Strategic Plan Delivering Basic Water Supply and Sanitation to Rural Africa. Rural Water Supply & Sanitation Initiative (RWSSI)

Transcription

1 Strategic Plan Delivering Basic Water Supply and Sanitation to Rural Africa Rural Water Supply & Sanitation Initiative (RWSSI)

2 Strategic Plan Delivering Basic Water Supply and Sanitation to Rural Africa

3 2 The RWSSI Strategic Plan was approved by the Board of Directors of the African Development Bank on 16th April 2013

4 Table of contents 1. Introduction 1.1 Background to RWSSI 1.2 Trends Influencing the Sector 1.3 RWSSI Assessments Lessons from Implementing RWSSI: Achievements and Challenges Key Recommendations 2. The RWSSI Strategic plan ( ) 2.1 Introduction 2.2 Vision and mission 2.3 Goals and objectives 2.4 Strategic orientation 2.5 Components and outputs of the Strategic Plan 2.6 Impact and outcomes 3. The RWSSI Trust Fund 3.1 Introduction and role of the Fund 3.2 Areas of intervention for RWSSI-TF resources 3.3 RWSSI-TF niche products 3.4 Efficiency of the RWSSI-TF Operations 4. Funding the strategic plan 4.1 Funding requirements 4.2 Breakdown and proposed sources of required investment 4.3 The Bank s indicative pipeline of RWSSI Operations 4.4 Resource Mobilization Strategies Introduction The Bank s Role Governments and Community Contributions Donor Contributions and the RWSSI-TF 3 5. RWSSI implementation approaches and processes 5.1 The 2004 Framework for implementation 5.2 Programming and operational processes Programmatic Approach Accelerating Implementation Rates Regional Coordination, Partnerships and RWSSI Management Policy and Investment Readiness, and Country Status Overviews (CSOs) Internal Bank Capacity and Collaboration RWSSI Strategic Partnerships Mainstreaming Cross-Cutting Themes Enhancing Sanitation Access in RMCs 6. Conclusions and recommendations 6.1 Conclusion 6.2 Recommendations

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6 List of Acronyms ADB ADF-XII AfDB AMCOW AU AWV AWF CSO CLTS FFI GDP JMP M&E MDGs MTEF NGO O&M OWAS PFM RWSS RWSSI RWSSI-TF SP SWAp TF TFSC UA UNESCO-IHE WEDC WG African Development Bank 12th replenishment of African Development Fund African Development Bank Group African Ministerial Council on Water Africa Union African Water Vision African Water Facility Country Status Overview Community Led Total Sanitation Framework for Implementation Gross Domestic Product Joint Monitoring Programme Monitoring and Evaluation Millennium Development Goals Medium Term Expenditure Framework Non-Governmental Organisation Operation and Maintenance Water and Sanitation Department (of AfDB) Public Financial Management Rural Water Supply and Sanitation Rural Water Supply and Sanitation Initiative Rural Water Supply and Sanitation Initiative Trust Fund Strategic Plan Sector Wide Approach Trust Fund Trust Fund Steering Committee Unit of Account UNESCO-IHE Institute for Water Education, Delft The Netherlands Water, Engineering and Development Centre, University of Loughborough, UK Working Group (of the RCC) 5

