User:Alexandra.D/sandbox

Scaling up water and sanitation refers to the process of reaching sustainable access to drinking water supply and sanitation services at broad scale.

Introduction

Scaling up refers to the process of reaching sustainable access to drinking water supply and sanitation services at broad scale. The need to focus on impacts at scale is evident in light of the Sustainable Development Goals 6.1 and 6.2 aiming at universal access to safe drinking water and sustainable sanitation. In addition, the SDG principle of “Leaving no one behind” sets low-income communities as a priority of any effort to expand access. Globally 2.1 billion people do not have access to safely managed drinking water; 4.5 billion people lack access to safely managed sanitation and the level of progress in terms of "improved access" to water supply and sanitation during the past 25 years is insufficient especially given the increased investment in the sector. Without a scaling up strategy, i.e. accelerated expansion of access to undeserved population groups, the SDG will remain an elusive ambition.

The emphasis of the Scaling up concept not only lies in quickly closing the last mile of physical access for the largest possible number of would-be consumers, but also in promoting sustainable sector development. Scaling up efforts must meet the actual demands of the target group, provide an acceptable quality of services (in line with minimum standards) and, ultimately, have lasting economic, social and environmental impacts.

Focus on marginalised low-income areas

Today’s world is steadily urbanising, and many developing countries are experiencing strong population growth. 90% of the urbanisation in the 21^st century will take place in Sub-Saharan Africa and Asia. Overburdened and under-resourced urban planners and service providers are struggling to keep up with ever-increasing pressure on municipal services especially in urban low-income areas, making these the natural focus of scaling up. The physical, legal and socio-economic characteristics of these – often informal – settlements often discourage formal utility providers from regarding their residents as prospective customers. Numerous small-scale informal providers and community-based organisations have stepped in where municipal services are not provided. Residents of the low income areas end up having to pay disproportionately high prices for services of dubious quality, as service standards are either non-existent or unenforced and economies of scale cannot be realised.

Outline of the Scaling up Concept

The Scaling up Concept, which is based on the implementation experience of GIZ in many developing countries over the last 15 years, identifies three distinct elements or clusters needed to institutionalise effective scaling up.

Cluster 1: Scaling up works best if embedded in a national water sector reform and if implemented through national sector structures. The Institutional framework and the implementing actors are the two most important building blocks.

Cluster 2:  Information systems and financing mechanisms are key to the success of a scaling up process. Decision-making can be informed and progress monitored, while performance-based modes of financing enable efficient extension of water supply and sanitation services.

Cluster 3:  Technical, social and organisational aspects must be considered when designing and providing water and sanitation services at broad scale. Concrete solutions for drinking water supply and sanitation service provision at different service levels are offered.

The Scaling-up Modules

Sector Framework

Political decisions taken at sector level and the resulting legal provisions and organisational structures governing the delivery of water supply and sanitation services have a decisive impact on access, especially for poor and vulnerable consumers. The sector framework is especially relevant with regard to sustainability aspects of scaling up. Provision of water supply and sanitation services at scale requires a number of functions the policy and institutional framework have to fulfil:

Pro-poor orientation of sector strategy which establishes a comprehensive framework for effective and efficient planning, implementation and management of water supply and sanitation in low-income areas. Political commitment is especially important for scaling up sanitation, where institutional and economic challenges are particularly strong.

Separation of sector functions is achieved through a strong institutional structure where mandates and responsibilities are clearly defined. A clear separation of functions and delegation of responsibility for financing, planning, service delivery and regulation to autonomous institutions greatly enhance transparency and accountability in the sector.

Autonomous, commercialised service providers: irrespective of the chosen legal form of the service provider, an orientation towards cost recovery is a basic requirement for scaling up. Commercialisation requires autonomy: whether public, semi-public or private, providers must be insulated from undue political influence.

Obligation for service providers to serve low-income areas: unambiguous service obligations to service all residents in the service area, coupled with the right regulatory incentives, encourage service providers to develop approaches to accommodate lower-income customers. 

Regulatory instruments cover low-income areas: with an enabling framework in place, ‘pro-poor regulation’ becomes a matter of streamlining a poverty focus into the regulatory process rather than inventing a whole new set of regulatory tools and instruments. In countries such as Kenya, Zambia and Tanzania, regulators promote the introduction of progressive tariffs. Kiosk water, for example, can be made available at a cross-subsidised social tariff which allow people to consume a limited volume of water at a low price. 

