Documenti di Didattica
Documenti di Professioni
Documenti di Cultura
2011
External Evaluation of
UN-HABITAT’s Water and
Sanitation Trust Fund
PART 1: Synthesis Report
HS Number: HS/071/11E
ISBN Number (Volume): 978-92-1-132365-8
Disclaimer
The designations employed and the presentation of the material in this publication do
not imply the expression of any opinion whatsoever on the part of the Secretariat of the
United Nations concerning the legal status of any country, territory, city or area or of its
authorities, or concerning the delimitation of its frontiers of boundaries.
Views expressed in this publication do not necessarily reflect those of the United Nations
Human Settlements Programme, the United Nations, or its Member States.
Photos © UN-HABITAT
Part 1: Synthesis Report iii
Acronyms
List of Abbreviations
AfDB African Development Bank
AMCOW African Ministers Council of Water
APMCHUD Asia Pacific Ministerial Conference on Housing and Human
Settlement
CA Cooperation Agreement
ENOF Enhanced Normative & Operational Framework
LVW Lake Victoria Water and Sanitation
MDG Millennium Development Goal
M&E Monitoring & Evaluation
Microsan Micro credit for Sanitation
MoU Memorandum of Understanding
MSF Multi Stakeholders Forum
MTSIP The Medium Term Strategic and Institutional Plan
NGO Non Governmental Organization
OIOS Office of Internal Oversight Services
SEAMEO South-East Asia Ministers of Education Office
UNDP United Nations Development Programme
UNON United Nations Office in Nairobi
WAC Water for African Cities Programme
WAC The Water for Asian Cities Programme
WASH Water, Sanitation and Hygiene
W&S Water and Sanitation
WSTF Water and Sanitation Trust Fund
WATSAN Water and Sanitation
iv External Evaluation of UN-HABITAT’s Water and Sanitation Trust Fund
Part 1: Synthesis Report v
Executive Summary
During the WSTF’s Advisory Board meeting The evaluation used four different
in 2010, the Government of Norway methods to collect data and information:
announced its intention to undertake (a) review of documents, (b) interviews
an external evaluation of its support with UN-HABITAT staff and key
to the Trust Fund. Subsequently, the stakeholders, (c) visits to selected regions
Governments of Norway, Spain and and countries (Mekong, Lake Victoria
the Netherlands, in collaboration with and India) and (d) a web-based survey
UN-HABITAT, decided to undertake the obtaining feedback from staff and
evaluation jointly. partners in all partner countries.
would be learning tools to assess progress measured by means other than numerical
and performance on a regular basis in indicators and long-term MDG impact.
order to analyse what works and what
doesn’t. Major stakeholders rate WSTF’s
performance as very high. A general
response is that projects are making a
substantial and direct impact from a
Partnerships relatively small investment. The projects
WSTF has successfully established a broad are considered good value for money
range of partnerships with governments, and a leverage effect on follow-up and
civil society, private sector, development complementary investments.
banks and other donors. The programme has supported several
However: global normative activities. Another type
of evaluation would have been required
• There is scope for strengthening to measure results of global and regional
WSTF’s participation in development advocacy activities and documenting the
partner coordination at country level. results of capacity building.
• WSTF could have played a stronger WSTF has prioritized and achieved the
role as “strategic influencer” at best results as a model tester and service
national and sector level. provider at community and municipal
level. The programme has achieved
• The partnerships between WSTF
significant results at community and
and the regional banks have been of
municipal level.
mutual benefit and importance but
more in programmatic than financial However:
terms. The programme has helped
fast track loans and given them more There is no information on long-term
pro-poor qualities. impact - mostly on outputs and outcomes
• WSTF should maintain its autonomy at project level. It is not feasible to
in all partnerships to analyse critically measure aggregate results at country,
what works and what doesn’t and regional and country levels.
support innovative learning. WSTF has supported a broad range
• WSTF has, to a large extent, of training events and prepared and
established its own presence in introduced technical tools and guidelines
countries with Chief Technical
Advisors and kept only formal
communication lines with RTCD and
UN-HABITAT’s regional and country
offices.
Achievements and
Results
What UN-HABITAT can do is to “facilitate
and catalyse” change. The contribution
of UN-HABITAT should, in many cases, be
viii External Evaluation of UN-HABITAT’s Water and Sanitation Trust Fund
* A re-establishing approach –
with the aim to identify new
donors and mobilise new
resources in order to re-establish
the programme at the “normal”
level of funding. In this scenario,
the current profile and balance
between roles and interventions
will be maintained including the
number of staff.
* A status quo – but lower level
approach - with the aim to
continue with the same profile
and mix of programmes, but
at a much lower level. Some
activities may be cancelled, but
most normative and operational
programmes will continue.
* A re-focussing strategy – with
but with limited systematic information the aim to identify a few core
about impact. programmes in which WSTF
should invest its resources while
The level of involvement in research and a large number will be left out.
generation of new knowledge is relatively
• This evaluation recommends the third
limited, but with interesting examples.
strategy and advices WSTF to consider
The Lake Victoria Programme has the following options:
successfully continued in a new phase * Reduce the number of
with a new donor with replication in other operational regional and country
towns. However, there is no systematic programmes, in particular the
information about model replication size of the capital investment
in other programmes and countries components.
which would have been interesting in a
programme with model replication as an * “Regionalise” and make the
explicit objective. operational programmes
more autonomous in close
consultation with the Regional
Offices.
Recommendations
* Maintain the field testing and
“real life” laboratory function
To WSTF Senior Management: in cooperation with research
• Prepare a paper to be discussed with institutes in a few selected
the Advisory Board assessing the geographic and thematic areas.
current status of the programme and * Reinforce efforts to establish a
presenting alternative scenarios. system for global and national
• Consider the advantages and monitoring of W&S indicators
disadvantages of three alternatives and achievement of MDGs.
future directions:
Part 1: Synthesis Report ix
Table of Contents
Executive Summary v
Main Conclusions vi
Processes and Resources vi
Partnerships vii
Achievements and Results vii
Recommendations viii
CHAPTER 1: Introduction 1
1.1 Background and Purpose 1
1.2 Analytical Framework 1
1.3 Team and Methods 2
1.4 Limitations 3
CHAPTER 4: Partnerships 18
4.1 Partnerships with Governments and Donors 18
4.2 Partnership with Regional Development Banks and other UN Agencies 19
4.3 Partnerships with Private Sector and Universities 21
4.4 Internal Coordination 22
1 Introduction
This chapter seeks to discuss to what • Delivering sustainable services for the
extent the policies and strategy for WST poor.
are relevant, clear, well-balanced and
• Ensuring synergy between the
focused – providing a solid basis for
artificial and natural environment.
implementation.
• Monitoring the MDGs and beyond.
• Integrating infrastructure and
2.1 Relevance of the housing.
Strategy The Trust Fund was originally set up to
The overall objective of the Water and create a symbiotic relationship between
Sanitation Trust Fund is: “To promote, operational and normative activities.
facilitate and demonstrate an enabling “The work of the Trust Fund follows
environment for increased access to two approaches – normative work
affordable water and sanitation services (mainly applied research) leading to the
and related infrastructure by the urban identification and development of new
poor in partner countries”. operational activities and operational
programmes leading to the identification
The challenge has been to target problems and development of normative tools”.
related to water and sanitation in new In other words, the Trust Fund was
urban areas and in peri-urban settlements, primarily conceived as a pilot testing
housing the urban poor. This is particularly and demonstration programme in order
pressing because estimates indicate that, to identify innovations in the water and
by 2020, approximately 60 per cent of the sanitation sector, test and demonstrate
world’s population will live in urban areas. their viability in real life situations and
Today, one billion urban residents in the disseminate models with potentials for
world live in slum conditions, and more broader replication.
than 90 per cent of slums are in cities in
the developing world, where urbanization The Strategic Plan has three outcomes
has become virtually synonymous with for defining success and measuring
slum formation. Accordingly, a rapidly- performance:
growing number of medium to large • Increased institutional capacity in
cities are striving to meet the demands for partner countries for advocating and
water from distant and degraded sources implementing pro-poor water and
and finding new ways of responding to sanitation initiatives and policies with
rapid changes. focus of gender.
Pollution, lack of water supplies and • Increased flow of investment into
management are factors that contribute water and sanitation sector catalyzed
further to the escalating urban water by WSTF interventions.
crisis. In this context of changing urban/
peri-urban and socio-economic challenges, • Improved MDG monitoring
the Trust Fund has prioritized the following mechanisms in place in partner
four areas: countries, with improved
benchmarking of water and
sanitation service providers.
