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5.8 Options institutionnelles et financières pour fournir des services d'assainissement

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Planification et Design de Systèmes et Technologies d’Assainissement

École polytechnique fédérale de Lausanne

4.7 (90 notes) | 3.4K étudiants inscrits

Désirez-vous apprendre à mettre en œuvre des solutions d’assainissement abordables et adaptées à différents contextes ? Voulez-vous connaître les derniers développement dans le domaine de la planification de l’assainissement urbain ? Êtes-vous intéressés par des exemples de systèmes d’assainissement urbain qui fonctionnent dans les pays à faible et moyen revenu ? Si oui, alors ce cours est pour vous ! Le cours débute par une introduction à la planification intégrée de l’assainissement et adresse aussi bien la planification à l’échelle de la ville que la planification dans des contextes spécifiques tels que les quartiers informels. Après un survol des différentes approches de planification de l’assainissement, vous aurez l’occasion de passer en revue les différents systèmes et technologies possibles, la terminologie et concepts clé, et comprendre pourquoi il est crucial de réfléchir en termes de « système intégré » pour la planification de l’assainissement urbain. Le cours couvre toute la chaîne de l’assainissement et fournit de l’information détaillée sur les systèmes d’assainissement adaptés aux contextes à faibles et moyen revenus (par exemple, des systèmes basés sur les fosses sèches, des systèmes décentralisés avec différents réseaux d’égout, le transport des eaux noires). Eawag-Sandec et EPFL offrent ce cours conjointement avec des experts en assainissement de la Banque Mondiale et de l’OMS. SERIE DE MOOC « EAU, ASSAINISSEMENT ET DÉCHETS SOLIDES DANS LES CONTEXTES DU DÉVELOPPEMENT » Ce cours est l’un des quatre cours de la série « Eau, Assainissement et Déchets Solides dans les Contextes du Développement ». VERSION ANGLAISE DE CE COURS Ce cours est offert simultanément en français et en anglais. Le nom du cours en anglais est « Planning & Design of Sanitation Systems and Technologies ».

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4.7 (90 notes)

5 stars
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OB

Jan 17, 2017

ce cours est vraiment intéressant. j'ai appris que la planification de l'assainissement urbain est possible si on passe CLUES. Merci

NM

Mar 05, 2017

Cours très bien structuré, expliqué clairement et adapté à une application directe sur le terrain!

À partir de la leçon

Outils pour l’assainissement urbain

Durant cette 5ème semaine, nous allons vous présenter différents outils de diagnostic de la situation initiale et d’analyse des arrangements institutionnels et financiers, de changements de comportement, mais aussi l’approche de planification de la gestion de la sécurité sanitaire de l’assainissement de l’OMS et les diagrammes de flux des matières fécales (SFD). Certains outils font l’objet de nouveaux modules ajoutés en février 2017 en collaboration avec le Progamme Eau et Assainissement (WSP) de la Banque Mondiale, et ne sont disponibles qu’en version originale sous-titrée en français.

5.4 Outils d'aide à la décision pour l'assainissement en milieu urbain9:29

5.5 Changements de comportements dans l’assainissement urbain10:31

5.6 Outils d'aide à la décision pour l'assainissement en milieu urbain10:05

5.7 Gestion intégrée des eaux en milieu urbain10:13

5.8 Options institutionnelles et financières pour fournir des services d'assainissement13:57

5.9 Gestion du cycle de projet11:06

5.10 Financement fondé sur les résultats9:55

5.11 Systèmes d'égouts condominiaux14:31

Enseigné par

Christoph Lüthi
Dr.

Transcription

Hello! Welcome to the module on institutional

and financial options for sanitation service delivery.

My name is Sophie Trémolet

and I am a Senior Economist

in the World Bank Global Water Practice.

In this module, we will discuss

how sanitation services are provided

and how they can be financed.

There is no “one-size” fits all in this area.

Understanding who is in charge,

where they get funding from

and how they could mobilize additional financing

is essential to start

identifying solutions for improving services.

The public sector is usually responsible

for ensuring that sanitation services are provided.

