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 ».
5.8 Options institutionnelles et financières pour fournir des services d'assainissement
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En provenance du cours de École Polytechnique Fédérale de Lausanne
Planification et Design de Systèmes et Technologies d’Assainissement
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École Polytechnique Fédérale de Lausanne
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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.
Rencontrer les enseignants
Christoph LüthiDr.
Sanitation, Water and Solid Waste for Development / Eawag
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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