[ Module 4] How to translate CSP into action?

1. [Module 4]How to translate CSP into action?

2. How to translate CSP into action? Approach for realization of a CSP action plan Compilationof aprioritylist Service level benchmarks SLBs in the home towns of the participants Data management Stakeholder / community participation Concept forcommunitypartricipation

3. Approach for realization of a CSP action plan Drivers Key playersandroles CDP, CSP and DPR Prioritylistofactions Phasingof a CSP Tenderingprocess

4. What drives the sanitation sector in the cities? • Conducive National and State Policies • Legal and regulatory framework • Environmental safeguards • Political will at all levels • Financial provisions • Capacitiesofdecisionmakers, staffandstakeholders • Proactivenessdecisionmakers, staffandstakeholders • Technology Options • Community engagement

5. Key players & Roles • R & D Institutes, others • Private Players • NGOs • Community • Government • ULB

6. City Development Plan, City Sanitation Plan, andDetailed Project Report Whatarethedifferences? pleasetrytodefine … CSP CDP DPR • … is a vision document on sanitation with 20 to 25 years horizon with short term town level action plans for 3 - 5 years to achieve sanitation goals as per objectives of NUSP. Broad areas to be covered in CSP are: • Awareness generation • Sanitary and technical options • Operation & maintenance • Service delivery systems • Institutional responsibilities • Reaching the unserved and poor households • Legal and regulatory institutional responsibilities • Planning and financing • Capacity building & training • Implementation management • Monitoring & evaluation, supervision. • City reward schemes • … is both a perspective and a vision for the future development of a city. It includes: • Analysis of the current stage of development, directions of change, thrust areas for development, and alternative strategies, and interventions. • A framework and vision within which projects need to be identified and implemented. • A logical and consistent framework for evaluation of investment decisions • … is a complete document for investment decision-making, approval, and planning. DPR is the base document for planning and implementing the project. It includes: • Examination of technological parameters. • Description of the technology to be used. • Broad technical specification. • Evaluation of the existing resources. • Schedule plan. • General layout. • Volume of work

7. CSP andDPR – various grade ofdetailing • CSP • DPR • Plan used to guide & prioritize interventions • Prepared for an identified project/ component • Cover all issues such as water supply, toilets, sewerage, septage, storm water, SWM • Contains details such as drawing, designs, capacities for identified project • Priorities and projects are identified • Limited stakeholder engagement • Broader investment plan & sources of finance identified • Broader stakeholder engagement

8. Specific requirements of DPR Preparation

9. Whatarepossiblecriteria to develop a priority list ofactions • Significanceofadverseimpacts • Controlandinfluencethrough ULB • Prioritylistofaction • Investment requirements • Implementation • Time requirements

10. What is creating the most significant adverse impacts on peoples health, economy? • Rampant open defecationand / orurination • Bad / no O & M of existing infrastrctures like drains, or toilets • Lack ofeffective septage management • Uncontrolled dumping of sewage into water bodies • No storm water management system – flooding, pollution • No treatment facilities available • Lack of system for grey water management

11. What is under direct control of the ULB? • Education on hand washing & use of facilities • Empowering communities to construct their own facilities • Improve public sanitation facilities • Improve O & M of existing facilities • Establish effective septage management system • Establish monitoring mechanisms • Tariff revision • Bye laws for user charges • Involve private sector, communities in maintenance, services provisions

12. What requires least investment? • Awarenessraisingandbehaviourchangecommunication • Making use of existing facilities • ImprovingO & M ofexistingfacilities • Establish septage managment • Localizedinterventions - onsite and decentralizedinfrastructure

13. What is doable within a short period? • Septage managment • Improving O & M of existing facilities • Awareness generation and Behaviour Change Communication (BCC) leading tohand washing habits and adopting better sanitation • Ensuring use of existingfacilities • Preparationsformid(3-7) andlongterm(7-20 years) projects • Exploringvariousfinancialoptions • Tenderingandprocurement • Feasibilitystudies • Impact assessments • Clearances

14. Approach to develop a priority & initiateactions - Phasing of CSP Capacitybuildingandtrainingas a continuousactivity

15. Approach to develop a priority & initiate actions- Non negotiables • Focus on eradicating open defecation (all possible options at all levels) • Start with least investment options • Improve use and O & M of existing infrastructures • Where applicable – establish septage management • Use low investment options that are available and workable

