Global Water & Sanitation Report

GLOBAL ANALYSIS AND ASSESSMENT OF SANITATION AND DRINKING-WATER (GLAAS) Country Sanitation, Drinking-Water Sectors and Hygiene Promotion Questionnaire 2013BACKGROUND ON GLAAS The Global Analysis and Assessment of Sanitation and Drinking-Water (GLAAS) is a UN-Water initiative, implemented by the World Health Organization (WHO). At the global level it monitors efforts to provide or improve sanitation and drinking-water services. The GLAAS report is published biennially, with the most recent report published in April 2012. The global report includes an assessment of government policies and institutions; the investments in terms of financial and human resources; the volume and targeting of foreign assistance; and the relative influence of all these factors on performance. In a national context, GLAAS aims to complement sector review processes and to assist in assessing the state of the enabling environment including financial and human resources inputs being directed to sanitation, drinking-water and hygiene whilst identifying barriers and enablers. GLAAS, as a global report, also facilitates benchmarking between countries. GLAAS country data is intended to inform senior staff in developing country governments and donor organizations who are in a position to advise their ministers and most senior decision-makers. It is a useful resource for stakeholders involved in sanitation and drinking-water projects and programmes. QUESTIONNAIRE This questionnaire solicits information on the delivery of drinking-water supply and/or sanitation services and/or the status of hygiene promotion activities. Information gathered in this survey will be presented in the 2014 UN-Water GLAAS report. This questionnaire contains four sections that cover a broad range of aspects that impact the provision of water and sanitation services, including: Section A on governance  Section B on monitoring  Section C on human resources  Section D on finance To assist with the completion of the questionnaire, brief guidance is included for some questions and examples may also be provided. Input from multiple ministries and additional non-governmental stakeholders is essential. Please direct queries and completed questionnaires to either your national GLAAS focal point, regional GLAAS facilitator, and/or to WHO at [email protected]. We value your collective government and stakeholder inputs and thank you for your participation.GENERAL INSTRUCTIONS For a majority of the questions, checkboxes are provided in the response sections. Some questions request that countries check all the applicable responses, while other questions may request that countries select only one response per category. In some cases responses may be applicable as a combined subsector e.g. for urban and rural or water and sanitation, in these cases select urban and rural or water and sanitation. If you are completing this form electronically with Microsoft Word 2007 or later version, you may “click” on the boxes to fill them with an “X”. In earlier versions of Microsoft Word, you will need to replace checkbox with an “X” in the appropriate response column. Please complete text boxes where requested. In order to capture country specificities as comprehensively as possible, please provide further information if and when needed. If there are any questions for which no answer is available, please indicate “Not available” or “NA” in the response box. Page 1 - version 12 July 2013 (v33rev2) Country Sanitation, Hygiene Promotion and Drinking-Water Sectors Questionnaire 20131. GLAAS 2013 CONTACT INFORMATION: To ensure the most accurate data, WHO recommends that the national focal person coordinate the collection and reporting of your Government’s responses to the questionnaire. Please indicate the national focal person for GLAAS and the primary respondents (such as government ministries, authorities, civil society and other interested parties) that contributed to the various sections of this form. Country:Area Last and first names. of primary respondent(s) Email address Phone number Job title Ministry/Department Address Line(s) City and Postal Code GLAAS National Focal Person Primary respondent Sanitation Primary respondentDrinking-water Primary respondent HygieneOther contributors/respondents (please specify area)Page 2 - version 12 July 2013 (v33rev2) Country Sanitation, Hygiene Promotion and Drinking-Water Sectors Questionnaire 2013Section A: GovernanceThis section of the questionnaire examines laws, policies, and plans supporting the provision of water and sanitation services. The section also examines the existence of regulatory, legal and institutional frameworks, including coordination mechanisms, roles and responsibilities of government and service providers; levels of stakeholder participation; and mechanisms to ensure accountability.NATIONAL LAWS A1 Human right to water and sanitation: Does the constitution or other legislation recognize water and sanitation as a . human right? Water Sanitation Yes No Yes No a. Constitution or other legislation a. ☐ ☐ ☐ ☐ b. If yes, please provide the date (month/year) that such recognition b. / / in law occurred. c. Please provide title