With this comes related responsibilities

for making policy:

to define what services need to be delivered,

and for regulation:

to ensure that those services

which need to be delivered,

do indeed get delivered,

and are delivered at a fair price.

Policy functions entail preparing policy documents,

norms and standards

and establishing service delivery targets,

which reflect how much funding is going to be allocated

to sanitation services overall,

and by the public sector in particular.

For example, policies need to state

where funding for sanitation is going to come from

and what service levels need to be provided.

Economic regulation entails ensuring

that tariffs are set at a level

that allows service providers

to be financially viable,

whilst incentivizing them to deliver better services

at a fair cost,

including to the poor.

Environmental and public health regulation

is also needed to ensure compliance with standards.

The public sector may also be in charge

of providing the services themselves,

but this will vary depending on the nature

of the urban sanitation services

along the sanitation value chain

and on whether the public sector

has the capacity to deliver such services.

A common recommendation is to keep policy

and regulatory functions separate,

so as to maintain “checks and balances”

in the system and avoid conflicts of interest.

For example, if a municipal utility

is providing sanitation services,

it would be preferable for this utility

to be corporatized

and to operate under a clear service

delivery contract with the municipality,

so that it is not the same department

that sets service delivery objectives

that is also in charge of delivering

on these objectives

and/or in charge of verifying

that these objectives have been met.

Sanitation services can be provided

either by public or private service providers.

In developing countries

where sewerage coverage is limited,

which is the case in most of Sub-Saharan Africa

and in much of Asia,

the private sector has stepped in to provide services.

This private sector includes

small artisans building latrines

or small latrine emptying operators,

who either provide manual services

or operate one or two emptying trucks.

Many of these private service providers

operate in a regulatory vacuum, however.

To maximize the efficiency

from private sector participation

and ensure that services are delivered in line

with public policies,

structuring these markets will call for more regulation.

This could entail issuing them with licenses

for example to ensure that

emptying trucks conform with standards

or do not apply extortionate charges,

or entering into public-private partnership contractual arrangements,

also referred to as PPPs.

The latter are particularly applicable

when the private operator

is requested to manage a public sector asset,

as this would be the case

for utilities managing a sewerage network

or a wastewater treatment plant,

or even for a small operator

in charge of managing public toilets, for example.

For such cases,

different PPP contracts can be applied,

ranging from a service contract

which only entails minimum delegation of responsibilities

to the private operator to a concession contract,

where the private operator

is in charge of investing in new assets,

as well as operating and maintaining them

during a contractual period of time,

before transferring them back to the public sector.

Sanitation services, as is the case

for water supply services,

generate a number of costs that need to be recovered.

These include:

the costs of operating

and maintaining the services,

what we refer to as O&M costs;

the costs of capital maintenance,

for large repairs and for asset rehabilitation;

the costs of investing in new assets;

the financial costs associated with borrowing

for such investments,

and any taxes associated

with the provision of such services.

To cover these costs,

funding for sanitation

can only ultimately come from three main sources,

which are commonly referred to as “the 3 Ts”.

These are: tariffs:

that’s a short-hand for referring to funds

that are directly generated by households.

This could take the form of payments

to a service provider for a service rendered,

for example a sewerage tariff,

or direct payments by households themselves,

for example to build an on-site sanitation facility

on their premises;

taxes is a short-hand to refer to the funds

provided by tax-payers via the government system.

These can include capital investment subsidies,

the provision of free-land to site, an asset,

or grants used for demand-creation,

as we will discuss in more detail later.

Transfers is a short-hand

to refer to voluntary contributions

and grants,

which may come from foreign governments

in the form of Official Development Assistance or ODA,

or local and international NGOs

and philanthropic foundations,

or even from migrant workers via remittances.

These are three sources of what we call

“funding for the sector”,

meaning the money that is allocated

to cover the costs of service provision.

But sanitation sector investments are very lumpy;

that means, quite significant in size.

For example, when a household builds a latrine,

the cost of this investment can be equivalent

to their annual income,

or even double that.

Most utilities in developing countries

would not generate enough cash surplus

to pay for investments in sewerage networks up-front.

