1. GLAAS methodology. 2. Survey process for external support agencies (donor organisations)

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1 1. GLAAS methodology The GLAAS report will integrate and assess data from several different sources, including global data on sanitation and drinkingwater coverage 1, donor aid flows 2, economic and development indicators 3, health indicator data 4, and data from regional sector and multi sector assessments. GLAAS will also perform a data gathering process at both recipient country and donor organizations to fill key knowledge gaps in the sectors. For example, GLAAS requests information from donor organizations on the potential impact of the financial crisis on aid to the sanitation and drinking water sectors or, as another example, GLAAS is also requesting information from developing countries concerning what human resource capacity needs (if any) exist in the sectors. A key component of the global assessment process is the need to build partnerships across all relevant global and regional actors in sanitation and drinking water sector monitoring in order to improve the quality of the information reported in GLAAS and to reduce the reporting burden of national governments. For example: GLAAS is working in close collaboration with the World Bank's Water and Sanitation Program Africa (WSP Africa) to provide technical support to the African Ministers' Council on Water's (AMCOW) second series of the Country Status Overviews (CSOs). WHO and WSP Africa have developed a joint survey methodology with joint survey tools and joint national assessments; GLAAS is collaborating with the UN Economic and Social Commission for Asia and the Pacific (ESCAP). In 2008, UNESCAP carried out a survey on sanitation in the framework of the International Year of Sanitation 5. This year, UNESCAP has been asked to contribute to the planned Asian Development Bank (ADB) report on Asian Water Development Outlook 2010 on household water security. In order to minimize the duplication of data gathering effort for countries and for both agencies, WHO and UNESCAP have agreed to use a common survey instrument. GLAAS is establishing a technical collaboration with the OECD Creditor Reporting System as the major repository of information on Official Development Assistance in the sector. 2. Survey process for external support agencies (donor organisations) Recognizing that the majority of the aid flows are captured by the OECD Creditor Reporting System (OECD CRS), one component of the GLAAS effort is the performance of a data gathering exercise with external support agencies to fill key knowledge gaps in the sector (e.g. aid flows on non OECD external support agencies). It is important to mention that the GLAAS data gathering exercise does not duplicate the reporting to the OECD CRS. Participation in the GLAAS data gathering is entirely voluntary and it would be comprised of completing the GLAAS questionnaire and a subsequent review of the draft GLAAS report. The data collection effort for donors, NGOs, private foundations, and international agencies is being executed by the IRC International Water and Sanitation Centre (IRC) on behalf of WHO. IRC provided support to the European Union Water Initiative, Africa Working Group (EUWI AWG) for its 2008 African aid mapping study 6, which also informed the 2008 UN Water GLAAS pilot. If your agency intends to participate, we would very much appreciate an acknowledgement to this effect by 31 August 2009 at GLAAS_support@irc.nl. We would suggest that the first and very important step be to identify a focal person and to contact the IRC team at GLAAS_support@irc.nl. Some European agencies have also participated in the 2008 aid mapping study of the European Union Water Initiative, Africa Working Group (EUWI AWG). Lessons from this study have been fed into this GLAAS pilot ( 1 WHO/UNICEF Joint Monitoring Programme on Water Supply and Sanitation 2 Organisation for Economic Co operation and Development (OECD) Creditor Reporting System 3 World Development Indicators, World Bank 4 World Health Statistics, WHO

2 3. Survey organization The GLAAS survey to external support agencies is composed of three sections: Section A. Aid policy and implementation for WASH Section B. Aid flows for WASH Section C. Alignment, harmonisation and accountability 4. Additional assistance and for support in filling in this questionnaire For any assistance in filling the questionnaire, you can contact the support team at IRC: Mrs. Ingeborg Krukkert (English, Dutch), Mrs. Aminata Sylla (French, English) and Mrs. Catarina Fonseca (Portuguese, Spanish, and English) Contact by e mail: glaas_support@irc.nl By telephone please mention that you are calling for GLAAS support : Or make an appointment for telephone support by sending an e mail For any general question on GLAAS, please contact the GLAAS team at WHO at glaas@who.int. 5. Electronic forms The GLAAS questionnaire is available electronically on the GLAAS website at If you have questions, or need technical assistance regarding the GLAAS survey questionnaire, please contact the IRC team at GLAAS_support@irc.nl. 6. Deadline for response We are requesting that surveys be returned by 30 September 2009 for inclusion into the 2010 UN Water GLAAS report. If you are interested in participating, but are not able to meet this deadline, please contact the GLAAS team at WHO at glaas@who.int to discuss what is possible. 