of the law and text of the relevant provision:NATIONAL POLICY AND PLANS A2. P olicy/plan development and implementation: Do national policies and plans exist, and to what extent are these implemented to ensure the provision of water and sanitation? (Note: If a single policy or plan addresses more than one of the WASH areas listed below, please respond for each of the WASH areas covered by a combined policy or plan)(Please select ALL that apply. Answer option can only be checked if ALL criteria in that answer are met (e.g. “Plan being fully implemented, with funding, and regularly reviewed.”)Level of development/implementation Highest Lowest National policy Implementatio Plan being formally Policy No national n plan fully approved and plan policy or policy developed implemented, and gazetted costed and still under based on with funding, through being partially development approved and regularly formal public implemented policy reviewed announceme WASH area nt a. Urban sanitation a. ☐ ☐ ☐ ☐ ☐ b. Rural sanitation b. ☐ ☐ ☐ ☐ ☐ c. Sanitation in schools c. ☐ ☐ ☐ ☐ ☐ d. Sanitation in health facilities d. ☐ ☐ ☐ ☐ ☐ e. Urban drinking-water supply e. ☐ ☐ ☐ ☐ ☐ f. Rural drinking-water supply f. ☐ ☐ ☐ ☐ ☐ g. Drinking-water in schools g. ☐ ☐ ☐ ☐ ☐ h. Drinking-water in health facilities h. ☐ ☐ ☐ ☐ ☐ i. Hygiene promotion i. ☐ ☐ ☐ ☐ ☐ j. Hygiene promotion in schools j. ☐ ☐ ☐ ☐ ☐ k. Hygiene promotion in health k. ☐ ☐ ☐ ☐ ☐ facilities l. Other comments:Page 3 - version 12 July 2013 (v33rev2) Country Sanitation, Hygiene Promotion and Drinking-Water Sectors Questionnaire 2013Page 4 - version 12 July 2013 (v33rev2) Country Sanitation, Hygiene Promotion and Drinking-Water Sectors Questionnaire 2013NATIONAL POLICY AND PLANS A3. Policy and plan coverage targets: Please indicate the coverage target (including the year targets are expected to be attained) as documented in the policy or planPolicy/PlanCoverage target Year that (% of population or coverage facilities1) target will e.g. 100% for universal Date of be WASH area coverage Title of policy or plan where coverage target is expressed (and web link if available) policy/plan attained a. Urban sanitation a. b. Rural sanitation b. c. Sanitation in schools c. d. Sanitation in health facilities d. e. Urban drinking-water supply e. f. Rural drinking-water supply f. g. Drinking-water in schools g. h. Drinking-water in health facilities h. i. Hygiene promotion i. j. Hygiene promotion in schools j. k. Hygiene promotion in health facilities k.1 % coverage for facilities applies for schools and health facilities (c, d, g, h, j & k)Page 5 - version 12 July 2013 (v33rev2) Country Sanitation, Hygiene Promotion and Drinking-Water Sectors Questionnaire 2013DEFINITIONS A4 Definition of improved services: . i) Please indicate what types of sanitation facilities are considered in your target coverage. If other criteria are also used please also describe (e.g. connection to treatment facility) ii) Please indicate what types of drinking-water facilities are considered in your target coverage. If other criteria are also used please also describe (e.g. distance, volume)A5 Hygiene: Please indicate what types of hygiene promotion activities are considered in your target coverage. . SERVICE PROVISION BY INSTITUTIONAL TYPE A6. Populations served by type of provider: What is the approximate population served by the following service provider types? Sanitation Drinking-water Urban Rural Urban Rural (millions) (millions) (millions) (millions) a. Formal service providers (e.g. government a. and private sector utilities) b. Community-based (owned or operated) b. service providers c. Informal service providers (e.g. informal c. private operators, NGOs) d. Self-supply by individual households d. e. Other comments:Page 6 - version 12 July 2013 (v33rev2) Country Sanitation, Hygiene Promotion and Drinking-Water Sectors Questionnaire 2013SUSTAINABILITY MEASURES A7. Improving and sustaining services: Do plans include specific measures in any of the following areas, and how well are these measures implemented? (please check all that apply)Not in Yes, and level of policy implementation is: or plan Low Some High a. To keep rural water supplies functioning over the long-term (e.g. supply a. ☐ ☐ ☐ ☐ of parts, human resources for operation and maintenance, etc.) b. To improve the reliability and continuity of urban water supplies b. ☐ ☐ ☐ ☐ c. To rehabilitate broken or disused public latrines (e.g. in schools) c. ☐ ☐ ☐ ☐ d. To safely empty or replace latrines when full d. ☐ ☐ ☐ ☐ e. To reuse wastewater and/or septage e. ☐ ☐ ☐ ☐ f. To ensure drinking water quality meet national standards f. ☐ ☐ ☐ ☐ g. To address resilience to climate change g. ☐ ☐ ☐ ☐ h. Please describe any other significant measures that are specified for improving, maintaining, and rehabilitating/replacing services (e.g. use of Water Safety Plans or asset management approaches)UNIVERSAL ACCESS A8. Universal access for disadvantaged groups: If there is a policy or plan for universal access, does it explicitly include measures to reach the following population groups?Briefly describe the measures including how disadvantaged groups are informed of their rights or of government actions