUSHSAP ANNEX 4.2: FSM IN LUSAKA
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Localised sludge transfer and drying bed schematic example
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Anaerobic digester technology to treat and use faecal wastes
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Faecal sludgeand gas sales: certification of product
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FSM business development: Record keeping and data analysis are key to making a business case for utilities and investors
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ANNEX12: SULULTA BRIEF VISIT RECORD; RICHARD WILSON WSUPA OCT/NOV 2017
Day Where Who/What Notes Mon ERC Mohammed Ag DSG Timetable and general discussion 30/10 RW helped during week by • Habtamu Nego ERC branch secretary for Special Zone around Finfinne • Kebede Duguma • Adane Mengeshu Eng Sululta visit Basaka unprotected spot Vendors 3-5 Birr/jerry can. Clothes washing. 50% of kebele is irrigated from here (photo). spring (photos) Opposition to its capture for town Water bureau Ato “Masai”, water head No plans of water system high spring in Several sources that could be combined to 2 l/s claimed and 3 km pipes to town Southern hills/ forest Dorobo new Drilled (or refurbished?) 6 l/s claimed well Tues Admin office Mayor’s office rep, AWD 197 cases 2008/9 EFY, statistics vague, vacuum tanker from Addis, individuals take 31/10 Sululta municipality head, education rubbish to collection point and HHs pay 25Birr/m to micro-enterprise to take it away (?). head, health head, water Pay 700 Birr to private company to take it to “temporary” disposal site. Small plastics head recycling plant (functioning?). Very large China/Eth tannery closed because of untreated effluent. Plan to construct new drainage. 22km of channels to be maintained by micro- enterprises, contracted per km by finance office. BCC by municipality through greening and beautification dept. on a rota through residential areas. Health BCC through HEP. 3 health posts, one with water. Health Centre “always water” (?). 9 primary schools no water and unimproved pit latrines. 1 secondary school. 1 preparatory school. Typically, 3 male and 3 female toilets for 1000 students. Emptied with vacuum tanker that comes with its own mixing water. No school WASH programme (but no water). Population based on Page 128 of 160
Day Where Who/What Notes 1999EFY data projected at 4.8% to 41, 328. But informally (how?) estimated at 70,000 (?) for the 4 kebeles. Public toilet at market. Nestle Addis Bethlehem Hailu Only one (?) of 6 wells working, 5l/s. potential to supply all inhabitants (System capacity?) office One well rehab by Nestle cleaned to 107m with 6 to 7 l/s capacity. Planning to support latrines for 2 schools and 2 spring development. Planning to support PET plastic bottle recycling, transported to Addis. Not adverse to supporting point-of-use table filters. Wed Sululta site visit health centre, Head 18 HEWs for 4 kebeles who do monthly reports, quarterly and annual reporting, 1 to 5 to 1/11 Habtamu Reta 25 women weekly meeting Stats on wall, land management office, Plan on AutoCAD, 3 years to develop, covers roads, drainage, housing and industry but not Head, Ato Chela water and sewerage. Appears to show high density housing in flood area and in mountain forest (?). All developers should follow it but reality is informal development. Legal powers through Mayors Dept. Committee guided by mayor, 7 members incl. police. Weak coordination. Low finance and materials for kebele level control. “Vested interests” do exist. Possible to change to watershed plan but needs to be endorsed at regional level. economic development No s-e surveys since CSA. Investment Commission for proposals for commerce and bureau, head Damissee industry. Annual report (copy). Revenue Authority collect money, HH rates (starts at 750 Daadhii Adunaa Birr/year), commercial, industry. GOE subsidy not needed. Surplus to regional government. Expenditure covers all bureaus and mayor office. Bidding in progress for SWM truck. One damaged ambulance. No vacuum truck. Administration income 2009EFY; budget 72,374,932 actual 82,777,649 Birr. Municipality 320,450,600 plan actual 63,973,307 due to land not sold (disputed), “improper plan”, and low capacity to collect. Construction unit in mayor’s office give permits to build. Micro-enterprises follow development. Sites Public taps, SW collection and dump sites, quarry operation, abattoir solid and liquid disposal. Thurs 2 Oromia regional Gezahegn Lemacha, vice Water designs done. Plans for wells and civil works by region and AAWASSA. Boreholes are /11 water bureau head permitted if 500m from any other. No GW model
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Day Where Who/What Notes Oromia regional 3 levels of planning and s-e handed over finance and economic bureau Fri 3/11 Oromia regional Jifera Dabessa Collect water system design for Sululta, but feasibility study (the interesting bit) not found, water bureau Design Eng. (head?) promised to email it. [email protected], [email protected], 0912 633169, 0911 667089 Nestle plant Marc, manager Discussed plans for new well and refurbish existing, ex ST to be replaced by WWTP in NE De Bruin, Marc, Bryanston, corner, RO backwash and some sugars (soft drinks not Nestle part of plant) go to surface HO-TP Technical drains. Will provide info on ESIA, well drilling and refurb, local survey of wells, etc. Free [email protected] water kiosk under construction on East perimeter.