Part 1: Synthesis Report 5
The team finds the strategy highly relevant improve sustainable water and sanitation
for a number of reasons: service development for the urban poor in
cities and towns and in improving sector
• By focusing on water and sanitation, information is widely recognized” (Main
which are fundamental prerequisites Report Impact study 2010).
in urban slum development.
A similar conclusion can be drawn from
• By targeting the vulnerable and often
the regional/country studies which were
neglected populations in small poor
conducted as part of this evaluation.
urban centres and poverty pockets
Partners are unanimously satisfied with
in larger cities. Reaching the W&S-
UN-HABITAT. They emphasize that the
related MDG is a massive challenge in
international clout by virtue of being a
such areas.
UN organization opens doors to other
• By promoting pro-poor governance networks. UN- HABITAT has been able
strategies and building models of to attract both technical and normative
good practice (such as community- expertise which gives it a role as
based sanitation, water-demand facilitator, network builder and catalyst.
management, innovative water Eighty per cent of all the respondents in
and sanitation approaches and the stakeholder survey either agreed or
capacity building of communities) strongly agreed that WSTF has a strategy
for up scaling and replication by which helps to clarify priorities and
national governments and regional addresses priority needs of the urban poor.
development banks.
Despite these overall positive conclusions,
• By forging a wide range of there are dilemmas in the way the
partnerships with civil society, purpose of the Trust Fund has been
municipalities and utilities, local operationalized. More precisely, the
and national governments and programme has not focused sufficiently
development partners. on its original innovative model-building
• By focusing on innovation, learning nature and drifted much further than its
and software development addressing original objectives supporting useful, but
barriers for reaching the poor with not essential activities for WSTF. These
sustainable services for widespread questions will be discussed through an
dissemination and use. analysis of roles which WSTF has sought to
perform.
• By operating at global, regional
and country level with combined
operational and normative
interventions, like programme 2.2 WSTF Roles
support, demonstration projects, The MTSIP Peer Review suggested
capacity building, advocacy and defining what roles UN-HABITAT should
resource mobilization. play and identify results in each of them
– recognizing the different criteria of
The recent impact studies concluded that
success and helping UN-HABITAT to focus
the “WSTF mission is compelling and the
on results within its own special mandate.
scale of need is tremendous. Its focus on
This evaluation selected five country level
solutions to improve sustainable WATSAN
and four global roles in order to discuss
service development for the urban poor in
themost important roles for WSTF, where
cities and towns and in improving gender
it has invested most time and resources,
equality and sector information is widely
and if the balance between roles has been
recognized. WSTF’s focus on solutions to
6 External Evaluation of UN-HABITAT’s Water and Sanitation Trust Fund
“right” and in line with what WSTF can • Capacity builder, whereby WSTF
and should do as a UN programme. becomes involved in training
and strengthening of national
institutions in order to prepare for
Country level roles: implementation of pro-poor policies
• Model builder or innovator, and replicable models.
whereby WSTF becomes engaged • Service provider, whereby WSTF
in innovative and applied research provides administrative capacities
in order to identify and develop and/or financial support for the
new social and technical models for implementation of projects in order to
potential replication. This is not the provide and scale up W&S services.
same as doing research, but rather
to initiate and fund, to follow closely
and receive the results from partners Global roles:
and pilot schemes of an applied • Network builder, whereby WSTF
research character. starts and initially convenes and
• Model tester, whereby WSTF coordinates a regional and/or global
identifies promising technical and initiative bringing together partners in
social models and brings them the area of water and sanitation for
out for reality testing in specific sharing of experiences and learning.
country settings. The purpose is • Advocacy is a role, whereby UN-
not to deliver services, but learn HABITAT proactively tries to influence
from pilot experiences through the global agenda in water and
systematic monitoring, evaluation and sanitation and external partners.
documentation of experience.
• Monitoring, whereby WSTF seeks to
• Policy influencer, whereby WSTF establish and strengthen national and
becomes engaged in national policy global mechanisms for monitoring
and sector reform processes in order MDG progress and achievements.
to promote pro-poor policies and
models that have proved themselves • Resource mobilizer, whereby WSTF
promising. leverage catalyzes increased flow
of investment into the water and
sanitation sector.
Roles 1 2 3 4
Country Level:
Model builder x
Model tester X
Policy influencer x
Capacity builder X
Service provider x
Global:
Network builder X
Advocacy X
Monitoring x
Resource mobilization X
Part 1: Synthesis Report 7
What roles have WSTF prioritized and entry points for a community-based and
where has it achieved most results? The community-led approach. Linked to this is
table summarizes the team’s assessment the importance of partnerships with local
(1= low – 4= high): government authorities, with NGOs and
with community groups themselves” (Mid-
Term Review 2007).
Focus on local level model
testing and operational There is evidence that WSTF has gradually
service delivery been more involved at national level
and in broader sector reform processes.
WSTF has prioritized the role as model There is also regional variation, but the
tester and service provider at community “upstream” focus was a secondary
and municipal level through the Water for concern both in the mid-term review and
Cities programme and the two replicable the subsequent strategy. That key staff
model setting initiatives. The emphasis has a strong programmatic interest and
has been “down stream”. The largest engineering background has also been
share of resources has been invested at important in shaping the profile of the
sub-national level – in communities, small programme.
towns and cities. Sixty per cent of the total
budget in 2009 was spent on country-level
operations and 11 per cent on global Regional and country
normative work. There has also been a network building
focus on delivering water and sanitation
services. In Lake Victoria, physical WSTF has successfully supported regional
implementation has absorbed 86 per cent and country network building – using its
of the budget but capacity building only 5 “convening power” as a UN agency. The
per cent. In the Mekong region, the ratio programme has initiated and coordinated
is 84 per cent and 3 per cent. several regional and country conferences
and provided technical inputs in others.
Acknowledging regional and country UN-HABITAT has established itself as
variation, the impact studies compared the urban water and sanitation agency,
WSTF’s work “to that of a highly effective also through the Global Water Operator
NGO, using its flexibility to seek out Partnership.
interesting and relevant projects and
focusing on immediate impacts on the
Examples of regional conferences
ground, rather than proceeding from a
- 1st Meeting of East African Community Ministers
thought-out strategy and operating as the of Water and the Development partners of the UN-
government’s lead partner in addressing HABITAT Lake Victoria Region Water and Sanitation
the medium- to longer-term challenges Initiative, Nairobi, Kenya, 2008.
of the urban poor” (Main Report Impact - Ministerial Conference on “Scaling Up of the Lake
Study 2009). Victoria Water and Sanitation Initiative” Entebbe,
Uganda, 22 – 23 April 2000.
This local-level community focus is, - African Water Weeks (26-28 March 2008, Tunis,
Tunisia; 09-13 November 2009, Johannesburg, South
to a large extent, in line with the Africa; Addis Ababa, Ethiopia, 22-26 November 2010.
recommendations from the Mid Term
review which preceded the preparation
of the new strategy. The review
recommended strongly “the need to The Global Water Operators
maintain a very clear focus around the Partnership Alliance (GWOPA)
key theme of good governance, with
water and sanitation projects acting as The launch of the Global Water Operators
8 External Evaluation of UN-HABITAT’s Water and Sanitation Trust Fund
The efforts in previous years to anchor - Water Safety Plan Training in Morocco - 20-21 Jan.
2010 (Rabat, Morocco).
WOPs platforms in the various regions,
- Rainwater Harvesting and Utilisation, Blue Drop Series.
particularly Latin America and the
- The World of Water - African Adventures of a Water
Caribbean and Africa, have resulted Drop (2005.)
in a growing number of twinning - Navigating Gender in African Cities: Synthesis Report
arrangements. More specifically, in 2010, of Rapid Gender and Pro-poor Assessments in 17
a total of 1,206 individuals from 162 African Cities (2006).
utilities benefited directly from WOPs and - Framework for Gender Mainstreaming in Water and
training programmes implemented under Sanitation for Cities (2006).
the WOPs’ umbrella. - Social Marketing of Sanitation (2006).
their initial contribution to the project. the rehabilitation of the water supply
The forum has been involved in providing systems was found to be solid, but not
advice to distribution of resources, innovative. Most of the implementation
involvement in the selection of locations was based on well-known and established
for stand pipes, public and schools latrines technologies. As such, there are elements
and assist in identifying vulnerable groups of applied research and innovation in the
to benefit from the project. However, programme, but more dominant is the
the involvement of MSF in micro-credit implementation of well-established models
schemes was rather low (Rijsdijk 2011). and approaches.