Yes No (e.g. communication campaigns) a. Poor populations a. ☐ ☐ b. Populations living in slums or informal settlements b. ☐ ☐ c. Remote or hard to reach areas c. ☐ ☐ d. Indigenous population d. ☐ ☐ e. Internally displaced e. ☐ ☐ f. Ethnic minorities f. ☐ ☐ g. People with disabilities g. ☐ ☐ h. Other disadvantaged groups: h. ☐ ☐ i. It is recognized that each respondent country may have a different definition of “disadvantaged” populations, using similar or different groupings as shown above. If such categories of population groups are used in policy, planning, or monitoring in the WASH sectors, please provide the country’s definition of disadvantaged populations or groups.Page 7 - version 12 July 2013 (v33rev2) Country Sanitation, Hygiene Promotion and Drinking-Water Sectors Questionnaire 2013INSTITUTIONAL COORDINATIONAA9. Institutional roles and responsibilities and lead agencies: Please list ministries/ national institutions with responsibilities in WASH and indicate the level of responsibility in each sector. Please add lines or attach separate page if necessary. (Please check all that apply) Level of responsibility in each sector:Hygiene Ministry or national institution Drinking-water Sanitation promotion Suppo Suppor Suppo None rt Lead None t Lead None rt Lead ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐Yes Developing No A10. Coordination between actors: Does a formal mechanism exist to coordinate the work of different organisations with responsibilities for WASH (health, education, environment, ☐ ☐ ☐ public works, etc.) to coordinate activities?If yes to above, does the coordination process: (check all that apply) Yes No a. Include all ministries and governmental agencies that directly or indirectly influence service delivery? a. ☐ ☐ b. Include non-governmental stakeholders (e.g. advocacy groups) ? b. ☐ ☐ c. Apply evidence-based decision-making, including consideration of agreed indicators (e.g. access, c. ☐ ☐ WASH related diseases, WASH finance) d. Base its work on agreed sectoral framework2 or national plan d. ☐ ☐ e. Is the coordination process documented? e. ☐ ☐ f. If yes to above, how often does this body meet or formally interact?2 For example the National WaSH Implementation Framework of the Government of Ethiopia http://cmpethiopia.files.wordpress.com/2011/11/full-wif.pdf Page 8 - version 12 July 2013 (v33rev2) Country Sanitation, Hygiene Promotion and Drinking-Water Sectors Questionnaire 2013Coordinating with non-government organizations: To what extent do NGOs coordinate with government institutions A11. ?Number of NGOs Number of NGOs Number of NGOs actively coordinating Number of NGOs participating in central reporting results of work with local implementing WASH government-led sector monitoring back to authorities in support projects coordination framework government of government-defined (ref to A10) institutions. priorities a. Sanitation a. b. Drinking-water supply b. c. Hygiene c.PUBLIC REPORTING/COMPLAINTS A13. Public reporting/complaints: Do members of the public served by formal service providers have an effective mechanism to file complaints concerning the lack of, or unsatisfactory sanitation and drinking-water services? (Please check one response in each row)Effective complaint mechanisms exist for: Few Some Most (less than (between. (more than 25% 25-50% 50% Unknown population population population served) served) served) a. Urban sanitation a. ☐ ☐ ☐ ☐ b. Rural sanitation b. ☐ ☐ ☐ ☐ c. Urban drinking-water supply c. ☐ ☐ ☐ ☐ d. Rural drinking-water supply d. ☐ ☐ ☐ ☐ e. Please provide an example of an effective complaint mechanism (e.g. existence of complaint hotline, target response times, customer satisfaction with responses, etc.) f. Please provide an example of a situation(s) where complaint mechanisms need to be improved.Page 9 - version 12 July 2013 (v33rev2) Country Sanitation, Hygiene Promotion and Drinking-Water Sectors Questionnaire 2013Section B: Monitoring Responses to this section of the questionnaire will help to determine the level of monitoring activity performed by the government, as well as other stakeholders and how this information is used in the planning, development and evaluation of water and sanitation services. NATIONAL ASSESSMENT B1. Latest National assessment (e.g. Joint Sector Review): When was the last national sanitation and drinking-water supply review or assessment conducted (month/year)? No national Assessment Please attach a copy of the applicable report (or provide assessment date web-link) (month/year) a. Sanitation ☐ b. Drinking-water ☐ c. Hygiene promotion ☐ and/or practiceB2. Impacts of sector review: Please give an example of a time when regular performance review or Joint Sector Review resulted in a substantial change to policy, strategy or programming. a. b. Please indicate whether you have received external technical assistance to support sector review: c. Please indicate whether further assistance is needed:Page 10 - version 12 July 2013 (v33rev2) Country Sanitation, Hygiene Promotion and Drinking-Water Sectors Questionnaire 2013DRINKING WATER QUALITY SURVEILLANCE B3. Independent monitoring and audits: Is independent surveillance of drinking water