As a result, borrowing for sanitation, i.e.

mobilizing what we call repayable finance,

is essential to enable these lumpy

investments to take place.

Such repayable financing can come from product suppliers,

microfinance institutions, commercial banks

that lend at market rates,

or the so-called development banks

that lend on concessional terms, i.e.

conditions that are more advantageous

than market conditions for the borrowers.

How these sources of funding

and financing are combined to pay

for sanitation depends on government policy

and on the ability of regulatory institutions

to enforce those policies,

by setting fair tariffs, for example.

Some investments generate public good benefits:

this is commonly cited as a reason

to use public funding

for sewerage networks and wastewater treatment.

By contrast, most countries consider

investments in on-site sanitation systems

to be private investments,

which should be made by those who directly benefit,

the households themselves.

Such commonly encountered policy

principles can lead to misallocations, however.

In Dar es Salaam, back in 2012,

it was found that 99%

of public sector financing

was used to pay for sewerage systems

and associated wastewater treatment which,

at the time, served only 10% of the city’s population.

The remaining 90% of the population,

including of course the poorest,

had to rely on their own resources

to build latrines,

at a cost that vastly exceeded the charge

for getting a sewerage connection.

However, sewerage connections

were only accessible for richer people

living in areas

already covered by the sewerage network.

The Sustainable Development Goals aim

to achieve access to adequate

and equitable sanitation and hygiene

for all and end open defecation,

paying special attention

to the needs of women and girls

and those in vulnerable situations.

As network-based solutions are expensive,

many cities will need to deploy alternative

technical solutions to sewerage,

such as on-site sanitation systems

with provisions for the adequate management

of the entire sanitation chain,

as discussed in more detail

in other modules of this course.

Given these challenges, public funds, taxes and transfers,

will need to be used in a smarter

and more catalytic manner going forward.

There are lots of reasons why using public funds

to support sanitation adoption

can be fully justified.

The overarching reason

is that there are significant public benefits

in universal sanitation coverage.

If a household builds and uses a latrine,

it won’t stand to benefit fully from its investment

unless everybody else around that household also uses one.

So how can public funds

be used better for urban sanitation?

They can be used: to create demand for the service

by investing in demand-creation activities

and behavior change campaigns;

to provide partial subsidies

towards the costs of investment,

such as for household investments

in on-site sanitation,

to support the connection of poor households

to existing sewers,

and/or for investments in the downstream systems

that are needed to collect

and treat the faecal sludge or the wastewater.

To be more efficient and better targeted,

these subsidies would ideally be provided

based on verified actual results.

Public funds can also be used to facilitate access

to finance for households,

small businesses or even utilities

that need to borrow in order to invest

but are unable to do so for a variety of reasons.

For example, grants can be provided

to help educate lenders and borrowers

on what it means to borrow for sanitation.

Concessional financing can be blended

with commercial financing, to extend tenures

(the length of time one borrows for),

or to provide credit enhancement

in the form of guarantees.

If one wants to improve how financing for sanitation

is allocated,

it is essential to start by understanding

how much is spent on sanitation services,

and by whom.

This is not straightforward, however,

as funding and financing for sanitation

are channeled in many different ways to the sector.

In most cases,

there is not a single budget line

dedicated to sanitation.

Building a graphical representation of the sector

such as this example can help with visualizing

not only who is in charge of what,

but also how funding flows

between these different actors.

This can then provide a basis for estimating the volumes

of funding that are currently going into sanitation

and identifying ways to mobilize funding for the sector.

In this module, we have talked about

how sanitation services are organized

and how they can be financed.

Key take-away messages are as follows:

One size does not fit all;

there are many different ways

to organize the delivery of sanitation services.

A key principle would be to maintain

a separation between policy,

regulation and service provision functions,

so as to ensure checks and balances.

Sanitation services can be provided

by public or private service providers.

Bringing in the private sector requires

clear regulatory arrangements,

via licenses or contracts for service provision.

Sanitation services can be funded

from a variety of sources.

However, public funds

need to be spent in a smarter

and more catalytic manner,

to ensure that the Sustainable

Development Goal of universal access

to sanitation becomes a reality.

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