This chapter seeks to discuss selected in line with the agreed strategy.
internal organisational issues which
are important determining factors of Is the Trust Fund arrangement still valid?
performance. However, the Inception The multi-donor base has been gradually
Report decided to give more attention to eroded (see chapter 3.4). At the moment
external and less to internal dimensions, it is only the Norwegian Government that
so this organisational review is only partial. provides core resources. This is partly the
result of changing donor preferences, but
possibly also due to limitations in the trust
fund model itself. A recent report from the
3.1 The Role of the UN points to an overall increase in number
Trust Fund of trust funds within the UN system, but
also to some of their weaknesses (OIOS,
The question is to what extent the Trust Posta&Terzi 2010).
Fund mechanism has been effective and
will be viable for the future? The Water The report mentions that there is no
and Sanitation Trust Fund was launched common definition of what Trust Funds
on World Habitat Day in 2002 in order “to are, but they are set up to provide extra-
follow a well coordinated programmatic budgetary resources to an organization on
approach with strategic impetus allowing the basis of specific agreements with the
donors to improve their aid effectiveness donors for specific purposes, accounted
by contributing to a consolidated fund for and reported to the donors separately.
dedicated to a clear set of objectives”
(Strategic Plan p. 32). The Trust Fund WSTF has provided UN-HABITAT with
has been supported with contributions earmarked resources for water and
from various donor countries including sanitation, both core resources to the
Canada, Sweden, Norway, Poland and the Trust Fund and targeted to programmes
Netherlands. like Mekong and Lake Victoria. As
mentioned, the Trust Fund has supported
The Trust Fund has helped establish a a programmatic orientation, simplified
strategic programmatic approach with planning and reporting systems and
an agreed and simplified planning and predictable resources to a priority area for
reporting procedure vis-à-vis the donors UN-HABITAT. On the other hand, certain
for activities within the Trust Fund. It limitations and weaknesses were identified
has also provided long-term, relatively during the evaluation:
predictable and generous funding.
The Advisory Board has been a forum • The strategic approach has been
for discussing important strategic and limited to the Trust Fund. The
programmatic issues. However, not existence of a strong and well
all the resources have been granted as resourced Trust Fund has distorted
core resources. A significant amount has overall organisational priorities within
been earmarked specific programmes UN-HABITAT.
and projects. As such, the Trust Fund’s • The advisory board for WSTF has, to
flexibility has been partial. It has, to a large some extent, established a parallel
extent, been required to accommodate governing structure within UN-
individual donor preferences more or less
Part 1: Synthesis Report 13
HABITAT with strong donor influence the programme has started. Such a
and few members from the South. change in donor preferences may affect
the credibility of UN-HABITAT as a partner.
• The relative abundance of resources
The change could have been implemented
has created a culture of autonomy
more incrementally and in consultation
and self-sufficiency within WSTF with
with stakeholders and thus reduced the
weak incentives for coordination
negative effects.
and information sharing with other
divisions and units. The reallocation of resources from one
programme (water and sanitation) to other
The most recent and dramatic change for
strategic priorities within UN-HABITAT is
WSTF was the loss of its expected core
inconsistent with a more coordinated,
support for 2011 from the Government of
priority-based planning approach. That
Spain. When the new Executive Director
would have required an allocation of
came to UN-HABITAT he was in need of
resources based on decisions in governing
resources to support his five new strategic
bodies and been reflected in the biannual
priorities: urban mobility, urban planning,
programme and budget. Otherwise, the
urban economy and urban legislation.
pattern of earmarking remains, just to
Hence, he approached the Government
other priorities. The Peer Review of the
of Spain with a request to derestrict its
MTSIP strongly recommended UN-HABITAT
contribution to the Water and Sanitation
to “establish one unified planning and
Trust Fund and reallocate the same
reporting system for decision making,
resources to the new areas. Spain agreed
resource mobilization and reporting
to do so and WSTF lost USD 8 million ,
to all donors” and “define clearly and
representing two-thirds of its budget for
transparently in the biennial programme
2011.
and budget what UN-HABITAT policy and
It can be argued that the Trust Fund has programme priorities are for the short-
been a well-funded programme with a and long-term – how scarce resources will
large budget within a relatively small and be allocated between competing priorities
resource constrained organisation (USD between and within focus areas” (MTSIP
15 million) for WSTF compared to a USD Peer Review 2010).
20 million core budget for the entire
organisation in 2008). Such an internal
imbalance has been perceived as unfair 3.2 Institutional
and not in line with corporate interests. As
such, WSTF has been a victim of its own Structure
success in terms of mobilizing resources.
The Strategic Plan explains that the
More importantly, the reallocation is
Water, Sanitation and Infrastructure
perceived as consistent with the MTSIP’s
Branch was transferred from Global
aim of establishing a more integrated,
Division to the Human Settlements
priority-based planning approach for the
Finance Division, together with the Urban
entire organisation.
Finance Branch. The purpose was to bring
However, this evaluation has found increased coherence to the organisation
reputational risks for UN-HABITAT as a and the opportunity to integrate
result of the unexpected and sudden loss infrastructure and slum upgrading “to
of resources. WSTF has signed agreements more effectively contribute to the overall
with governments and partners which will goal of sustainable human settlements
either have to be cancelled or significantly development”. The Director for the Water
changed – in Latin America even before and Sanitation and Infrastructure Branch
14 External Evaluation of UN-HABITAT’s Water and Sanitation Trust Fund
has been the Acting Director for the entire also information from a broad range of
Division. activities and projects at regional and
country level. The Annual Reports from
Was it a sensible decision to establish WSTF to the Advisory Board consist of a
such a Division? The MTSIP Peer Review range of individual project achievements
discussed briefly if the Human Settlement – interesting examples of country progress
Finance Division should include both the and success. However, there is less
Urban Finance Branch and Water and information at the intermediate levels –
Sanitation under one umbrella. Or if it aggregate impact from countries and/
would have been better to have them as or from thematic areas - in particular
separate units since they perform very quantitative progress indicators for the
different functions. entire project portfolio.
A final conclusion was not reached, but WSTF is a programme, but to a large
the marriage between the two Branches extent project- and activity-driven. This is
has been perceived as arranged without partly the result of how the programme is
clear benefits for either. Hence, there funded (by donors still supporting specific
is a need to find another “home” for activities). However, the programme could
the Water, Sanitation and Infrastructure have prepared short and concise country
Branch taking into account the greater strategies – providing an overview of
attention to energy and transport. There is what WSTF does, why, with whom, how
also a perception that WSTF has pursued and where – not only for providing easier
a too “vertical” approach focusing on understanding and buy in from external
specific W&S interventions. Hence, it stakeholders, but also to explain how
is important to explore new horizontal Water and Sanitation is part of and relates
linkages within an overall urban planning to a broader urban planning agenda.
framework, when a new organisational
structure is decided based on the premise It could also have provided the basis for a
that W&S is a core priority for UN- more strategic selection of interventions.
HABITAT. This is particularly important since WSTF
is to some extent perceived as self-
contained, with vertical activities not
sufficiently linked to other sectors, and
3.3 Planning and an integral part of an urban planning
Reporting Systems framework.
This section discusses two aspects of the The Impact studies pointed to the need
planning and monitoring/reporting system. for clearly articulated country strategies,
The analysis would have been stronger if a developed and discussed with sector
broader perspective had been applied but stakeholders. In the case of Kenya,
the limits of this report would also have the WSTF projects take place under
been exceeded. two different umbrellas (Lake Victoria
Region Water and Sanitation Initiative
(LVWATSAN)) and Water for African Cities
Global Policies and Multiple (WAC), but no coherent country strategy
Country Activities has been developed. In Nepal, the project
WSTF has several global and regional portfolio has until now contained a large
policy and strategy documents providing number of small projects. However,
overall direction. Such documents are the need for more coherence, stronger
important and easily available. There is coordination and the development of a
sector-wide approach is recognized.