quality carried out and does it inform remedial action? Auditing against recommended Testing of WQ against national standards management procedures, with verification Performed Performed Not done or Performed, Not done or Performed, and informs and informs insufficiently but data insufficiently but data remedial remedial performed not used performed not used action action a. Urban drinking-water quality a. ☐ ☐ ☐ ☐ ☐ ☐ b. Rural drinking-water quality b. ☐ ☐ ☐ ☐ ☐ ☐ c. Please describe the reasons for any insufficiencies, (e.g. low frequency of surveillance, lack of staff for follow-up action, etc.)USE OF MONITORING DATA B4. Data availability for decision-making: Are data collected and used to inform decision making? Data available Data available (Please check one response in each row) and analysed and analysed Only limited data through a through a Partial data collected and management management available, but not limited information information generally used availability system and used system and used for a minority of for a majority of Health sector decisions decisions a. Identify public health priorities for a. ☐ ☐ ☐ ☐ reducing WASH related diseases b. Response to WASH related disease b. ☐ ☐ ☐ ☐ outbreak Sanitation d. Policy and strategy d. ☐ ☐ ☐ ☐ e. Resource allocation e. ☐ ☐ ☐ ☐ Drinking-water f. Policy and strategy f. ☐ ☐ ☐ ☐ g. National standards g. ☐ ☐ ☐ ☐ h. Resource allocation h. ☐ ☐ ☐ ☐Page 11 - version 12 July 2013 (v33rev2) Country Sanitation, Hygiene Promotion and Drinking-Water Sectors Questionnaire 2013MONITORING OF DISADVANTAGED GROUPS B5. Tracking progress among disadvantaged groups: Do monitoring systems track and report progress in extending the service provision specifically among the following population groups? Hygiene Sanitation Drinking-water promotion Yes No Yes No Yes No a. Poor populations (e.g. poorest quintile) a. ☐ ☐ ☐ ☐ ☐ ☐ b. Populations living in slums or informal settlements b. ☐ ☐ ☐ ☐ ☐ ☐ c. Remote or hard to reach areas c. ☐ ☐ ☐ ☐ ☐ ☐ d. Indigenous population d. ☐ ☐ ☐ ☐ ☐ ☐ e. Internally displaced or refugees e. ☐ ☐ ☐ ☐ ☐ ☐ f. Ethnic minorities f. ☐ ☐ ☐ ☐ ☐ ☐ g. People with disabilities g. ☐ ☐ ☐ ☐ ☐ ☐ h. Other disadvantaged groups:(please specify) h. ☐ ☐ ☐ ☐ ☐ ☐ i. If yes, please attach available public report (or web link)Page 12 - version 12 July 2013 (v33rev2) Country Sanitation, Hygiene Promotion and Drinking-Water Sectors Questionnaire 2013PERFORMANCE INDICATORS B6. Use of selected performance indicators to track progress: Are there clearly defined national standards or agreed upon performance indicators that are used in the following categories? (please select one applicable response in each row) Performance indicators are: Agreed, Being Agreed but Agreed and tracked Please define main indicator(s) or if not developed or not yet baseline data against monitored please indicate “none”. in progress implemented established established i) Sanitation baseline data a. Expenditure (e.g. ratio spent/allocated, proportion of budget released a. mid-term) ☐ ☐ ☐ ☐ b. Service quality (e.g. treated effluent quality, frequency of emptying b. ☐ ☐ ☐ ☐ septic, tanks response time to complaints) c. Equitable service coverage (e.g. % populations in different locations, and c. ☐ ☐ ☐ ☐ different economic groups, with access) d. Cost effectiveness (e.g. cost for levels of service (latrines, networked d. ☐ ☐ ☐ ☐ sewage system), O+M spent) e. Functionality of systems (e.g. working/non-working infrastructure, asset e. ☐ ☐ ☐ ☐ management) f. Affordability (e.g. ability to pay by poorest 10%, % of household income f. ☐ ☐ ☐ ☐ spent on user charges) g. Wastewater/septage reuse (e.g. % of septage reuse, levels of for various g. ☐ ☐ ☐ ☐ uses) h. Institutional effectiveness (e.g. % of treated wastewater, technical staff h. ☐ ☐ ☐ ☐ per connection, material certification schemes ) i. Cost-recovery (e.g. % service provider costs covered by internal revenue i. ☐ ☐ ☐ ☐ versus external subsidies) Question B6 continued on following page ->Page 13 - version 12 July 2013 (v33rev2) Country Sanitation, Hygiene Promotion and Drinking-Water Sectors Questionnaire 2013PERFORMANCE INDICATORS (CONTINUED) B6. (continued from previous page) Performance indicators are: Agreed, Agreed but Agreed and tracked Please define main indicator(s) or if not Being not yet baseline data against monitored please indicate “none”. developed implemented established established ii) Drinking-water baseline data a. Expenditure (e.g. ratio spent/allocated, proportion of budget released a. ☐ ☐ ☐ ☐ mid-term) b. Service quality (e.g. hours of service, min. pressures in piped water b. systems, response time to complaints, quality of the water supply, ☐ ☐ ☐ ☐ seasonable variability in delivery) c. Equitable service coverage (e.g. % populations in different locations, and c. ☐ ☐ ☐ ☐ different economic groups, with access) d. Cost effectiveness (e.g. cost for levels of service (boreholes, networked d. ☐ ☐ ☐ ☐ piped system etc..), O+M spent) e. Functionality of systems (e.g. working/non-working infrastructure, asset e. ☐ ☐ ☐ ☐ management) f. Affordability (e.g. ability to pay by poorest 10%, % of household income f. ☐ ☐ ☐ ☐ spent on user charges) g. Institutional effectiveness (e.g. non-revenue water, employees/1000 g. ☐ ☐ ☐ ☐ connections ) h. Cost-recovery (e.g. % service provider costs covered by internal revenue h. ☐ ☐ ☐ ☐ versus external subsidies)Question B6 continued on following page ->Page 14 - version 12 July 2013 (v33rev2) Country Sanitation, Hygiene Promotion and Drinking-Water Sectors Questionnaire 2013PERFORMANCE INDICATORS (CONTINUED) B6. (continued from previous page) Performance indicators are: Agreed, Agreed but Agreed and tracked Please define main indicator(s) or if not Being not yet baseline data against monitored please indicate “none”. developed implemented established established iii) Hygiene promotion baseline data a. Coverage of promotion programs a. ☐ ☐ ☐ ☐ b. Cost effectiveness of programs (e.g. costs, hygiene knowledge, hygiene b. ☐ ☐ ☐ ☐ practices) iv) Monitored indicators: If the following indicators are measured, please indicate approximate value(s):3 a. Please estimate the national percentage of urban wastewater that is treated ? (through a centralized or decentralized system? a. b. Average nonrevenue water (NRW) for the three largest water suppliers b. c. Please highlight additional specific examples of indicators or performance indicator system(s) that are used: 3 In this instance, ‘treated’ means the use of physical, biological, or chemical treatment processes that reduce the impacts of wastewater flows to human health and the environment.3 Page 15 - version 12 July 2013 (v33rev2) Country Sanitation, Hygiene Promotion and Drinking-Water Sectors Questionnaire 2013MONITORING OF SERVICE PROVIDERS B7. Service providers: Do service providers report the results of their internal monitoring against required service standards to the regulatory authority and does internal monitoring trigger timely corrective action? (Please check the response that applies for the majority of providers in each service provider type and sub-sector) Internal monitoring for drinking- Internal monitoring for sanitation waterReported Reported Reported Reported but does but does and and Not Not not lead not lead triggers triggers reported reported to to corrective corrective corrective corrective action action action action a. Urban formal service providers (e.g. a. ☐ ☐ ☐ ☐ ☐ ☐ government utilities, private sector utilities) b. Rural formal service providers (e.g. b. ☐ ☐ ☐ ☐ ☐ ☐ government utilities, private sector utilities) c. Community-based (owned or operated) c. ☐ ☐ ☐ ☐ ☐ ☐ service providers d. Informal service providers (e.g. informal d. ☐ ☐ ☐ ☐ ☐ ☐ private operators, NGOs) e. Please describe other mechanisms to report and regulate based on monitoring:COMMUNICATION OF MONITORING RESULTS B8. Dissemination of data: Is the performance (e.g. quality of service) of the formal service providers made public and are the results of customer satisfaction information made public? (please check all that apply)Customer satisfaction review made Performance review made public? public?Few Some Most Few Some Most (less than (between (more than (less than (between (more than 25% of 25-75% of 75% of 25% of 25-75% of 75% of Sanitation providers providers providers providers providers providers a. Urban sanitation a. ☐ ☐ ☐ ☐ ☐ ☐ b. Rural sanitation b. ☐ ☐ ☐ ☐ ☐ ☐ Drinking-water c. Urban drinking water supply c. ☐ ☐ ☐ ☐ ☐ ☐ d. Rural drinking-water supply d. ☐ ☐ ☐ ☐ ☐ ☐Page 16 - version 12 July 2013 (v33rev2) Country Sanitation, Hygiene Promotion and Drinking-Water Sectors Questionnaire 2013Section C: Human Resources (HR) This section examines the human resources capacity for delivering drinking-water and sanitation services (including hygiene promotion) and the degree to which this human resource capacity is being developed to meet current and future needs. HUMAN RESOURCES STRATEGY NOTE: For the purpose of this question a strategy is defined as a sector-wide plan either standing alone or included within a broader strategy. This question is not examining the human resource plans of individual organisations. Please check all columns that apply. C1. a. HR strategy existence: Does an overall HR strategy Sanitation Drinking-water Hygiene exist to develop and manage human resources in sanitation and drinking-water? Urban Rural Urban Rural Urban Rural Yes ☐ ☐ ☐ ☐ ☐ ☐ Under development ☐ ☐ ☐ ☐ ☐ ☐ No (If no please proceed to C2) ☐ ☐ ☐ ☐ ☐ ☐ b. HR strategy identifies needs: If an HR strategy exists Sanitation Drinking-water Hygiene or is under development, has an HR gap4 been identified? Urban Rural Urban Rural Urban Rural Public sector ☐ ☐ ☐ ☐ ☐ ☐ Private sector ☐ ☐ ☐ ☐ ☐ ☐ NGOs ☐ ☐ ☐ ☐ ☐ ☐ Community-based (e.g. CBOs) ☐ ☐ ☐ ☐ ☐ ☐ Other ☐ ☐ ☐ ☐ ☐ ☐If other, please describe in what area this other HR gap has been identified. c. HR strategy outlines actions to fill needs: If an HR Sanitation Drinking-water Hygiene strategy exists or is under development, does it outline actions to fill identified gaps in HR? Urban Rural Urban Rural Urban Rural Yes, a plan exists to fill all HR gaps ☐ ☐ ☐ ☐ ☐ ☐ Yes, but does not fill all HR gaps identified ☐ ☐ ☐ ☐ ☐ ☐ A plan is under development ☐ ☐ ☐ ☐ ☐ ☐If yes, please describe actions to fill these gaps.Question C1 continued on following page ->4 A gap may be either shortage in the number