7. Where to submit your survey response Completed survey forms may be returned to the GLAAS Support team of IRC International Water and Sanitation Centre at: GLAAS_support@irc.nl. 8. Next steps WHO will compile and analyse the information gathered to produce a draft of the 2010 GLAAS report by end of October The draft report will then be widely circulated to participating countries, donor organizations, UN Water Members and technical reviewers for comment and feedback. The final 2010 GLAAS report will be published in January While much of the data in the final 2010 GLAAS report will be in aggregate format, raw data from existing data sets and the GLAAS data gathering exercise may be presented as part of the final report appendices, and will also be published on the WHO website after report publication for future reference and assessments. In addition to providing the sectors with a more comprehensive knowledge base for decision making, the GLAAS process is also expected to inform discussions relating to the Global Framework for Action on Sanitation and Water Supply (GF4A). The first of these discussions is expected to take place during regional meetings of governments, donors, and interested partners in late The regional meetings are then expected to lead up to a High Level Meeting in spring 2010 hosted by UNICEF. These meetings will provide a global platform for discussion among countries and donors participating in the GF4A and CSO/GLAAS efforts. Donors and countries participating in the GLAAS 2009 assessment will be encouraged to participate in the GF4A High Level Meeting in spring

3 9. Guidance Notes To meet the objectives of the Water Global Annual Assessment (GLAAS), this questionnaire focuses the three key sections: A) Aid policy and implementation for the Water, Sanitation and Hygiene sector (WASH) Questions 1 to 5 B) Aid flows for WASH Questions 6 to 9 C) Alignment, harmonisation and accountability (following the Paris Declaration principles) Questions 10 to 14 Each question for each section is provided on a separate numbered excel sheet. Section A. Aid policy and implementation for WASH Question 1: Priority sectors for aid allocations in 2008 Priority as stated in your policy, not necessarily related to the amount of funding. Examples: Education, Primary healthcare, Governance, Urban sanitation. Question 2: Criteria for aid allocation for WASH in 2008 Priority as stated in your policy, not necessarily related to the amount of funding. Question 3: Geographical focus of aid for WASH in 2008 Regions are areas covering more than one country, or multicounty initiatives, not a region within a country. Often hygiene activities are linked both with water supply or/and with sanitation, and it is not possible to differentiate aid to the sub sectors. If hygiene is jointly funded with water supply activities, please mention this in the comment section. Example: A donor supports WASH programmes in Nicaragua, Uganda and Ethiopia, but also supports transboundary programmes in the Andean region and the AMCOW countries (African Ministerial Conference on Water). In this case, the above mentioned countries as well as the Andean and African regions should be identified in the tables under the appropriate headline. Nicaragua Uganda Ethiopia Andean region Africa (41 AMCOW countries) Question 4: Poverty focus of aid for WASH in 2008 We are aware that this is a difficult question to report on. However, we do hope you will be able to give us examples of your key indicators. You may also want to specify some of the measurements and assumptions/considerations made to address this question. Question 5: Targets and future focus WASH We are looking for a short qualitative response to shed light especially on any forthcoming changes in policy, in priority countries/regions or in approaches or themes. Examples: - A donor changes its focus from governance to climate change. - An international NGO plans to change its thematic focus from rural sanitation to peri urban sanitation; or from drinkingwater treatment to hygiene promotion campaigns. 3