Part 1: Synthesis Report 15
Earmarked contributions:
Lake Victoria Initiative (Netherlands) 20.720
Mekong Initiative (Netherlands) 6.600
Private sector 2.558
Sub-total earmarked 2.558
GRAND TOTAL WSTF 118.740
• The Governments of Canada, The Trust Fund has lost 75 per cent of its
Sweden and Poland stopped their core support. Its total operating budget
contributions before 2008. for 2011 was expected to be in the range
of USD 15 million, but is reduced to
• The Netherlands phased out all its
approximately USD 5 million There are
support to UN-HABITAT from 2008
some other pipeline contributions, but
while WSTF was allowed to use
the WSTF will have to cope with a serious
remaining funds for the two regional
budget deficit. An additional challenge is
initiatives in 2009 and 2010. Most of
that most of the resources are tied up to
the funds are now depleted.
cover recurrent expenses (approximately
• The Government of Spain decided USD 3.6. million for project staff salaries
in 2010 to move all its general alone) – leaving marginal funds for any
contributions to other strategic activities. Below is a summary of the
priorities in UN-HABITAT (discussed in 2010 – 2011 allocations as at March
chapter 3.1.). 2011.
• Google has phased out its support There are some new donors in 2010 and
and the Coca-Cola project in India is 2011 including The Catalan Agency for
also coming to an end. Development Cooperation, allocating USD
• The Government of Norway remains 122,809 in 2010-2011, The European
as the only donor to WSTF’s core Investment Bank (USD 60,846) and the
budget. Government of France, whose total
budget allocation amounted to USD
The funds received for 2009 were (in 46,269. These are positive developments,
thousands? Millions? of USD): however not sufficient to change the
downward trend.
Spain 13.323
Norway 2.177
Opening balance 930
Total 17.431
Part 1: Synthesis Report 17
General Trust Fund 2010 2010 2010 Budget 2011 New 2011 Total
Sub-Allotment Allocation Expenditure balance c/d to Allocation budget
2011 Allocation
Global Normative 911 912 893 197 18 715 910 362 929 077
Water for African Cities 1 887 500 1 743 811 143 689 350 000 493 689
Water for Asian Cities 1 887 500 1 263 527 623 973 350 000 974 926
Water for Cities in Latin 2 000 000 1 753 121 246 879 350 000 596 879
America and Caribbean
(W007)
Solid Waste Management 500 000 477 805 22 195 350 000 372 195
Programme (W007)
Urban Energy Section 150 000 28 196 121 804 - 121 804
Mekong Region Water and 500 000 499 046 954 150 000 150 000
Sanitation Initiative
Lake Victoria Water and 500 000 425 546 74 454 150 000 224 454
Sanitation Initiative
Transport Section (W007) 150 000 2 892 147 108 - 147 108
Global Water Operators 2 339 934 1 321 183 1 018 751 194 956 1 213 707
Partnership Alliance (W007
& W026)
Personnel W039 (incl. Interest 2 520 950 2 217 875 303 075 2 356 500 2 356 500
allocation) for 2011
Personnel (W026) WOPS only - - - 690 000 690 000
for 2011
Information, monitoring and 244 508 206 465 38 043 53 580 91 623
evaluation (W002, W007,
W028)
Administrative costs (W007) - - - 136 811 136 811
W005 (refunded to Sweden) - (10 726) 10 726 - -
Total General Trust Fund 13 592 304 10 821 940 2 770 364 6 042 209 8 498 771
(W002, W007, W026, W028)
18 External Evaluation of UN-HABITAT’s Water and Sanitation Trust Fund
4 Partnerships
This chapter discusses the partnerships (2007)8, they were discussed extensively
between UN-HABITAT and external in the recent impact studies. However,
organizations, but also other divisions there is no systematic information from
and units of the organisation. One of all partner countries making an aggregate
UN-HABITAT’s comparative advantages is assessment possible.
said to be the ability to build partnerships
with a broad range of stakeholders. The It was found that WSTF in Kenya had over
organisation can attract and collaborate time developed a stronger partnership
with development banks, universities, with sector investors but, whilst the Lake
governments, municipalities, civil society Victoria Region Water and Sanitation
and private sector. The question is to Initiative (LVWATSAN) is well integrated
what extent WSTF is able to use such an with national and local institutions, the
advantage effectively. project portfolio does not consistently
support core national strategic sector
reform processes. The same applies to the
Mekong region. There is also scope to
4.1 Partnerships with strengthen UN-HABITAT’s participation in
Governments and the coordination between development
partners. The absence of a process to
Donors develop a country strategy means that
Kenyan institutions have not been fully
In recent years, there has been increasing
engaged in UN-HABITAT’s strategic
emphasis on issues of development
choices and UN-HABITAT may not
effectiveness. Development partners
always be sufficiently harmonized with
should work more effectively together
other stakeholders regarding country
(harmonization) and in line with country
programme design.
priorities and procedures (alignment) in
order to create a more country owned It was also pointed out that WSTF
and country led development process and does not always have the accountable
consequently reduce the fragmentation government institutions as implementing
of aid. partners. WSTF seems to prefer
Cooperation Agreements with NGOs.
Within the UN, the “One UN policy” has
Such a practice misses the opportunity to
provided the basis for working towards
strengthen the capacity of government
better country-level coordination – one
institutions9.
programme, one budgetary framework
and one set of management practices for The interventions in Nepal were found
all UN organizations to address the MDGs to be well-integrated with relevant
in a more coherent and effective way. authorities, institutions, and development
partners at national and municipality level.
The question is: to what extent WSTF has
However, there is still too much focus on
become involved in national sector and
donor coordination mechanisms including 8 Possibly because the review focused mostly on the local
and community level aspects of development – a change
the One UN efforts? While issues of from below perspective and less on national policies and
harmonization and alignment hardly were systems.
9 Findings from other regions e.g. Mekong show a
of much concern in the Mid Term review different pattern – much closer cooperation with
government structures.
Part 1: Synthesis Report 19
individual pilot projects. It was said that from being independent from a
that WSTF needs to give greater weight to heavy bureaucratic process – even if
UN-HABITAT’s role as a strategic influencer, the long term aim is to incorporate
drawing from a clear vision about what and replicate proven models within
is needed to address the challenges of national sector programmes.
pro-poor urban WATSAN reforms. This
will require increased engagement in In other words, WSTF could play a
national policy dialogue and involve key stronger role as a “strategic influencer”
government policy makers. in national reform processes as a credible
and “neutral” UN organisation, but avoid
UN-HABITATis further advised to play full cooptation in such processes. WSTF
a more central role in coordinating would benefit from maintaining certain
donors to the urban WATSAN sector, autonomy in order to analyze critically
since the agency is well-positioned to what works and what doesn’t support
enhance donor harmonization as a innovative learning.
respected adviser to the government in
the urban sector. Unfortunately, we lack
sufficient information to assess the role
and reputation of WSTF among other 4.2 Partnership
international W&S agencies. with Regional
In a thematic paper to the Advisory Development Banks
Board (March 2009), issues of aid
harmonization are discussed. There is a
and other UN
long list of examples in which WSTF has Agencies
supported One-UN processes and signed
declarations and MoUs in order to improve WSTF has currently MoUs with the
aid effectiveness. WSTF has clearly moved African Development Bank, the Asian
in such a direction. However, the paper Development Bank, the Inter-American
presents also some of WSTF’s limitations Development Bank and the European
and reservations towards full integration Investment Bank. The collaboration
and harmonization: started with undertaking joint missions
to countries, followed by annual
• UN-HABITAT is a non-resident UN consultations and support to assignments
agency facing capacity constraints and studies carried out during the loan
when it comes to participation pre-investment phase.
in national level coordination
mechanisms The importance and contributions of WSTF
have been:
• UN-HABITAT is primarily a technical
agency and is not able to make long- • Speeding up project design and
term financial commitments to sector implementation by providing critical
funding support in the pre-investment phase
(support for completing business
• WSTF has been able to focus on the development plans for water service
urban poor in informal settlements providers, baseline studies, impact
- often left out of sector investment monitoring frameworks, capacity
programmes building of utilities, participatory
• WSTF invests limited funds in methods involving the poor)
testing experimental innovative • Taking part in project formulation
approaches. Such work benefits missions
20 External Evaluation of UN-HABITAT’s Water and Sanitation Trust Fund
Google Org and the h2.0 are interesting approaches that may be
Initiative developed further and UNHABITAT should
seek more cooperation of similar kind.