16. How to consider the CSP during tendering processes? • The specific objectives of the CSP are understood and targeted in the ToR • Baseline data and information provided in CSP has to be used and considered in tendering process • Framework and action plan provided by the CSP have to be addressed by the ToR • Indicators to measure output and outcomes of the tendered project as expected in CSP have to be clearly defined

17. How to utilize CSP for compiling the tendering documents? • Set thecontextoftheprojectas per CSP: • Providea wider view on thetenderedworkpackageas per CSP • Clearlydefinegoals and objectives of the project in tenderdocumentas per CSP • Clearly definelinkages with other projectsandsectors • Set theproject in clearrelationtotheframework, activities, institutionalstructuresandcapacitybuildingandtrainingaslaid out in the CSP

18. What else to include in tendering documents? • Considertenderingasintegratedandinclusivepackages • Clearlydefinethedeliverables • Definea clearphasing plan foreachactivityandproject • Plan eachactivityandprojecttoensureintegration • Define approach and methods tointegrate projects / activities • Defineclearlyroleandresponsibilitiesofregulator, implementor, etc • Defineroleofcommunityand variables thatmayimpactsperformance • Suggestframeworkandmethodstoovercomeobstacles

19. Group work: Development of a priority list for an action plan • Participants form work groups of 5 – 7 persons; • Members of each group contribute 4 – 5 examples of actions related to sanitation which would be needed in their home towns to their group. • Group discusses the selected examples and ranks them according to the assessment scheme introduced in the presentation • As a result the group compiles an ranking sequence for the given activities and discusses pros and cons of the given ranking approach

20. Group work: Development of a priority list for an action plan • Execute the ranking • Compile a poster with the result. Best option is to use a matrix like below: • Discuss scoring in the group and document reasons for • Rank according to total sum of scores and • Discuss whether a weighted scoring (e.g. doubling for investment) might be more appropriate • Assign one participant as presenter • Every group presents its findings to the other groups

21. Monitoring and improvement of performance - Why SLBs are useful for ULBs? SLBs help to institutionalise performance management SLBs help ULBs to proof their performance as principal elected institution for city self-governance Benchmarking with other cities facilitates competitive environment for continuous improvement Performance data at sub-ULB level are useful for appropriate decisions Help local decision-makers identify gaps, plan and prioritise improvement measures Make it possible to link decision-making on financial allocations to service outcomes Provide framework that can underlie contracts/agreements with service providers Enhance accountability to customers for service delivery levels Enable identification and transfer of best practice

22. SLBs – roles of different stakeholders • fosterperformanceof ULBs andrelatedagencies • periodicalevaluationof SLBs • using SLBs asinputfor: • decisionmaking, • resourceallocation, • chanelisingofsupport, • incentivesandpenalties, • regulatoryconsiderations • lead in disseminationof SLBs • buildingofacceptance • furtherinstitutionalizationthrough JNNURM andother MoUD schemes • supporttoestablish SLB measurement, analysisandreporting • State Governmentsandtheiragencies • MoUD, GoI • ULBs • mostimportantforinstitutionalizationof SLBs • establishsystemforperformancemanagementofservicedeliverythroughuseof SLBs • examineperformanceofparastatalcivicagenciesinvolvedatlocallevel • Implemen-tationof SLBs • Citizensandcivilsociety • otherpareastatalagencies • establishsystemforperformancemanagementoftheirservicedeliverythroughuseof SLBs • periodicreporting • SLBs providereasonableindicationofperformanceof ULBs • engage in examinationandproposalforremedialactions • Bi- or multi-lateral AidAgenciesandotherstakeholders • enablestategovernmentsand ULBs in design andimplementationofperformancemanagementsystems • makeuseof SLBs in programmessupportedbythem • examine SLBs in courseofinteractionwith ULBs

23. SLBs for Urban Sanitation WaterSupply Services Sewage Management (SewerageandSantitation) Storm Water Drainage Solid Waste Management

24. SLBs for Water Supply Services Indicator Benchmark

25. SLBs for Sewage Management (Sewerage and Sanitation) Indicator Benchmark

26. SLBs for Storm Water Drainage Indicator Benchmark

27. SLBs for Solid Waste Management Indicator Benchmark

28. Performance Management System

29. Monitoring process – how to make SLBs operational and valuable?

30. Information and data management There is a common rule in management: ‘If you want to manage, measure’! Why? You have to know what is happening at any time You need to recognize and address deficiencies You need to have an idea on future requirements You must be able to answer questions of stakeholders and supervisors