4 Section B. Aid flows for WASH Question 6: Funding channels in Disbursement can be read as actual expenditure or actual budget spent - General budget support is money that it is channelled directly to partner governments using their own allocation, procurement and accounting systems, and that is not linked to specific project activities. - Sector budget support is distinguished from general budget support by being earmarked to a discrete sector or sectors. Technical assistance (TA) can be included under direct implementation. See also the glossary for definitions used in this section. Question 7: Commitments (or planned budget) to WASH per country/region in 2008 As you may already know, OECD has approved new coding for the water sector in order to separate aid flows to drinking water and aid flows to sanitation & hygiene. This new coding is expected to be in place in 2011 for reporting on 2010 aid flows. If it is possible for your organization to separate aid flows between drinking water and sanitation during this transition period, please provide an overall percentage breakdown (even as an estimate) in each of the categories of the table. - Commitment can be read as planned budget. It is the total amount of money for commitments made in Do not annualise commitments. - Please report on existing commitments (planned budget) expressed on calendar year information. - Please use the currency in which your reports are made do not use exchange rates. See also the glossary for definitions used in this section. Question 8: Disbursements (or actual expenditure) to WASH in 2008 See Question 7 above for clarification on the OECD coding table and terminology. - Disbursement can be read as actual expenditure or actual budget spent - Please report on existing disbursements (actuals) expressed on calendar year information - Please use the currency in which your reports are made do not use exchange rates. See also the glossary for definitions used in this section. Question 9: Disaggregation of disbursements to WASH infrastructure in 2008 We acknowledge that answering this question can be difficult. If possible please specify the three components: new services; maintaining existing services; and improving service levels. Otherwise please provide an estimate of the total support to infrastructure (1+2+3) We have tried to avoid using financial/economic jargon. See the glossary for definitions used in this section. [1] New services: Providing access to sanitation and/or drinking water services where there were previously no improved services. It refers to investments in new infrastructure. Usually called Capital Expenditures (CapEx) or Capital Costs. This is the amount invested in constructing fixed assets such as concrete structures, pumps and pipes. These investments are occasional and therefore lumpy. They might include one off investments in software components. [2] Maintaining existing services: Conducting major repairs, rehabilitation, replacement and maintenance which allow existing service to function as they had been previously. Also referred to as capital maintenance expenditure (CAPManEx): expenditure on asset renewal and replacement costs. These costs are different from minor, regular operation and maintenance costs. Accounting rules may guide or govern what is included under capital maintenance and the extent to which broad equivalence is achieved between charges for depreciation and expenditure on capital maintenance. [3] Improving service levels: "Enhancing existing services either for the customer or the environment". Includes extension and augmentation and might involve software one off expenditures. These investments are also considered capital expenditures but we would like to understand how much of the aid flows is going into improving existing services. 4

5 Section C. Alignment, harmonisation and accountability Question 10: In country donor/organisation coordination in 2008 This question relates to the extent of which externally funded programmes and technical co operation is moving towards supporting countries policies and priorities in WASH. It also relates to the need for multi stakeholder sector coordination on approaches, systems and allocations at recipient country level and for donors and other organisations to take a leading role in ensuring that this takes place. Co ordinated technical co operation means free standing and embedded technical co operation that respects the following principles: - Ownership Partner countries exercise effective leadership over their capacity development programs. - Alignment Technical co operation in support of capacity development is aligned with countries' development objectives and strategies. - Harmonisation Where more than one donor is involved in supporting partner led capacity development, donors co ordinate their activities and contributions. Question 11: Length of support and predictability of WASH commitments in 2008 See glossary for definitions used in this section. - Short term: less than 3 years - Medium term: 3 years to less than 5 years - Long term: 5 years or more Question 12: Avoiding parallel implementation structures The Paris Declaration invites donors to avoid, to the maximum extent possible, creating dedicated structures for day to day management and implementation of aid financed projects and programmes. Thus, parallel Project Implementation Units (PIUs) refer to structures created outside existing country institutional structures. To distinguish between PIUs and executing agencies, three typical features of parallel PIUs are: - They are accountable to the external funding agencies rather than to the country implementing agencies (ministries, departments, agencies, etc.). - Most of the professional