of skilled personnel, or a deficiency in the competencies of available personnel Page 17 - version 12 July 2013 (v33rev2) Country Sanitation, Hygiene Promotion and Drinking-Water Sectors Questionnaire 2013C1. (Continued from previous page) d. HR strategy review: How often is/ (will) the human Sanitation Drinking-water Hygiene resources strategy (be) reviewed? Urban Rural Urban Rural Urban Rural At least every 2 years ☐ ☐ ☐ ☐ ☐ ☐ Every 2-5 years ☐ ☐ ☐ ☐ ☐ ☐ More than 5 years in-between reviews ☐ ☐ ☐ ☐ ☐ ☐ Unknown ☐ ☐ ☐ ☐ ☐ ☐ Date of last HR strategy review (month/year) e. Please attach a copy or provide a reference/link to the government strategy on human resources for WASH :CAUSES OF HUMAN RESOURCE GAPS / SHORTAGES C2. Constraints to WASH human resources: To what extent do the following factors constrain WASH human resources capacity? Enter score in appropriate box according to the following scale:  3 - Severe constraint to WASH human resources Constraint on HR capacity for:  2 - Moderate constraint to WASH human resources (3-strong, 2-moderate, 1-low or no)  1 - Low or no constraint to WASH human resources Drinking- Sanitation water Hygiene a. Financial resources available for staff (salaries and benefits, including pensions etc.) a. b. Insufficient education/training organisations or courses to meet demand by potential students b. c. Lack of skilled graduates from training & education institutes c. d. Preference by skilled graduates to work in other (non-WASH) sectors (e.g. Mining, Transport, Construction) within the country d. e. Emigration (temporary or permanent) of skilled workers to work abroad e. f. Skilled workers do not want to live and work in rural areas of the country f. g. Recruitment practices g. h. Other (please specify): h. i. Please provide explanatory detail (i.e. causes, impacts, and barriers to addressing) or if different responses exist for the impact of the above issues (a-h) on rural and urban WASH human resources, please indicate here on the most limiting factor affecting HR capacity, if appropriate.Page 18 - version 12 July 2013 (v33rev2) Country Sanitation, Hygiene Promotion and Drinking-Water Sectors Questionnaire 2013IMPACTS OF HUMAN RESOURCE SHORTAGES C3. Is HR limiting achievement of WASH services?: What are the three (3) tasks that would most benefit from increased human resource capacity? (Please select top three only for each sanitation, drinking-water and hygiene)Drinking- Sanitation Hygiene Task requiring human resources water a. Policy development a. ☐ ☐ ☐ b. Institutional coordination b. ☐ ☐ ☐ c. National and local/provincial WASH Planning c. ☐ ☐ ☐ d. Construction of facilities d. ☐ ☐ ☐ e. Operation and maintenance (O&M) e. ☐ ☐ ☐ f. Community mobilisation f. ☐ ☐ ☐ g. Financial planning and expenditure g. ☐ ☐ ☐ h. Enforcement of regulations h. ☐ ☐ ☐ i. Health promotion i. ☐ ☐ ☐ j. Monitoring and evaluation j. ☐ ☐ ☐ k. Other k. ☐ ☐ ☐ l. Please provide additional information on HR limiting achievement of WASH services (including any important differences between rural and urban settings)Page 19 - version 12 July 2013 (v33rev2) Country Sanitation, Hygiene Promotion and Drinking-Water Sectors Questionnaire 2013Section D: Financing This section examines the distribution in countries of WASH funds and mechanisms to allocate, spend, and track financial flows. FINANCING PLAN D1. Existence of financing plan/budget: Has the government defined a financing plan/budget for the WASH sector, clearly assessing the available sources of finance and strategies for financing future needs (i.e. who should pay for what), that is published and agreed? (please select one applicable response in each row) Financing Financing plan/ Financing No agreed Financing plan/budget budget is plan/budget is financing plan/budget in agreed, but agreed and agreed and plan/budget development insufficiently used for some consistently implemented decisions followed a. Urban sanitation a. ☐ ☐ ☐ ☐ ☐ b. Rural sanitation b. ☐ ☐ ☐ ☐ ☐ c. Urban drinking-water supply c. ☐ ☐ ☐ ☐ ☐ d. Rural drinking-water supply d. ☐ ☐ ☐ ☐ ☐ e. Hygiene e. ☐ ☐ ☐ ☐ ☐ f. Please attach a copy of the financial plan or provide a web link.FINANCING PLAN/BUDGET FOR WASH D2. Government budget specific to WASH a. Please list ministries/ national institutions with responsibilities in WASH and budget (ministries as listed in A9). Please add lines or attach separate page if necessary. If data disaggregated please indicate annual budget Disaggregated Hygiene data is not Drinking-water Sanitation promotion available. No data is Ministry/ National institution Urban Rural Urban Rural Urban Rural available ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ ☐ b. Please indicate the time period (e.g. financial year) for budget indicated: c. Please indicate currency/units for budget stated above:Question D2 continued on following page ->Page 20 - version 12 July 2013 (v33rev2) Country Sanitation, Hygiene Promotion and Drinking-Water Sectors Questionnaire 2013D2. (Continued from previous page) d. If unable to respond to budget information in format requested above please provide annual WASH budget indicating what sub-sectors e.g. Drinking-Water or Sanitation are covered by ministries