Nestle Addis Betty Discussion of slides, promise to follow up on missing info. National Plan commission at fed level (responsible to PM) and regional urban planning agency to tighten planning controls (?)
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ANNEX 13: NOTES ON EXISTING WATER SYSTEM AND PROPOSED WORKS RW 15.11.17
1. Study carried out by AG Consult (Extracts 1): • lists sizes and lengths of pipes, total 15km in GI pipe sizes ¾” to 3” • lists 7 reservoirs in sizes 500m3 to 50m3 • lists 6 borehole sources ranging in yield from 2.4 to 12.5 l/s However, a layout plan is not included. Also, it is not indicated whether the yields are current or original development figures.
2. Oromia Water Bureau design for Sululta (Extract 2): • assumes that the Sululta existing system works and covers the lowland northern town area • mentions 2 system upgrades (one in 2001EC involving 500m3 tank, generator house, 24km pipelines of which 3km transmission line; one in 2002EC involving 200m3 tank, generator house, 17km pipelines of which 7km transmission line.) • proposes a new system for the upper southern newer development areas (Fig. 2-0-2) • assumes that 4 boreholes can be drilled each with a yield of 25 l/s with pump installation at 250m Again, no layout plans are identified. Also, it appears to identify another 41km of pipelines not identified in Extract 1.
3. WLRC identify an existing physical plan and compare it with a watershed management plan concept (Extract 3). However, it is not known whether the WLRC have copy of the existing physical plan or whether the slide is a photo of a wall presentation? RW has seen the AutoCAD version of the physical plan at the Sululta land management office (head, Ato Chela): this took 3 years to develop and get approval at regional level, RW was told.
Additional data requirements:
➢ Physical layouts of all public water systems in the four kebeles (boreholes, transmission pipes, reservoirs, distribution pipes and public taps). These could be reasonably plotted onto google earth maps with levels on boreholes, tanks and high and low pipeline point included. ➢ Current yields of all public water supply boreholes in all four kebeles (at least one month’s record of meter readings and hours pumped at each borehole, if meters are non-functional, then they must be replaced or repaired first). Local operatives should be shown how to do this on a daily basis and how to enter data on paper and then onto spreadsheet. ➢ Explanation as to why the stated yields are high enough to meet all current demand but yet consumers only receive water for a fraction of the week through a rationing rota system? This will need in depth discussion with the Sululta water bureau as well as with the municipality and mayor’s office. ➢ Explanation as to why water is pumped directly into the distribution system rather than pumping at night as well as day to fill the storage/ distribution tanks? This will also need in depth discussion with the Sululta water bureau as well as with the municipality and mayor’s offices.
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➢ The existing physical plan in AutoCAD and also in readable format for computers with standard software. This can be obtained from regional planning bureau or possibly WLRC do have a copy.
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Extract 1
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Extract 2
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Extract 3
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ANNEX 14: ACTORS/STAKEHOLDERS OBJECTIVES AND NETWORKS IN UPPER SULULTA WATERSHED: THE CASE OF PUBLIC INSTITUTIONS AND PRIVATE BUSINESS (Tables 1 and 8 from WLRC draft stakeholder analysis, July 2017):
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ANNEX 15: AGENDA, ATTENDANCE LIST AND NOTES FROM WORKSHOP 20 TO 21 FEBRUARY 2018
Sululta WASH Strategy Workshop Agenda 20/21 February 2018, Yaya Village
Time Item Name Organisation Day 1 0900 Registration 0930 Introduction, background to the study Noor Pwani IFRC Opening remarks, support for the study Mayor Sululta town Private enterprise role/support for environmentally sustainable development Betty Hailu Nestle 1030 Break 1100 Presentation of proposed Sululta WASH Strategy57 Richard Wilson58 WSUP Advisory 1145 Questions, discussion Henok Rediate & team ERCS 1230 Lunch 1330 Overview of water systems, management and budgets Mayor’s office assisted by Overview of sanitation services bureau heads Overview of institutional water supply and sanitation (schools, clinics and government offices, etc.) Overview of hygiene and sanitation behaviour change and promotion of services Overview of solid waste management services Overview of planning and environmental regulations and enforcement Questions, discussion Henok Rediate & team ERCS 1500 Break
57 NOTE that the draft report will be circulated to all participants at least 2 weeks prior to the workshop and that the final scoping study report will incorporate outputs from the workshop and be issued in February 2018 58 Richard Wilson, for WSUP Advisory under contract to UNICEF, led a team to assist a 5-ministry working group to develop the Integrated Urban Hygiene and Sanitation Strategy and Action Plan, adopted in early 2017. He is currently leading a local team, again under contract to UNICEF, to assess progress on the One WASH National Programme and to make recommendation for short and long-term improvements to the programme.