31. Information and data management - basics • Data • clearlydefinedatatobecollectedregularlaly • definebasicdatatobecollected in anycase • defineadd on data • definedataformats • Collection • standardizedmethod • regularintervals • check reliability • follow-upandsupervise • Storage • ensureaccessibility • ensurestandardizedstorage • ensureregularupdating • consider IT solutions • Processing • consider IT solutions • follow-upandsupervise

32. City Sanitation Management Information System periodical collection required WaterSupply Services Sewage Management (SewerageandSantitation) Storm Water Drainage Solid Waste Management Base linedata

33. City Sanitation Management Information System – Base line data General City Wards Total no. ofhouseholds Total no. ofothergenerators No. ofdirect / meteredserviceconnections Pipe network Productionfacilities No. ofpublicstandposts Watersupply No. ofinhabitants / servicearea No. ofpropertieswithsanitary on-site facilities No. ofpropertieswith / withoutaccesstotoilets No. ofproperties in serviceareas No. ofpropertieswithdirectconnectiontosewagenetwork Sewage Treatment plant capacity Storm watermanagement Total lengthofroadnetwork total lengthofdrains covered / uncovereddrains Floodpronepoints Solid wastemanagement Total lengthofroadnetwork Management Financial aspects Staffpositions

34. Management Information System – water supply No. of HH withdirect WS connection Monthlymeteredconsumptionofwater dailyquantitysuppliedfromproductionlevel total quantityofwatersold / metered Quantitative data averagedurationofpressurizedwatersupply / servicearea Service time Quality / Complaints No. ofsamplesmeeting / not meetingthestandards No. ofwatersupplyrelatedcomplaints No. ofredressedcomplaints Costefficiency operationandproductioncosts operationrevenue revenuebilled / collected

35. Management Information System – sewage management total quantityofwatersupplied estimatedwaterusefromothersources wastewatercollected Quantitative data no. ofvehicleslicensedfor septage collection Quantum of septage disposedsafely Wastewaterreceivedat STPs Wastewaterreusedofrecycled after treatment Quality / Complaints No. ofsamplesmeeting / not meetingthetreatmentstandards No. ofsewagerelatedcomplaints No. ofredressedcomplaints Costefficiency operationcosts operationrevenue revenuebilled / collected

36. Management Information System –storm water drainage Quantitative data numberofflooding / waterloggingevents

37. Management Information System – solid waste management Quantitative data No. of HH andestablishmentswithdailycollection total wastegenerated total quantumofwastecollected quantumofwastesegregated quantumofwasteprocessedorrecycled quantumofwastedisposed in all landfils / compliantlandfils Quality / Complaints No. of MSW relatedcomplaints No. ofredressedcomplaints Costefficiency operationcosts operationrevenue revenuebilled / collected

38. Group work on SLBs in the home towns of the participants SLBs are an important tool for improvement of Urban Sanitation. They require a broad database and regular updating of relevant data. Reflect the situation in the home towns of the participants and collect ideas for improvement of the database. • Working groups discuss 2 to 4 SLBs out of one of the fields relevant for Urban Sanitation • Each group answers the questions listed in the table on next slide • Discuss with your colleagues from other towns and compare the situations in the towns represented in your work group.

39. Group work on SLBs in the home towns of the participants

40. Community participation Legal background Importanceofcommunityparticipation Guidingprinciples Tools forparticipation Example: Innovative communityinvolvement in Alnadur, Tamil Nadu Extentofparticipation Example: Behaviourchangeobjectives in CSP Cochi

41. Community participation – Legal background MoUD drafted a Community Participation Law under JNNURM Decision making shall be decentralized to ward committees and even below (area sabha) Area sabhais the platform for citizen participation below the level of the ward creating a political space for the citizen to participate in the city’s decision making process. Every ward will have a ward committee comprising of representatives from each area sabha and representatives from the institutions in the ward jurisdiction. Ward committee will prepare a meeting calendar, annual ward plans and ward budget