The h2.0 Initiative is testing innovations
in water and sanitation monitoring and
seeks to put in place monitoring systems
on a global scale. The vision is not only 4.4 Internal
to provide tools which service providers Coordination
can use, but also to create a platform in
the public domain from which citizens WSTF has not only external, but also
can access meaningful information on internal partners. This section discusses
WSS service provision and so enter into various aspects of progress and challenges
dialogue with service providers on their in strengthening coordination between
improvement. Google.org uses Google’s WSTF and other parts of UN- HABITAT.
strengths in information technology to There is a perception that UN- HABITAT
build products and advocate for policies at Headquarters level is involved in
that address global challenges. In the global normative work whilst regional
h2.0 initiative Google has provided the and country offices focus on operational
software platform. activities. The country focus is perceived as
being weak with relatively few and under-
There are, however, few formal links resourced country offices. These were
with research institutions, universities two of the reasons why the MTSIP called
and think tanks. Rather than UN- for the development of an Enhanced
HABITAT doing basic research, there is Normative and Operational Framework
an untapped potential for the latter to (ENOF), described as “an integrated
be a catalyst in such processes, building approach to support Governments and
strategic partnerships with such inventors. their development partners to achieve
Existing connections with universities more sustainable urbanization”.
such as Twente University (for the H2O
initiative), the TERI Institute in India and However, this has not been the case for
the collaboration with Bob Metcalfe from WSTF. The concern of ENOF – combining
California State University (on water normative and operational approaches -
testing) provide examples but there is a was a strong element in WSTF’s strategic
need for more of these trans-disciplinary plan from the beginning. It has also
and innovative partnerships. The event remained a key characteristic of the
“Water for African Cities”, arranged on programme. However, WSTF has, to a
a yearly basis by UN-HABITAT, is a useful large extent, established its own presence
platform for dialogue and platform to in countries with Chief Technical Advisors
promote such partnerships across the keeping only formal communication
W&S sector. lines with RTCD11 and UN-HABITAT’s
regional and country offices. There have
For instance, at the “Water for African been considerable regional variations
Cities” in Addis Ababa, Ethiopia, in and increasing integration but WSTF
November 2010, innovative examples is still perceived as a self-contained
of research were presented in the field programme with a cautious approach to
of sustainable water management, full integration.
renewable energies and ecological
sanitation. An online toolbox has been 11 RTCD is the Division in UN-Habitat with coordinating
developed which gives practical examples responsibility for regional and country level activities
- a key instrument for implementing the enhanced
of concepts of sustainable WATSAN. These normative and operational framework. It is organized as
a separate Division.
Part 1: Synthesis Report 23
The Peer Review asked to what extent originality and creativity that comes from
it was appropriate that the Water and the unique opportunities the Trust Fund
Sanitation Infrastructure Branch carried presents” (MTSIP Peer Review).
out operational activities at the country
level, or if such activities could be Internal coordination is an issue beyond
transferred to the Regional Offices with the scope of this evaluation and requires
commensurate funding. The Branch further analysis. WSTF has so far been
responded by noting that “WSTF is one able to support strong country activities
of the only units in UN-HABITAT that implemented through a range of country
truly undertakes a mix of normative and partners, but will most likely not be able to
operational work. We provide the model sustain country programmes at the same
of integration where normative work level in the future. Hence, one alternative
would be to use UN-HABITAT’s regional
drives project formulation and vice versa. structure more as is already the case in
Transferring the work of the WSTF to Latin America.
the regional programmes would kill the
24 External Evaluation of UN-HABITAT’s Water and Sanitation Trust Fund
The last and most difficult questions are 5.1 Evidence of Results
to what extent WSTF has produced its
expected results and are they sustainable? Stakeholders Perceptions
The progress reports, impact studies and
the regional and country studies carried WSTF stakeholders were asked to assess
out as part of this evaluation document achievements and results and the overall
all a broad range of achievements response from the survey was positive and
and results. They prove that most of reflects what is found in other studies.
programmes and activities have been This is that major stakeholders perceive
implemented – despite certain delays. WSTF as a relevant programme and that
There is also evidence of change. performance is rated highly. However,
the responses are based on subjective
It is not feasible in a short chapter to perceptions from people involved in the
summarize the aggregate results of programme and not neutral observers.
WSTF at global and country level. Neither
is sufficient data available to answer Findings from the Case Studies
questions about national and global and Progress Reports
impact. WSTF has not established a system
for monitoring core process and outcome A general finding from all the studies is
indicators across countries and regions that institutional capacity has increased,
to facilitate such type of reporting. There however, at various levels. This has been
is a lot of data on a project-by-project achieved through a mix of operational
basis, but less for aggregate reporting and programmes, coupled with training,
comparative analysis, such as how many capacity building and hands on technical
people have got access to improved water assistance targeting the urban water and
and sanitation in various countries. sanitation and municipal councils. Under
the LVWATSAN, an estimated 64,000
The chapter starts by presenting how persons have been provided with access
stakeholders perceive WSTF’s contribution to safe drinking water, while 75,000
to change and the main findings and persons have benefited from access to
conclusions from the regional/country basic sanitation. Furthermore, during
reports, the impact studies and other 2010 solid waste management systems
available reports – providing concrete have been operationalized in eight towns,
evidence of results. benefiting an estimated 160,000 persons
(UN-HABITAT Progress Report 2010, 7).
events. This evaluation has not been able but continuing external support is
to assess the results of such activities. essential to ensure that the benefits of
Another type of evaluation would have the project will last. The fact that the
been required to measure results of global WSP’s are still not sustainable does not
and regional advocacy activities. The same imply any mismanagement or under-
applies to documenting the results of estimation of the tasks by UN-HABITAT.
capacity building at all levels. Time series In view of the gigantic challenges the
data are required to assess change over WSPs faced at the start of the project, it
time. would be unrealistic to assume everything
could be solved within a few years. It is
Sustainability noteworthy that the “best performing”
WSP of Uganda (and Uganda’s showcase
The projects reviewed suggest that of proper management), the National
UN-HABITAT is able to attract the right Water & Sewage Corporation, is still not
partners and support a wide range of sustainable at present (Rijsdijk 2011).
initiatives. Whilst the programmes in India
are phasing out, Mekong, LWATSAN and Building viable models for future large-
the activities in Latin America need further scale replication was a major motive for
resources and time to draw conclusions on WSTF. There is evidence that WSTF models
the level of sustainability of the projects. and approaches have been adopted and
replicated in other settings, as seen in
That said, there is still room for India, but no systematic information.
improvements. The Google H20 platform It would be useful to incorporate this
illustrates a promising and innovative element into reporting systems and
initiative in which sustainability could assessments of impact and outcomes
have been considered more strongly. The incrementally by country, subject areas and
project is not being continued due to to allow for country comparisons.
a lack of financing, and the databases
created have so far not been developed The present approach of the MEK-
further. As the Impact study concluded, WATSAN initiative has the potential for
experiences from the development of replication, although the system of grants
similar databases suggest that finding a and revolving loans should be reviewed as
sustainable long-term host- institution and this is not sustainable in its present form.
creating incentives which enable database The social and institutional sustainability
to be used and maintained are critical appears to be good, while the technical
success factors (Impact Study 2010, 21). sustainability of the watsan investments is
satisfactory, although the some technical
The most critical question is perhaps not constructions have minor flaws (Rijsdijk,
to what extent WSTF-supported activities 2011).
will continue without external support,
but whether the benefits and outcomes It should also be emphasized that
are adopted, disseminated, used and the sudden cut in resources pose a
replicated. The general feedback on the considerable risk to the sustainability of
relevance of global normative activities is projects that are not completed. The
very positive, but inadequate systematic self assessment survey shows that only
information is available about use, 12.5 per cent of the respondents believe
adoption rates and replication. that an exit strategy is prepared while
75 per cent of the respondents replied
A key conclusion from the Lake Victoria that they don’t know. In line with the
study is that the performance of the Water recommendations made in the Mid Term
Service Providers improved considerably,
30 External Evaluation of UN-HABITAT’s Water and Sanitation Trust Fund
5.3 Performance
Indicators
The WSTF Strategic Plan has identified
three performance indicators or measures
of success. The ultimate aim is to achieve
MDG Goal 7 and “increase number
of urban poor provided with access to
affordable and environmentally sustainable
water and sanitation compared to
baseline”, but the outcome measures are
at another level:
Conclusions and
6 Recommendations
The WSTF strategy and programmes are WSTF has prioritised roles differently:
highly relevant:
• Emphasized the roles as model tester
• By focusing on water and sanitation and service provider at community
- fundamental prerequisites in urban and municipal level in the Water
slum development for Cities programme and the two
replicable model-setting initiatives
• By targeting the vulnerable and often
neglected populations in small urban • Gradually been involved at national
centers and poverty pockets in larger level in sector reform processes, but
cities sporadically and not as part of a
strategic effort
• By promoting pro-poor governance
strategies and building models of • Successfully supported regional and
good practice (e.g. community- country network building – using its
based sanitation, water demand “convening power” as a UN agency
management, innovative water
and sanitation approaches and
capacity building of communities)
for up-scaling and replication by
national governments and regional
development banks
• By forging a wide range of
partnerships with civil society,
municipalities and utilities, local
and national governments and
development partnersBy focusing on
innovation, learning and software
development addressing barriers for
reaching the poor with sustainable
services and replicable models for
widespread dissemination and use
• By operating at global, regional
and country level with combined
operational and normative
interventions, like programme
support, capacity building, advocacy
and resource mobilization
the programme by seeking more how the Urban Water and Sanitation
cooperation with universities and can maintain its strengths and
research institutes develop stronger horizontal linkages
with other parts of the organisation.