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Time Item Name Organisation Water investment plans for Sululta, including incorporation of existing water system and Gezahagn Lemecha ,Keyredin Oromia Water Bureau alignment with the existing physical plan and proposed IWMP. Funding sources (Regional Bidgeba budget, AAWSSA, DPs, CSOs, private, etc.) Astatke Genene bureau support Progress on the Integrated Watershed Management Plan, including methodology for Dr Gete & team WLRC replacement of existing Physical Plan Hydrological and hydrogeological investigations and monitoring AG Consult Nestlé Questions, discussion Henok Rediate & team ERCS 1800 End
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Time Item Name Organisation Day 2 0900 Briefing on 3 breakout groups Henok Rediate & team ERCS 0930 1. Champion and enable change at political and local levels: Groups • Transition from existing physical plan to Integrated Watershed Management Plan (IWMP) • Sululta WASH Strategy (SWS) • Enforcement 2. Sustainability feasibility studies for all urban areas in Sululta: Groups • Water supply • Faecal sanitation • Solid waste management 3. Hydrogeological investigation and long term-monitoring Groups 1030 Break 1100 Reporting back from breakout groups Groups 1230 Lunch 1330 Plenary session: Richard Wilson, Henok WSUP Advisory, ERCS • Consensus Rediate & team • Action plan 1500 Break and departure Action Plan
Lists of attendants at Sululta WASH Strategy workshop at Yaya Resort in Sululta on the 20th and 21st February 2018
1) Mr.Robert Fraser (IFRC, Geneva, Senior WASH officer)
2) Mr.Noor Baya PAWNI(IFRC, WASH Coordinator , Eastern and Southern Africa Clusters) 3) W/ro Bethlehem Hailu (NESTLE waters, Addis Ababa) 4)Dr.Gizaw Desta (WLRC, Addis Ababa University) e-mail:[email protected] OR [email protected]
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5) Ato Engida Mandefro ( ERCS Head Quarter, Deputy Secretary General) 6) Ato Abebe Getaneh (ERCS Head Quarter, Acting DRR department) e-mail: [email protected] 7) Ato Henok Rediate (ERCS Head Quarter, Health &WASH Coordinator) 8) Kebede Duguma (ERCS Finfine Special zone, officer) e-mail: [email protected] 9) Ato Keredin Bidgeba (Regional Oromia Water Mines and Energy, Hydro geologist) e-mail: [email protected] 10) Ato Astatke Genene (Regional Oromia Water Mines and Energy, Water Engineer) e-mail: [email protected] 11) Ato Wondwosen Nigussie (Sululta Municipality, Secretary) 12) Ato Mesay Tadesse (Sululta Municipality, Water and Sewerage service head) 13) Ato Shambel Kebede (Sululta Municipality, Water and Sewerage service officer) 14) Ato Fetene Assefa (Sululta Municipality, Education Office head) 15) Ato Keba Kenate (Sululta Municipality, Environmental Protection office head) 16) Ato Birhanu Deresa (Sululta Municipality, Industry Bureau head) 17) Mr Richard Wilson (WSUP Advisory, consultant), e-mail: [email protected]
Note: All participants from Municipality of Sululta have no email address.
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Notes taken by Noor Pani Time Item Name Organisation Day 1 1330 Overview of water systems, management and budgets Mayor’s office • Primary income from collection of user fees at household level from metered connections. Fees are used to maintain assisted by the system bureau heads • The supply is rationed to different zones of the supply area • 6 deep wells functioning at various production levels. • The production capacities of the dep wells are not fully exploited. • Challenges include pump failure (pumps operate for upto 22 hours ) and intermittent power supply. • In 2018 more drilling will be planned to serve new zones.
Overview of sanitation services • No sewerage system, HH connected to septic tanks • No liquid waste disposal system • Industrial waste limited to Abiturs which separates solid and liquid waste. The solid waste is taken up by a factory while liquid waste disposal is not treated. Current discussions are with University to turn liquid waste into fertilizer. • Silica company based in Sululta transports waste to Addis for formal treatment and disposal.