42. Inclusion of stakeholders / community participation – Why is it important? Sanitation is a shared responsibility Behaviour change will be required in several fields to ensure efficient sanitation Participation creates ownership and means shared responsibility for the strategy and its joint undertaking Stakeholders / communities bring information for the strategy, ensuring that it is based on a common understanding of purpose, problems and solutions Participation is the most effective way of communicating information on which the strategy is based, its goals and tasks to be undertaken; Participation by stakeholder groups is critical for decision making. The result will be a realistic strategy with a broad base of knowledge, understanding and commitment from the groups involved Participation shall strengthen civil society and democracy, mobilize people for active involvement in governance. Participation shall increase the effectiveness and efficiency of investments

43. Stakeholder participation Build confidence – take partners serious, ensure two way communication and collaboration, establish rules and respect norms, respect each other, don’t play games, respect other interests, and opinions Ensure to reach the community – ensure that all relevant stakeholders / actors are reached and included; make the project attractive; make added value visible; motivatereluctantpartiestoparticipate Involve stakeholders actively in problem identification and solution - involve partners in problem analysis, visioning, priority setting, solution identification, strategy development, implementation and monitoring; avoid the feeling of only being decoration Include stakeholders in implementation and success stories – make success in pilot projects visible to other areas, let the stakeholders participate in success stories Public Information, Education and Communication – ensure sufficient outreach and visibility, offer various measures to build the required awareness and capacities Guidingprinciples https://kce.fgov.be/sites/default/files/imagecache/content_page_image_doublecolumn/R_174.jpg

44. Extent of participation • willingness to contribute resources • highly empowered to take up activities • decision making • participate only if there is some kind of gain • engagement onlyon particular topic • not proactive • answering questions • proactive • functional engagement • supportive efforts • ability to influence decisions • suggest / demand for alternate options • spectator • no own initiative

45. Tools to organize and manage participation – stakeholder analysis stakeholder landscape analyse interests of stakeholders:are they in line with the project or controversial ? possible impacts of dissonances, differences in interests develop strategy for management of stakeholders according to their role / influence, interest and potential conflicts https://www.wbginvestmentclimate.org/toolkits/public-policy-toolkit/images/sample-stakeholder-matrix_1.JPG

46. Tools to organize and manage participation – how to deal with conflicts? Options to deal with conflicts: ignore live find options to achieve win-win situation Avoid: naivety neutral poses when you are not underestimating potential for violence to be the do-gooder to be the megaphone http://t1.gstatic.com/images?q=tbn:ANd9GcQhLbwVzBwBK7oViaKQEHvGNcTP9W39SIHm53RnvZi013JYhMhO

47. Tools to organize and manage participation - examples (1)

48. Tools to organize and manage participation - examples (2)

49. Innovative community involvement in Alandur, Tamil Nadu (1) Setting Involved partners State Government MunicipalityofChennai Need forseweragesystem Lack offinancialresources MunicipalityofAlandur Tamil Nadu Urban Infrastructure Financial Services USAID FIRE Project Innovative public-private financingapproach Results Citizenscontributetoconstructionandoperationcosts via fees First sanitation related PPP project in India Public contributed almost a third of the project costs for sewerage and STP 120 km of branch and main underground sewers BOT operated STP Reduction of contamination of storm water drains through septic tanks reduction of breeding grounds for mosquitos Survey on willingness to pay and development of a financing proposal Raising public awareness explaining benefits, costs and tariff system Collection of charges and one-time connection fee; establishment of collection centers Full transparency

50. Innovative community involvement in Alandur, Tamil Nadu (2) Sustainability Lessons learned PPP approach led to a sustainable improvement of sanitation Approach reduced the recurring costs for septic tank management and pollution of ground water trough uncontrolled discharge from septic tanks Sensitizing and convincing citizens was the most challenging part of the action, particularly because of lack of best practice success stories Involvement of stakeholders has been key success factor High level political commitment has been key success factor Innovative financing approach bringing together public and private finances helped to meet the financial requirements Effective leadership, transparent procedures, political will, effective sensitization, motivation and information, partnerships with CBOs, inter-departmental coordination, active involvement, and collective efforts have been decisive Health and hygiene Environment and natural resources Technology and operation Financial and economic issues Socio-cultural and institutional aspects • Replication in othercities • Municipalityhastotakeresponsibility after expiryofthemanagementcontract