staff is appointed by the donor. - The salary of PIU personnel often exceeds that of civil service personnel. Question 13: Untied aid for WASH in 2008 The Paris Declaration reaffirms the 2001 OECD DAC Recommendation on Untying Official Development Assistance to Least Developed Countries. Procurement systems refer to the systems in use for purchasing/acquiring goods or services. Question 14: Towards alignment, harmonisation and accountability in the WASH sector See glossary for definitions used in this section. OECD CRS Purpose Codes listed by code number Please note that sanitation policy is not included in the OECD codes. We have included this term under water sector policy in the questionnaire. Water sector policy and administrative management (14010) Water sector policy and governance, including legislation, regulation, planning and management as well as transboundary management of water; institutional capacity development; activities supporting the Integrated Water Resource Management approach Water resources conservation (14015) Collection and usage of quantitative and qualitative data on water resources; creation and sharing of water knowledge; conservation and rehabilitation of inland surface waters (rivers, lakes etc.), ground water and coastal waters; prevention of water contamination. 5

6 Water supply large systems (14021) Potable water treatment plants; intake works; storage; water supply pumping stations; large scale transmission / conveyance and distribution systems. Sanitation large systems (14022) Large scale sewerage including trunk sewers and sewage pumping stations; domestic and industrial waste water treatment plants. Basic drinking water supply (14031) Rural water supply schemes using handpumps, spring catchments, gravity fed systems, rainwater collection and fog harvesting, storage tanks, small distribution systems typically with shared connections/points of use. Urban schemes using handpumps and local neighbourhood networks including those with shared connections. Basic sanitation (14032) Latrines, on site disposal and alternative sanitation systems, including the promotion of household and community investments in the construction of these facilities. (Use code for activities promoting improved personal hygiene practices.) Waste management / disposal (14050) Municipal and industrial solid waste management, including hazardous and toxic waste; collection, disposal and treatment; landfill areas; composting and reuse. Education and training in water supply and sanitation (14081) Education and training for sector professionals and service providers Note To assist in distinguishing between basic and large systems for water supply and sanitation, consider the number of people to be served and the per capita cost of provision of services. Large systems provide water and sanitation to a community through a network to which individual households are connected. Basic systems are generally shared between several households. Water supply and sanitation in urban areas usually necessitates a network installation. To classify such projects consider the per capita cost of services. The per capita cost of water supply and sanitation through large systems is several times higher than that of basic services. The above OECD Codes and their descriptions are taken from the list of CRS purpose codes, January Source: 6

7 10. Glossary Accountability Donors and developing countries are accountable to each other for progress in managing aid better and in achieving development results (Paris Declaration). Alignment Donors base their support on countries development strategies and systems (Paris Declaration). Allocation The intent of a donor to fund certain activities or programmes. Capital investments in fixed assets (CapEx) The amount invested in constructing fixed assets such as concrete structures, pumps and pipes. Investments in fixed assets are necessarily occasional and therefore lumpy and are therefore best addressed through conventional accrual or fixed asset accounting procedures which are a method of distributing these costs fairly (so as not to disadvantage any particular consumer group) over the lifetime of the assets. Capital maintenance expenditure (CapManEx) Expenditure on asset renewal and replacement costs, based upon serviceability and risk criteria. Accounting rules may guide or govern what is included under capital maintenance and the extent to which broad equivalence is achieved between charges for depreciation and expenditure on capital maintenance. Capital maintenance expenditures (CapManEX) and potential revenue streams to pay those costs are critical to avoid the failures represented by haphazard system rehabilitation. Commitments / planned budget Refers to a project/programme ready to be implemented for which a financing agreement is signed between the recipient organisation and the donor organisation/bilateral. As a project or programme is usually not realised in a year, there is no direct relation between the level of commitment and the level of disbursement during one period. Disbursements / actual expenditures Also called actuals or actuals spent. Reflect the effective execution of projects/programmes and the real transfer of funds. Disbursements record the actual international transfer of financial resources, goods and services valued at the costs of the donor (OECD, 2006). As a project or programme is usually not realised in a year, there is no direct relation between the level of commitment and the level of disbursement during one period. General Budget Support (GBS) The characteristics of general budget support are that it is channelled directly to partner governments using their own allocation, procurement and accounting systems, and that it is not linked to specific project activities. All types of budget support include a lump sum transfer of foreign exchange; differences then arise on the extent of earmarking and on the levels and focus us of the policy dialogue and conditionality. Harmonisation Donors coordinate their activities and minimise the costs of delivering aid (Paris Declaration). Hygiene promotion A planned approach that identifies environmental and health problems caused by poor sanitation and subsequently changes behaviour by encouraging the widespread adoption of safe hygiene practices. It is a long term process and should form part of the general work program of ministries involved in WASH, including the Ministries of Education and Health. (adapted from source: Emergency and relief assistance An emergency is an urgent situation created by an abnormal event which a government cannot meet out of its own resources and which result in human suffering and /or loss of crops or livestock. The item also includes support for disaster preparedness (OECD, 2006). Emergency can result from: - sudden natural or man made disasters, including wars or severe civil unrest; 7

8 - food scarcity conditions arising from crop failure owing to drought, pests and diseases; In the questionnaire, it refers to short term assistance (emergency/conflict) and also longer term assistance to fragile states (post conflict situation, post tsunami, etc.) related with WASH. Improving service levels Expanding or enhancing existing services, either for the customer or the environment. It includes measures and investments which result in improved access, quantity, quality, etc. Also referred to as capital expenditure (CapEx). Maintaining existing services Conducting major repairs, rehabilitation, replacement and maintenance which allow existing services to function as they had been previously. Also referred to as capital (preventive) maintenance expenditure (CapManEx). Paris Declaration The Paris Declaration, endorsed on 2 March 2005, is an international agreement to which over one hundred Ministers, Heads of Agencies and other Senior Officials adhered and committed their countries and organisations to continue to increase efforts in harmonisation, alignment and managing aid for results with a set of monitorable actions and indicators. (Source: Priority country/sector Priority as stated in the policy of your organisation, not necessarily related to the amount of funding. Pro poor policy / poverty focus Pro poor policies are those that directly target poor people, or that are more generally aimed at reducing poverty. (ODI, ) Procurement system Systems in use for purchasing or acquiring goods or services. Project Implementation Unit PIU These are dedicated structures for the day to day management and implementation of aid financed projects and programmes, created outside the existing country institutional structures. In order to differentiate PIUs from executing agencies, the following three typical features of parallel PIUs can be useful: - They are accountable to the external funding agencies rather that to the country implementation agencies (ministries, departments, agencies, etc.). - Most of the professional staff is appointed by the donor. - The salary of PIU personnel often exceeds that of civil service personnel Region An area covering more than one country, NOT a region within a country. Sanitation Safe methods to dispose of human faeces, urine and other household waste. (Source: TILZ glossary, ) Sector Budget Support (SBS) Sector budget support is distinguished from general budget support by being earmarked to a discrete sector or sectors. Means of disbursement is based upon government procedures. Untied Aid Aid that is freely available to buy goods and services from all countries, as opposite to aid restricted to the procurement of goods and services from the donor country ("tied aid"). WASH Water Supply, Sanitation and Hygiene refers to urban and rural, large and small systems. Includes for instance: handpumps, spring catchment, gravity fed systems, rainwater collection, storage tanks, small distribution systems, latrines, small bore sewers, septic tanks, intake, storage, treatment, pumping stations, distribution systems, sewerage, waste water treatment plants, water and sanitation sector policy, planning, management and legislation, capacity building at all levels, support costs to community management, etc. 8