A sound sector framework underpins scaling up by:

• Strengthening government ownership
• Setting incentives for effectiveness and efficiency
• Reducing investment risks and securing value for money by embedding scaling up processes in credible and committed national institutional and policy structures
• Strengthening pro-poor focus and demand orientation.

Implementing Actors

Scaling up through professional, autonomous service providers promises effective implementation, especially in low-income areas. Whether service obligations are imposed on public utilities, commercial companies or municipal departments, clear and enforceable legal responsibilities must be matched by administrative, managerial and financial autonomy. Ring-fencing of revenues is of particular concern, as diversion of revenues has been a critical contributing factor to the common under-financing of municipal water supply and sanitation services.

Formal agreements must clearly delineate the geographical areas in which services must be provided, with the explicit inclusion of any informal and/or low-income pockets that may lie within the assigned service area. Accountability for fulfilling the service obligation then rests with the formally designated service provider, even if parts of the water or sanitation service chain have been delegated to subcontracted entities. Day-to-day management of a water kiosk, for example, can be formally transferred to a community-based organisation or a private individual. The contracting utility must monitor and enforce regulations for the contracted party to ensure compliance with regulated standards. This can be a very effective way of integrating informal services into the regulatory framework under professional management.

For a service provider to move into undeserved low-income areas requires not only addressing the likely unplanned or informal nature of these settlements but also the circumstances and requirements of their residents. A specific operational strategy is needed, and a dedicated 'pro-poor unit' can coordinate its implementation.

Before committing resources for scaling up, checks should be made to ensure the main implementing partner is capable of delivering effective services for all. A checklist summarising the minimum eligibility criteria can be found below:

• Formalisation of water supply and sanitation services in urban low-income areas
• Pro-poor units and clear internal responsibility for low-income areas
• Trend towards O&M cost recovery
• Sufficient availability of water resources 

Information systems

Accurate and detailed information on the countrywide access situation and specifically the outcomes of investments in low-income areas is crucial for the management of any scaling up process. Investment planners, operators and regulatory authorities all rely on verifiable data to prioritise, implement and monitor last mile interventions. Tailor-made Access Information Systems (AIS) allow pinpointing and tracking the availability and quality of services and so facilitate routine performance monitoring as well as the systematic review of policy and investment decisions.

Using web- and ICT-based systems allows collecting, sharing, analysing and storing data on target groups, demographic conditions and service levels, and enables focusing on specific undeserved areas. They are usually designed to suit the information requirements of different user groups: national decision-makers, service providers, regulators, donors and the public. Ideally, AIS is designed and implemented as an integral part of an ongoing sector reform and scaling up process.

A quick checklist covering the main institutional and the technical aspects to be considered when seeking to develop an AIS is provided below:

Institutional requirements

• Autonomy
• Transparency
• Public Accessibility
• Sustainability

Technical requirements

• Clearly defined access parameters
• Quality of data
• Quantity of data
• Updating ensured

Pro-poor Financing

Mobilising internal and external finances (from taxes, tariffs, transfers) and effectively allocating funds remains a challenge for the water sector. The desired pro-poor outcomes will not materialise without (a) sustainably managing and financing water supply and sanitation services, and, based on this (b) financing ear-marked investments bridging the access gap of the "last mile". This also requires mitigating the risks associated with investment in low-income areas. Well-conceived financing mechanisms with an explicit pro-poor mandate can address the interlinked funding and implementation challenges, which too often prevent reaching access at scale.

A financing mechanism can mediate conflicting interests between the necessary development of the larger basic infrastructure and a labour-intensive support to develop services in the low income areas. This might render the financing mechanism more financially viable and efficient, as the margin (fee) to handle larger projects can balance the rather costly pro-poor activities.

The core functions of a financing mechanism are: funding mobilisation, efficient performance-based allocation of funding, comprehensive implementation support, and support to the sustainable operation and use of infrastructure. These core functions will be complemented by planning, monitoring and reporting, and risk management activities to ensure effective targeting and efficient use of allocated funds.

The following criteria summarise the required conditions for a financing mechanism to support scaling up of access to water supply and sanitation services. The checklist can be used as a readiness assessment of an existing financing mechanism or to design a new organisation:

• Autonomy
• Accountability (towards public and financiers)
• Transparent criteria and  processes of funding allocation
• Standardised support and standards for implementation
• Explicit pro-poor mandate

Access do Drinking Water

With regard to water supply, scaling up is driven by the desire to 'close the last mile' of physical access and ensuring a safe and affordable minimum level of service for underserved, low-income areas. Sustainable improvements that meet human rights criteria are achieved by combining cost-effective and adapted technologies with appropriate support for service providers and first-time customers.