• Strengthen global advocacy,
networking and preparation of • Restate and if necessary rephrase the
guidelines and technical tools. importance of water and sanitation
If necessary, reduce the direct within the broader agenda for
involvement in capacity building. sustainable urban development.
• Strengthen the involvement in • Discuss the role and viability of
national policy and sector reform Trust Funds in general and WSTF in
processes particular.
• Don’t do what NGOs and
others can do better and more For the WSTF Advisory Board
efficientlyContinue with capacity
• Ensure that WSTF’s future role
building of local partners, preferably
in UN-HABITAT is discussed in
through long-term coaching rather
than short-term training sessions the Committee for Permanent
Representatives and other appropriate
• Continue partnerships with the fora.
regional banks while maintaining its
independence and integrity as a UN • Provide professional and financial
organisation support to ensure a smooth change/
transition of the programme.
• Review existing human resource
capacity and expertise based on the • Continue funding (of particular
requirements of the new strategic importance for the Government
priorities. The premise should be that of Norway) in order to protect
a more knowledge-based programme investments and ongoing activities,
requires new expertise. reduce negative effects and allow a
repositioning of the Trust Fund.
For UN-HABITAT and WSTF
• Discuss the future viability of the
Senior Management Water and Sanitation Trust Fund
• Review the existing organisational including the role of the Advisory
and divisional structure and explore Board as a forum for strategic and
programmatic analysis and discussion.
38 External Evaluation of UN-HABITAT’s Water and Sanitation Trust Fund
1 Terms of Reference
Annex
6. Evaluation Team
Composition and
selection
It is proposed that the evaluation be
carried out by a team of four international
consultants to be identified and supported
by the Governments of Norway,
Netherlands and Spain. Local consultants
will be selected to work with the
international consultants in Lake Victoria
and the Mekong regions. Responsibilities into account professional expertise and
of the donors in the identification and proven experience in evaluation and
selection of consultants will be as follows: review processes. Gender balance will be
considered in composing the team.
• Government of Norway will select
the Principal Consultant whose The evaluators are required to disclose
responsibility will be the overall in writing any past experiences, of
coordination of the Evaluation. It will themselves or their immediate family,
also select an international consultant which may give rise to a potential
in charge of the evaluation exercise in conflict of interest, and to deal honestly
Africa and Asia. in resolving any conflict of interest
• Government of the Netherlands will which may arise. The evaluators are also
select an international consultant required to familiarize themselves with the
responsible for Lake Victoria and United Nations Evaluation Group Norms,
the Mekong regions. Two local Standards and Code of Conduct for
consultants will also be selected Evaluation in the UN system (attached).
to work in Mekong and Lake
• A programme for visits and
Victoria respectively. The two local
consultation meetings
consultants will work directly under
the supervision of the international • A methodological framework for
consultant responsible for the Lake assessing impact of the country
Victoria and the Mekong regions. programmes, including a draft set of
criteria and indicators
• Government of Spain – will select an
international consultant responsible • Interview protocols for different
for Latin America and the Caribbean. stakeholders, including specific
questions to the Trust Fund
The selection of the consultants will
Management and/or Advisory Board
be on a competitive basis and will take
Part 1: Synthesis Report 45
Annex
2 Analytical Model
The analytical framework seeks to present for how to reach these objectives and how
a structure for the evaluation and the final the programme has utilized and built on
report. The framework suggests that the emerging opportunities.
Water and Sanitation Trust Fund needs
four key abilities to achieve its overall The key questions are:
objective related to policies, organisational
• Is the strategy clear?
processes, partnerships and results. Each
of them covers the usual evaluation * Are key objectives for pro-
criteria, such as effectiveness, efficiency, poor governance, gender
impact, relevance and sustainability. The mainstreaming, replicable model
framework is comprehensive and covers building etc, clearly defined and
more questions and issues than listed understood in the same way?
below, but the most relevant are selected.
We suggest that most attention is given to • Is the current strategy relevant?
the policy, partnership and product/results * Does it address the priority needs
questions and less on questions about of the urban poor?
processes.
Simplified Model
3 Overview of Programme
Annex
• Water demand management the programme then rolls out at city level,
lastly, through information and knowledge
• Water education in schools and
sharing, the so-called ‘consolidation
communities
and dissemination phase’ ensures the
• Advocacy, awareness-raising and anchoring of the enhanced capacity at city
information exchange and regional levels (UN–HABITAT Internal
Impact Assessment and Performance
Similarly, the Water for Asian Cities Review of the Water for African Cities
focuses on the following thematic areas Programme, Phase II, 2010, 8-9)
and activities:
The various countries are however at
• Pro-poor water and sanitation different levels of their activity stages for,
governance while India is in the process of completion,
• Urban water conservation and the programmes in Latin America are
demand managementIntegrated in early stages of development and
urban environmental sanitation implementation, having only been initiated
in 2007.
• Income generation for the urban poor
through community-based water 2. Replicable Initiatives
and sanitation services (WAC Annual
Report, 2009, 2). In addition to the regional programmes,
there are “Special replicable model
The WAC programmes seek to achieve setting initiatives”. The latter supports
their main objectives by mobilizing political the adoption of a “learning by doing
will; raising awareness through advocacy, approach” that combines investment
information and education; providing in physical infrastructure with capacity-
training and capacity building, promoting building activities (UN-Habitat Strategic
new investments, demonstrating Plan, 2008-2002, 43).
innovative approaches and monitoring
progress towards the achievement of One example is the Lake Victoria Regional
MDGs (WAC Annual Report 2009, 2). Initiative (LVWATSAN), a joint project
involving UN- HABITAT, the Governments
The idea is to use a top-down approach of Kenya, Tanzania, Uganda, Rwanda
to encourage and support national and Burundi. The initiative is designed
governments in the development of as a model to support partner countries
policies, regulations and legal frameworks, and local authorities to achieve MDGs
and a bottom-up approach to build through relatively modest investment in
capacity in local authorities to encourage infrastructure rehabilitation and capacity
institutional development. WAC has been building in urban centers around the Lake
designed with the ambition of scaling up Victoria region. The other replicable model
and replicating at country levels, as such, setting initiative is the Mekong Region
has focused on cooperation agreements Water and Sanitation Initiative, which is
with national partners, regional and operational in four countries (China, Lao
financial institutions. PDR, Vietnam, and Cambodia). The latter
similarly targets poverty pockets in urban
The initial phase concentrates on sharing areas and middle sized cities.
knowledge, raising awareness and
exchanging information, followed by A key component of the above initiatives
the formulation phase, to get attention is capacity building and training at local
from national and local stakeholders. An level. Consultations with the communities
implementation and investment phase of and multi stake holder approaches
50 External Evaluation of UN-HABITAT’s Water and Sanitation Trust Fund
ensures ownership of the process, both and South East Europe. In short, GWOPA
at political and community participatory can be described as being a broker,
level. Further activities include advocacy, advocate and networker.
awareness raising and information
exchange, values-based water education, Normative Activities
gender mainstreaming and demonstration The regional operational programs and the
activities. replicable initiatives are complementing
elements and the combination of them
A main feature of the replicable initiatives facilitates the achievement of the water
is also the emphasis on immediate and sanitation MDG targets. The two are,
interventions with the aim of making however, underpinned by a number of
quick fixes yet providing significant cross-cutting activities, some of which are
enhancements in WATSAN services developed through these activities.
provision. This is done by fast-tracked
rehabilitation and implementation of cost- Among them are normative activities,
effective measures that arguably make a monitoring and evaluation activities as
crucial difference to the service provision. well as other initiatives as described below
The latter is also beneficial for the poor. (Mid-Term Review, 2007, 8). Normative
The rationale of replicable initiatives is to activities supported by the Trust Fund
serve as pre-investment interventions so as provide a neutral forum for policy dialogue
to be followed by larger- scale investments among water and sanitation providers,
by donors or by regional or international users, utilities and governments. There
financial institutions. are various activities that can be described
as normative; however, the over-arching
3. Water Operators’ theme for the normative activities is pro-
Partnerships poor governance work.