e. If annual budget information is not available please explain why.FINANCIAL DATA AND INFORMATION SYSTEMS D3. Financial reporting: Are expenditures reports available that allow actual spending on WASH to be compared with committed funding Expenditure reports available and include actual vs. committed Expenditure for the following (please check all that apply) reports not External funding Government available ODA Non ODA expenditure a. Urban sanitation a. ☐ ☐ ☐ ☐ b. Rural sanitation b. ☐ ☐ ☐ ☐ c. Urban drinking-water supply c. ☐ ☐ ☐ ☐ d. Rural drinking-water supply d. ☐ ☐ ☐ ☐ e. Hygiene e. ☐ ☐ ☐ ☐ f. If disaggregated reports on actual spending are not available please describe what is available Page 21 - version 12 July 2013 (v33rev2) Country Sanitation, Hygiene Promotion and Drinking-Water Sectors Questionnaire 2013D4. Cost recovery strategies: If a financing plan/budget is in place, does it define if operating and basic maintenance is to be covered by tariffs or household contributions? (please check one response in each row)Operating and basic maintenance (O&M) to be covered via tariffs5 Covers less than 80% Covers over 80% No finance plan of costs of costs a. Urban sanitation a. ☐ ☐ ☐ b. Rural sanitation b. ☐ ☐ ☐ c. Urban drinking-water supply c. ☐ ☐ ☐ d. Rural drinking-water supply d. ☐ ☐ ☐ e. If costs are not fully recovered via tariffs, is the gap covered and how? Please attach relevant provisions, provide a link or give details (including target recovery % ) f. Do you have a tracking mechanism for cost recovery, if so please describe.5 Tariffs are payments made by users to service providers for getting access to and for using the service Page 22 - version 12 July 2013 (v33rev2) Country Sanitation, Hygiene Promotion and Drinking-Water Sectors Questionnaire 2013FINANCING FOR DISADVANTAGED GROUPS D5. Equity: Are there specific measures in the financing plan to target resources to reduce inequities in access and levels of service and are they being applied for the following? (please select one column for sanitation and one column for drinking-water supply )Specific measures for Specific measures for Sanitation drinking-water supply Yes, but Yes, but measures Yes, and measures Yes, and are not measures are not measures No No applied are applied are consistent applied consistent applied ly ly i. Disparity between urban and rural i. ☐ ☐ ☐ ☐ ☐ ☐ Disparity between formal urban, peri-urban ii. ii. ☐ ☐ ☐ ☐ ☐ ☐ and slums iii. Disparity between rich and poor iii. ☐ ☐ ☐ ☐ ☐ ☐ iv. Other disparities iv. ☐ ☐ ☐ ☐ ☐ ☐(If other disparities are targeted, please describe. Refer to list of disadvantaged groups in question A8) v. For each listed above, and where applicable, please describe the measure taken to reduce inequities in access and levels of service, and provide a reference and/or link to the relevant section of the finance plan : Page 23 - version 12 July 2013 (v33rev2) Country Sanitation, Hygiene Promotion and Drinking-Water Sectors Questionnaire 2013D6. Affordability: Are there financial schemes to make access to WASH more affordable for disadvantaged groups? (These include for example voucher schemes, fee exemption schemes, block tariffs etc.) Affordability Affordability No schemes exist schemes exist, but schemes exist and are not widely used are widely used a. Sanitation a. ☐ ☐ ☐ b. Drinking-water supply b. ☐ ☐ ☐ c. Please provide examples of affordability schemes in use and the scope of coverage for these schemes.UTILIZATION OF AVAILABLE FUNDS (ABSORPTION) D7. Absorption of external funds: What is the percentage of official donor capital commitments for WASH utilized (three-year average)? Less than 50% 50-75% Over 75% a. Urban sanitation a. ☐ ☐ ☐ b. Rural sanitation b. ☐ ☐ ☐ c. Urban drinking-water supply c. ☐ ☐ ☐ d. Rural drinking-water supply d. ☐ ☐ ☐ e. If donor capital commitments were under-utilized, what is/was the greatest problem in using these funds?D8. Domestic absorption: What is the estimated percentage of domestic commitments utilized (three year average)?Less than 50% 50-75% Over 75% a. Urban sanitation a. ☐ ☐ ☐ b. Rural sanitation b. ☐ ☐ ☐ c. Urban drinking-water supply c. ☐ ☐ ☐ d. Rural drinking-water supply d. ☐ ☐ ☐ e. If applicable, were the following problematic in terms of spending the allocated funds: a) funding release procedures are too lengthy, or; b) timeframe to spend the budget is too short. Please provide a brief explanation of these or other types of bottlenecks, if they exist.Page 24 - version 12 July 2013 (v33rev2) Country Sanitation, Hygiene Promotion and Drinking-Water Sectors Questionnaire 2013EXTERNAL FINANCING Donor funding: Is there a coordination mechanism between bi-lateral/multi-lateral donors and government and how are D9. the donor funds channelled to the sector?