There are two dimensions to scaling up water supply: 1) quantitative scaling up refers to the first-time provision of additional access to water supply; 2) qualitative scaling up refers to the upgrading of existing water supply service levels in order to comply with the requirements of the human right to water supply.

Beyond enabling access through low-cost drinking water outlets, scaling up must secure the quality of drinking water (at the point of source and point of use), and promote uptake as well as sustainable operation of pro-poor services.

Scaling up is not limited to any particular type of technology, nor are there any 'preferred' technical solutions. The most appropriate choice of technology for a given project very much depends on national circumstances, particular requirements within the targeted service area and consumer demand and willingness to pay. Many users understandably aspire to the convenience of a household connection but given the existing financial, technical and operational limitations, shared on-plot or public facilities is often the most suitable solution, offering safe and affordable service. Investment costs per capita are low and no up-front investment is requires by the households. The success of scaling up of access to water is closely related to the spread of water kiosks and shared water points, particularly in East and Southern Africa.

"Access solutions", which are sustainable and low-cost, comprise three interlinked aspects:

• Models for sustainable management of infrastructure along the supply chain: financing, operation / maintenance concepts and business models for the water service provider
• Technical designs and standards for the construction or / and rehabilitation of infrastructure
• Concepts for social marketing or sensitisation in order to create demand, inform planning and promote the right use of infrastructure.

Access to Sanitation

The main objective of a sanitation system is to protect and promote human health by providing a clean environment and breaking the cycle of disease. This includes the hygienic use of facilities and good hygiene practices, as well as safe treatment and disposal of any wastewater and solid human waste. In view of existing funding limitations due to the chronic under-financing of the sector, sanitation solutions are likely to be a compromise between (high) user expectations and technical/financial feasibility. Scaling up involves a broad range of technical solutions along the sanitation chain and complementary capacity development and awareness raising activities. 

Large parts of the population in developing countries, use dry or flush toilets connected to on-site storage for faecal material. The most common solutions are pit latrines, soak pits or septic tanks. Although the user interface and storage might be adequate, safe and affordable emptying services for these facilities are for many households not available, leaving a broken or incomplete sanitation chain. These gaps need to be covered to ensure affordable and financially sustainable options for sludge and wastewater management for all users. Faecal Sludge Management (FSM) offers safe emptying, transport, treatment and disposal of faecal sludge without the necessity of investing in conventional sewer systems, which may not be feasible due to local conditions. FSM requires sound management by service providers/local entrepreneurs and sustainable financing from the customers and the public sector. 

Social aspects play an important role for the effectiveness and sustainability of access to sanitation. Technical interventions should be accompanied by activities to foster community involvement, raise awareness and create social acceptance. Developing demand for improved sanitation and building ownership among the low-income residents, is considered to be a key success factor to achieve sustainability. Moreover, strengthening local entrepreneurs and developing financing models for household contributions (payment in instalments to the service provider, revolving funds, micro-loan schemes with subsidised interest fees) create an enabling environment for scaling up.

The development of a business and financial model is an essential part for the success of scaling up of access to sanitation. Functional structures for O&M (procedures, manuals and standards) need to be in place to secure sustainability. For instance, the operation of public toilet facilities requires - similarly to a water kiosk - clear internal responsibilities within a utility to recruit, contract, train and supervise the toilet operator. The tariff structure for the use of the facility has to cover the operational cost and ensure an income for the operator.

Lessons learned

Quick results are highly desirable, indeed often necessary, to address the critical water supply and sanitation services situation in many cities. Finding sustainable solutions, however, is paramount in the sector. Two strategic entry points allow overcoming the dilemma of speed versus sustainability:

Low hanging fruit: Focusing on positive outliers, such as channelling finance into the rare well-performing utilities through a competitive funding allocation, can lead to quick gains while necessarily slower reform programmes are ongoing. Appropriate mechanisms and standards promoting decentralised and on-site infrastructure development lead to increase access to services at lower costs per beneficiary than conventional investment projects.

Access and quality of service: Though usually associated with the construction of last mile infrastructure (e.g. water kiosks or toilets), scaling up can also involve addressing quality gaps in the existing service chain. Investments in providing a qualitative boost to existing access are often easier to implement than physical service extensions.

See also

• Self-supply of water and sanitation

External links

put here e.g. link to WSTF website