The decision to establish the Global Water Pro-Poor Governance Work The
Operators’ Partnerships (GWOP) Alliance phenomenon of pro-poor governance
mechanism originates from concerns refers to supporting change in
about missing water and sanitation governance, so that low-income people
targets in the MDGs. The GWOP Alliance in poor communities are given a voice
was launched during the World Water in collective decision-making leading
Week in Stockholm in 2007, with the to improved access to for example
goal of providing a basis for collaboration good quality drinking water and basic
among water and sanitation operators sanitation. This is done by directly
and other stakeholders - civil society, effecting policy, regulatory, legal and
NGOs, regulators, financial institutions institutional instruments, and indirectly
and research facilities in order to help spurring pro-poor follow-up investment
support operators who deliver water (i.e. investments targeted to improve
and sanitation services to improve their service delivery and coverage for the
performance. poor) in water and basic sanitation to
benefit those without access (UN–
This is done by sharing information, HABITAT Internal Impact Assessment
promoting effective tools and experiences and performance review of the water for
and establishing a web-based platform to African Cities Programme, Phase II, 2010,
facilitate sharing and exchange of lessons 10).
and experience for water operators in
Africa, Arab countries, Asia and the This also includes disseminating
Pacific, Latin America and the Caribbean information on water and sanitation
issues and developing pro-poor and
Part 1: Synthesis Report 51
LVWSI=Lake Victoria Water and Sanitation Initiative; MRWSI= Mekong Region Water and Sanitation Initiative; WAC-I=First Phase of
Waster for African Cities; WAC-II=Second Phase of Water for African Cities: WAC-Water for Asian Cities.
*20 projects in a total of 7 municipalities, 3 small towns and 4 R4 cities, mostly connected with the ADB program
54 External Evaluation of UN-HABITAT’s Water and Sanitation Trust Fund
Resource Materials
Annex
4 and Conferences
Water & Sanitation Trust Fund 2004, Meeting the Development Goals in Small
Information Brochure Urban Centres: Water and Sanitation in
the World’s Cities (2006).
Toolkits and Source Books
Solid Waste Management in the World’s
Rainwater Harvesting and Utilisation, Blue Cities: Water and Sanitation in the World’s
Drop Series, Book 1: Policy Makers (2005). Cities (2010).
Annex
5 Self Assessment Survey
SUMMARY: The evaluation included a 51.9 per cent agreed and 25.9 per cent
self-assessment among UN-HABITAT’s strongly agreed. Respondents were also
staff and partners. The team developed asked if the programme is well focused -
a questionnaire on the web using the on a few thematic and geographic areas
software “Survey Monkey” for the - and a majority of 74.1 per cent said that
distribution of questions. The Team it was.
followed up with three reminders but
the response was not overwhelming. The HUMAN RESOURCES: Perhaps
following represents a brief summary of unsurprisingly, the programme is thought
the main findings. to have the right staff and expertise (48.1
per cent agreed), while 33.3 per cent
UN-HABITAT’s staff and partner perceived the staff composition to be
organizations are based in Africa, Latin gender balanced and 29.6 per cent did
America and Asia. In this survey,44.4 not know.
per cent of the implementing partners
have responded and 25.9 per cent are ORGANIZATIONAL PROCESSES: On the
UN-HABITAT staff, while 22.2 per cent are question of timeliness, there is scope for
government partners (UN-HABITAT Focal improvement, as 29.6 per cent disagreed
Point, City Managers). Not surprisingly, and 7.4 per cent strongly disagreed that
an overall finding is that UN-HABITAT is projects are carried out in a timely manner.
considered a valued partner as 34.6 per Another important area is monitoring,
cent strongly agreed that WSTF has a which a majority of 59.3 per cent agreed
strategy which helps to clarify priorities, is satisfactory and 25.9 per cent strongly
while 46.2 per cent agreed. agreed.
national W&S sector plans. The results are relatively positive regarding
sustainability as well as 43.5 per cent
RESPONSIVENESS: As regards answered that they agree that programme
responsiveness, 43.5 per cent thought the results and benefits are likely to be
programme has expanded and become durable, while 43.5 per cent strongly
involved in new areas of work while 43.5 agreed.
per cent didn’t know. On the question
of whether an exit strategy has been KEY RESULTS: There appears to be a
prepared, 75 per cent do not know. general and relatively strong belief that
the programme is relevant and beneficial.
On RESULTS AND IMPACT, 54.2 per cent Respondents in general perceiveD UN-
of the respondents also indicated that HABITAT to be a valued partner, with
the programme is innovative and 37.5 a focused programme that addresses
per cent strongly agreed. Some 43.5 per the needs of the urban poor and which
cent believed that the programme has has a good balance of activities that are
contributed to changes in national policy contributing to achieving the MDGs.
while 30.4 per cent do not know. Half of
the answers suggest that the programme
has created visible results at the level of
beneficiaries.
50%
44.4%
40%
30%
25.9%
22.2%
20%
11.1%
10%
0
UN-HABITAT Staff Coordinating/ Government Funding partner
implementing partner (UN-
partner HABITAT Focal
Point, City
Manager
Part 1: Synthesis Report 61
40%
34.6%
30%
20%
15.4%
10%
3.8% 3.8%
0%
Strongly Disagree Agree Strongly Agree Don’t know
disagree
40% 37.0%
30% 29.6%
20%
14.8%
11.1%
10% 7.4%
0%
Strongly Disagree Agree Strongly Agree Don’t know
disagree
40%
29.6%
30%
20%
11.1%
10% 7.4%
3.7%
0%
Strongly Disagree Agree Strongly Agree Don’t know
disagree
62 External Evaluation of UN-HABITAT’s Water and Sanitation Trust Fund
60%
51.9%
50%
40%
33.3%
30%
20%
0%
Strongly Disagree Agree Strongly Agree Don’t know
disagree
The programme is well focused (on a few thematic and geographic areas)
80%
74.1%
70%
60%
50%
40%
30%
20%
14.8%
0%
Strongly Disagree Agree Strongly Agree Don’t know
disagree
Part 1: Synthesis Report 63
60%
51.9%
50%
40%
30%
25.9%
20%
11.1%
10% 7.4%
3.7%
0%
Strongly Disagree Agree Strongly Agree Don’t know
disagree
40%
29.6%
30%
20%
14.8%
10%
3.7% 3.7%
0%
Strongly Disagree Agree Strongly Agree Don’t know
disagree
Ensure that staff composition reflects a fair gender and equity policy
50%
40%
33.3%
29.6%
30%
22.2%
20%
0%
Strongly Disagree Agree Strongly Agree Don’t know
disagree
64 External Evaluation of UN-HABITAT’s Water and Sanitation Trust Fund
40% 37.0%
29.6%
30%
20% 18.5%
0%
Strongly Disagree Agree Strongly Agree Don’t know
disagree
60% 59.3%
50%
40%
30%
25.9%
20%
10% 7.4%
3.7% 3.7%
0%
Strongly Disagree Agree Strongly Agree Don’t know
disagree
Part 1: Synthesis Report 65
60%
55.6%
50%
40%
30%
10% 7.4%
0%
Strongly Disagree Agree Strongly Agree Don’t know
disagree
40%
33.3%
30%
22.2%
20% 18.5%
14.8%
11.1%
10%
0%
Strongly Disagree Agree Strongly Agree Don’t know
disagree
66 External Evaluation of UN-HABITAT’s Water and Sanitation Trust Fund
41.7%
40%
30%
25.0% 25.0%
20%
10% 8.3%
0%
Strongly Disagree Agree Strongly Agree Don’t know
disagree
30%
20%
10% 8.3%
4.2%
0%
Strongly Disagree Agree Strongly Agree Don’t know
disagree
Part 1: Synthesis Report 67
The programme has expanded and become involved in new areas of work
50%
43.5%
43.5%
40%
30%
20%
10% 8.7%
4.3%
0%
Strongly Disagree Agree Strongly Agree Don’t know
disagree
30%
20% 16.0%
10%
4.0%
0%
Strongly Disagree Agree Strongly Agree Don’t know
disagree
68 External Evaluation of UN-HABITAT’s Water and Sanitation Trust Fund
60%
54.2%
50%
40% 37.5%
30%
20%
10% 8.3%
0%
Strongly Disagree Agree Strongly Agree Don’t know
disagree
80%
75.0%
70%
60%
50%
40%
30%
20%
12.5%
10% 8.3%
4.2%
0%
Strongly Disagree Agree Strongly Agree Don’t know
disagree
Part 1: Synthesis Report 69
40%
33.3%
30%
20.8%
20%
10%
0%
Strongly Disagree Agree Strongly Agree Don’t know
disagree
30.4%
30%
20% 17.4%
10% 8.7%
0%
Strongly Disagree Agree Strongly Agree Don’t know
disagree
70 External Evaluation of UN-HABITAT’s Water and Sanitation Trust Fund
39.1%
40%
30%
20%
13.0%
10%
0%
Strongly Disagree Agree Strongly Agree Don’t know
disagree
60%
50.0%
50%
40%
33.3%
30%
20%
12.5%
10%
4.2%
0%
Strongly Disagree Agree Strongly Agree Don’t know
disagree
Part 1: Synthesis Report 71
30%
20.8%
20%
10%
0%
Strongly Disagree Agree Strongly Agree Don’t know
disagree
30%
20%
13.0%
10%
0%
Strongly Disagree Agree Strongly Agree Don’t know
disagree
72 External Evaluation of UN-HABITAT’s Water and Sanitation Trust Fund
The following present some of the main targeting peri-urban areas, informal
findings and conclusions from the four settlements and slum areas that are
regional/country studies. frequented by many people on a daily
basis and often neglected by authorities.