(Please indicate number of donors for each category)Funding channels -number of donors using the following channels to fund the country WASH sector Number of donors allocating Direct funding to General budget funding through a Targeted Total number of sector not support with signed agreement budget donors involved through national specific responsive to support for budget objectives or government the performance defined priorities sector(Basket indicators for the funding) sector a. Sanitation a. b. Drinking-water supply b. c. Hygiene c. d. Please provide information on difficulties encountered in the coordination and channelling of the external fundingPage 25 - version 12 July 2013 (v33rev2) Country Sanitation, Hygiene Promotion and Drinking-Water Sectors Questionnaire 2013SUFFICIENCY OF FINANCING FINANCIALD10. Sufficient FLOWS finance to meet targets: Going forward, do you estimate that financing allocated to water/sanitation/hygiene D11. Financialimprovements flows for are sanitation, sufficient drinking-water, to meet MDG and targets? hygiene promotion: This table aims to capture all financial flows in to the WASH sector, and where the money is spent. The sources of financial flows are based on three broad categories: Tariffs, Taxes and Transfers (3Ts), which we have classified underBetween household, 50 to governmentMore than and 75% external sources of financing. The table should capture the sources of Less than 50% data, but also highlight any reporting gaps (i.e. data that was not readily available). For example you 75%may ofbe whataware is of expendituresof what is for which data is not available. Information on these data gaps is of needs essential. Please indicate in the relevant box where data sources may be missing, and provide a brief explanationneeded of the natureneeded and scope of this gap. Pleasea. Urban complete sanitation as many boxes as possible. a. ☐ ☐ ☐ b. Rural sanitation b. ☐ ☐ ☐ Country: c. Urban drinking-water supply c. ☐ ☐ ☐ Currency / units (e.g. USD millions): d. Rural drinking-water supply d. ☐ ☐ ☐ Financial Year (2010, 2011 or 2012) Contact Person: Contact Email: Expenditure Sources, and Water Sanitation Hygiene General, unallocated data gaps (additional space Source of financing Total Total Urban Rural Total Urban Rural Total Urban Rural Total Urban Rural provided next page)1. Households - Tariffs for services provided - Households’ out-of-pocket expenditure for self-supply2. Government or public authority - Central level - State / provincial level - Local level 3. External sources - International public transfers (ODA) - Voluntary transfers (NGOs and foundations) 4 Total financing sources 5. Percentage of total WASH financing 100% % % % %Repayable financing (inflows) Page 26 - version 12 July 2013 (v33rev2) Country Sanitation, Hygiene Promotion and Drinking-Water Sectors Questionnaire 2013Question D11 continued on following page ->D11. Continued from previous page. b. Please provide details on sources of financial information used to complete Table D11 and any data gaps : While completing table D11, please note the following: Tariffs for services provided are payments made by users to service providers for getting access to and for using the service.  Households’ out-of-pocket expenditure for self-supply includes funding provided by households to invest in or provide the service themselves (estimated as an aggregate based on evolution in coverage figures).  Domestic public transfers are public transfers from government agencies (central or local government) to WASH actors. These are often subsidies that come from taxes or other sources of revenues of the government.  International public transfers Funds from public donors and multilateral agencies that come from other countries. These funds can be contributed either in the form of grants, concessionary loans (i.e. through the grant element included in a concessionary loan) or guarantees.  Voluntary transfers are funds from international and national non-governmental donors including from charitable foundations, Non-Governmental Organizations (NGOs) and civil society organizations. These funds can be contributed either in the form of grants, concessionary loans (i.e. through the grant element included in a concessionary loan, in the form of a subsidised interest rate or a grace period) or guarantees.  Private repayable financing refers to sources of finance that come from private sources and ultimately need to be repaid, such as loans, equity investments or other financial instruments such as bonds.It is acknowledged that the data requested in Table D11 may not be readily available for some countries. To improve information THANK YOU FOR YOUR PARTICIPATION IN THE SURVEY on financial flows in WASH, UN-Water GLAAS has launched an We truly appreciate the time and effort involved in completing this form. Please return this form to: initiative called TrackFin. This initiative aims to develop a global standard methodology for tracking financing in the Water, UN-Water GLAAS Team Sanitation and Hygiene sector at national level. The first phase of Water, Sanitation and Hygiene Unit the initiative aims to develop the methodology, which will be World Health Organization tested in up to six volunteer countries. Should your government 20, Avenue Appia Page 27be - version interested 12 July in 2013 participating (v33rev2) please contact: [email protected] Country Sanitation, Hygiene Promotion and Drinking-Water Sectors Questionnaire 2013CH-1211 Geneva 27, SWITZERLAND E-mail: [email protected]Page 28 - version 12 July 2013 (v33rev2)

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