Overview of institutional water supply and sanitation (schools, clinics and government offices, etc.) • There are 39 schools – private and public owned. • Supply of water to schools is erratic. • 6 schools have piped system but no water flow • Pit latrines are the dominant • 1 school has a septic tank connected to the latrine facilities. • There are no private water distribution tankers which could be used to fill up water reservoirs in schools to promote practices such as handwashing (needs further probing) Overview of hygiene and sanitation behaviour change and promotion of services Overview of solid waste management services. • Solid waste management – No official land feel sites • Current system involves collection of solid waste by groups /associations and place it in bins which are then emptied by private trucks. The HH pay 230 Eth Birr per month. Clear demonstration of the role of the private sector in secondary stage of waste disposal. Page 153 of 160
Time Item Name Organisation
Overview of planning and environmental regulations and enforcement Questions, discussion Henok ERCS • Borehole records, abstraction permits not updated due to lack of comprehensive data base. Rediate & team 1500 Break Water investment plans for Sululta, including incorporation of existing water system and alignment with the existing physical Gezahagn Oromia Water plan and proposed IWMP. Funding sources (Regional budget, AAWSSA, DPs, CSOs, private, etc.) Lemecha Bureau ,Keyredin • Regional bureau has a 64 million Birr budget for drilling 4 deep wells (20 million allocated out of the total), pipe Bidgeba network, reservoirs and water points /connections. Astatke • Tender has been awarded and drilling could start in the next couple of weeks. Genene • No development actors to support WASH as Sululta is considered highland and perhaps better served. bureau • Regional Bureau appreciates technical support which Nestle can provide, such as Hydrogeologists to assist in support identifying most suitable drilling sites to optimise of the success rates which is now as low as 50% down from a high of 75-80 % from previous drilling records . • Design of reticulation will take into account all variable parameters such as physical plans and IWRM plan. • Design parameters take into consideration Ethiopia government per capita demand values. • Regional bureau not able to undertake routine water quality monitoring due to shortage of staff and testing laboratory. Only water quality monitoring happen at the water treatment site such as in Adama. However Regional bureau can undertake annual or biannual water quality monitoring which is less intensive.
Notes taken by Henok Rediate ERCS Water supply and sewerage office of Sululta municipality • Due to an alarming rate of population increase there is a huge gap between water demand in the municipality and the water supply of the office. • The existing boreholes are not producing to their maximum capacities since some of them have not been rehabilitated and some of them are not installed with the proper capacity of pumps to fully discharge the capacities of the boreholes. • Technical skill gaps in designing a comprehensive system considering the existing and future expansion areas in the master plan of the municipality. • Unexpected population settlement in some pocket areas of the municipality.
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Education office of Sululta municipality • Some schools have water supply, some have the pipe system but no water and most have no water supply system at all. • Even though schools have some latrines, they are not up to standard and training on environmental sanitation is also a problem which led to open defecation in school compounds. • Even though some trainings on personal hygiene are given, since there is no water supply taking care of personal hygiene without water supply became a problem. Environmental protection and Mayor’s office of Sululta municipality • The municipality has no truck to collect solid and liquid wastes from households. • The municipality has no standard design landfill. • Association/groups collect solid wastes from door to door and take it to solid waste containers (skips) located in different parts of the municipality. Since theses skips are not taken when they are filled, as a result there are sanitation problems. • There is a technical skill gap to undertake a comprehensive regulation on solid and liquid wastes being disposed from institutions and industries. • Almost all industries have no standard waste disposal mechanisms. WLRC Addis Ababa University • There is a problem in coordinating private sectors working in and around the municipality in bringing an integrated approach to solve the solid, liquid and gas waste disposals from each of the industries and other institutions in the area. • The municipality should be a champion in bringing all the stake holders on board in order to bring about a sustainable and comprehensive solution for the improvement of water, sanitation and hygiene of the municipality by developing appropriate business models for the problems.
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ANNEX 16: WSUPA SLIDE PRESENTATIONS FROM WORKSHOP 20 TO 21 FEBRUARY 2018
Output actions from the February 2018 workshop Workshop agreed actions are included as slides, copied below. All slides used during the workshop are to be found in ppt format, kept as a separate file. It is recommended that this format is kept as a useful modality to aid further discussions between stakeholders, following issue of this Final Report (prepared by WSUP Advisory under contract to IFRC).
Proposed actions related to these questions and discussed during the workshop and through follow-up communications are:
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