Programmes in India are, however, more
advanced than is the case in Ethiopia.
ETHIOPIA AND INDIA
Introduction Products and Services
The main objective of the Water for Under the umbrella of WAC in
African Cities is to tackle the urban water Ethiopia, public water points have been
crisis through efficient and effective water constructed, serving an estimated number
demand management, build capacity of 5,400 people. Moreover, 15 rainwater
to mitigate the environmental impacts harvesting tanks have been constructed as
of urbanization on freshwater resources well as public toilet complexes. In addition,
and boost awareness and information awareness raising, training and water and
exchange on water management and sanitation education has been carried
conservation. In Ethiopia, implementation out in schools, in poor communities and
of WAC II started in 2005. The among policy decision-makers.
programmes in Ethiopia are focused
on improving sustainable water and
sanitation services in informal settlements
in peri-urban areas, raising awareness and
water and sanitation education.
In India, UN-HABITAT, under the WAC, had an impact on local and national level.
is supporting initiatives in four cities. The Gender Mainstreaming Strategy and
The pivotal activities relate to urban the Rapid Gender Assessment formulated
environmental sanitation, pro-poor water for the WAC has been adopted and
and sanitation governance, water demand approved by the government of MP for
management, gender mainstreaming use at local level in 2007.
and capacity building by involvement
of communities. In terms of general This suggests that, through its partners in
outputs, WAC in India has provided the India, UN-HABITAT has been able to advise
installation of 400 demonstration toilets, and expertly guide national and municipal
20 community toilets in each city, rooftop governments to ensure that its models
rain water harvesting in 20 schools and 20 can be taken up on a sustainable basis.
school toilet blocks. Other achievements In Ethiopia, community-led approaches
include the creation of water points, and gender mainstreaming are also
the extension and repair of piped water progressing, but arguably at different rates
supply systems, awareness programmes and effectiveness.
in schools and capacity training and
workshops for selected representatives Partnership and
of top- and middle-level Municipal Responsiveness
Corporation personnel.
UN-HABITAT’s choice of partners in
In India, programmes are in the process projects in Ethiopia, and especially India,
of being phased out, while Ethiopia is in a seems well balanced with a mix of local
different stage of implementation. As such NGOs and governmental authorities in
it is possible to draw more conclusions on the former, with the latter having a wider
the impacts in the former than in the latter spectrum of partnerships including various
country. local and national governmental agencies,
research institutes, NGOs and pioneering
Indeed, India has come a long way. its Private–Public Partnership with Coca-
Elements that mark the work in India is Cola.
the strong emphasis on community–led
approaches through establishing self Partners seem unanimously satisfied with
help groups, focusing on a pro-poor UN-HABITAT. In discussions with partners
governance framework and capacity and beneficiaries in India, they emphasize
building for government and municipal how the international clout by virtue of
officials. An indication that the being a UN organization opens doors to all
programme is well anchored within networks, UN-HABITAT’s ability to attract
national and local governments is that expertise (technically and normative) by
the State Government and Municipal means of its UN identity gives it a role
Corporations have made use of UN- as facilitator and network builder and
HABITAT’s poverty-mapping data in their catalyst.
preparation of Municipal Action Plans for
Poverty Reduction. An added value of the programme in
India is the combination of strong local
Furthermore, UN-HABITAT’s UN-HABITAT leadership led by Chief
recommendations made on water-demand Technical Advisors (CTA’s) and relevant
management have been crucial in policy and good local partners. A major part of
papers regarding the municipal water the India programme’s success can also be
charges collection. Gender mainstreaming attributed to the expertise of the staff on
is also well developed in India, and has ground as well as the latter’s cooperating
and networking capabilities, which is
74 External Evaluation of UN-HABITAT’s Water and Sanitation Trust Fund
essential in what the Mid-Term Review and rapidly growing peri-urban areas and
calls “achieving last mile delivery”. settlements, often neglected by policy
makers.
Results and Achievements
A general programmatic finding is that
India can show to a broader programme LAKE VICTORIA (LVWATSAN)
which is more in line with national and
municipal priorities and policies. The fact Introduction
that impacts are more noticeable and The LV-initiative was launched in 2004, the
profound in India is perhaps not a surprise MoUs with the three governments were
given that the projects in India are being signed in 2006, and the project effectively
phased out. started in 2007 with the preparation of
The WAC II projects in Ethiopia on the needs assessment studies of the towns.
other hand, have only been implemented The LV-Watsan has identified the following
for some years and given the need of five key areas for intervention: attaining
long-term focus it can be more difficult the water and sanitation related MDGs
to assess these impacts. It should be in smaller urban centers; urban poverty
noted, however, that it is problematic to and health; integrating infrastructure and
quantitatively compare the results from physical planning; capacity building in the
the two countries as the frame conditions WSS sector and solid waste management
are different and, likewise, the scope and drainage. The total budget of the LV-
and objectives and resources of the Watsan is USD 5.888 million.
implementing and cooperating partners.
Policies and Strategy/
In short, the overall findings in India
and Ethiopia suggest that WSTF has Relevance
made a commendable attempt to fulfill The LV-Watsan interventions, especially
its objectives, encapsulating various public standpipes and toilet facilities,
programmes, vast thematic areas and benefit the poor and vulnerable people
geographic regions. The programmes are such as single-headed households and
relevant in a context of poor, unstable
Part 1: Synthesis Report 75
increase the institutional development of water utilities and operators. WatSan LAC
national and municipal activities. has supported a combination regional
and normative activities and policy
This is particularly evident with the dialogue work with on-the-ground pilot
WOPS-LAC. The latter has promoted 13 and demonstration water and sanitation
joint initiatives between several watsan projects focusing on pro-poor water and
operators in the LAC region. Another sanitation service delivery. This illustrates
example of institutional development that UN-HABITAT is promoting several
is found in Bolivia, with two projects region networks that are developing
cooperating with the Municipality of La synergies and complementarities between
Paz and the Municipality of Cochabamba. countries and institutions.
In the field of gender mainstreaming,
ten workshops have been delivered and Results and Achievements
WatsanLAC is contributing to a “Gender
Resource Book” in Spanish. That said, Although in its early stages, the team
measuring normative progress is not finds that the WatsanLAC country
straight forward as the WatSanLAC is in a programmes are promising. According to
phase of consolidation. the consultant, assured long-term funding
and a field management retention policy
Partnership and should enable continuity and enhance the
Responsiveness prospects of sustainable impact. A crucial
weakness is, however, the heavy financial
The programme has forged strong reliance on the Government of Spain, an
partnerships with different governments, issue which can only be solved by finding
with the IADB and international NGOs, other and new mechanisms of financing
local organizations, technological activities in the region.
institutions and national and municipal
HS Number: HS/071/11E
ISBN Number (Volume): 978-92-1-132365-8