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8 Results-Based Management Framework for the RWSSI Strategic Plan PERFORMANCE INDICATORS 7 Targets- Objectively Verifiable Indicators (OVI) Baseline RESULTS CHAIN Improved health, living conditions and literacy for people living in rural areas 1. Improved and equitable access to sustainable, safe and affordable rural water supply services 2. Improved and sustainable access to safe and dignified sanitation services and better hygienic practices Component 1 RWSSI governance %(2020) (2020) %( (2009) (2009)1.3 TDB 1.1 % Reduction in under-5 mortality rates in Africa 1.2 Ratio of girls to boys in primary and secondary school 1.3 % Reduction in healthcare costs Output 1.1: Bank-funded RWSS operations are efficiently implemented Output 1.2: Strengthened RWSSI organisational framework % % % % 3 35 Component 2 RWSS subsector governance and enabling environment Output 2.1: Progress is made along service delivery pathway towards country-led programmatic approaches with strengthened RWSS planning, budgeting and sustainable development 3 TBD 1.1 Increase in proportion of people in rural Africa having access to safe water supply (%) 2.1 Increase in proportion of people in rural Africa having access to improved sanitation (%) and reduction in open defecation. 3 Number of countries that have mainstreamed gender equality, environment and climate change in their water sector policies 1.1a 80% 1.1a 65% [15/23] 1.1b 10% 1.1b 30% (2011) 1.1a Increased ratio of projects/programmes that disburse within 12 months of Board approval (for 2012 to 2015, compared with baseline of December 2011 RWSSI active portfolio) 1.1b Reduced proportion of projects whose age is greater than the average design project age of 4 to 5 years 1.2a RCC in place 1.2a N/A 1.2b Strategy 1.2c Toolkit 1.2b None 1.2c None 1.2a Regional Coordination Committee (RCC) established and meeting annually, enhancing ownership of the Initiative by all players 1.2b By end of 2013, a RWSSI communication strategy is in place 1.2c By end of 2013, a RWSS Operations Toolkit in place 2.1a a N/A 2.1a Number of new Bank supported RWSS programs in nonfragile states 2.1b b 13 Output 2.2: Increased RWSS sector reforms and development support for fragile and postconflict countries Output 2.3: Enhanced focus on sanitation and hygiene MEANS OF VERIFICATION - WHO Statistical Info System - WHO/UNICEF JMP Reports 2.1b Number of countries that conduct annual sector reviews and provide annual sector monitoring reports b b 10 - WHO/UNICEF JMP Reports - UNFCCC reports - World Dev. Reports 2.3b 15 - RWSSI CARs and Annual reports - AfDB December Outliers and Exceptions Reports - CCoordination Committee minutes - RWSSI Communication Strategy - RWSS Operations toolkit 2.3b 15 - AMCOW CSOs - RWSSI CARs and Annual reports - Sector performance reports - WHO/UNICEF Joint Monitoring Programme Reports - GLAAS reports RISKS/MITIGATION MEASURES Risk statement: - Political support and prioritization by African governments may not be sufficient to assure sustainability of RWSSI s impacts. Mitigation strategies: - Advocacy from improved high-level coordination and vigorous lobbying through the AU, AMCOW and other DPs. Risk statement: - Inadequate external funding to support to RWSS in RMCs Mitigation strategies: - Advocacy for improved enabling environment to attract non-traditional financing (PSPs, selfsupply, etc.) - The enhanced sector efficiency, also supported through RWSSI SP Risk statement: - Governments do not regularly evaluate and report sector performance Mitigation strategies: - Enhanced policy dialogue through AMCOW, national interventions and the RCC - Entrenching sector performance monitoring and reporting in existing and all new RWSS interventions 2.2 Additional number of fragile/post-conflict countries with national RWSS strategies and programmes, and facilitated to develop RWSS services 2.3a Additional number of countries with lead institutions for sanitation 2.3b Additional number of countries with sanitation-specific national plans and budgets Risk statement: - Governments do not implement adequate measures in a timely manner. Mitigation strategy: - Consider performancebased funding in addition to demand-based IMPACT OUTCOMES OUTPUTS Colour Code: RWSSI at Bank, minus RWSSI-TF RWSSI at Bank together with RWSSI-TF RWSSI-TF only 1 Baseline year is 2010 and Target year is 2015, unless otherwise shown 2 MDG target (2015) is 53 deaths per 1000 live births 3 N/A refers to Not applicable

9 8 RISKS/MITIGATION MEASURES MEANS OF VERIFICATION PERFORMANCE INDICATORS RESULTS CHAIN Targets- Objectively Verifiable Indicators (OVI) Baseline Component 3 - RWSS investments - RWSSI CARs and Annual reports - RWSSI data base when established % 3.2 USD 8bn % [OECD data] 3.2 N/A 3.1 Increased proportion of government funding for rural water supply and sanitation in Africa 3.2 Total funding spent on rural water supply and sanitation in Africa during SP period Output 3.1: Government leadership in RWSS through increased financing Output 3.2: Overall funding for RWSS increased 3.3 USD 2bn (about 5-fold) 3.3 N/A 3.3 Additional funding leveraged using RWSSI-TF resources (part of total funding in 3.2 above) Output 3.3: Leveraging effect of the RWSSI-TF enhanced Component 4 Sustainability of RWSS systems 4.1a a - 4.1b b 0 4.1a Additional number of countries supported to develop functioning O&M frameworks for RWSS 4.1b Number of countries supported with adequate spare parts supply chains 4.2a Reduction in %age of non-functional RWS facilities in RMCs 4.2b Increase in rural water supply schemes using wind/solar energy Output 4.1: Pro-sustainability institutional systems established and strengthened Output 4.2: Sustainability of RWSS infrastructure enhanced - RWSSI CARs and Annual reports - Sector Review Reports - AMCOW CSOs - RWSSI CARs and Annual reports - OWAS M&E framework - Sector Review Reports - RCC minutes - Communication and knowledge products 4.2a 25% 4.2a 10% 4.2a 33% 4.2a TBD Component 5 RWSS knowledge management and communication 5.1a a N/A 5.1b b N/A 5.1a Number of additional RMCs with effective rural water supply M&E systems 5.1b Number of additional RMCs with effective rural sanitation and hygiene M&E systems Output 5.1: Country-led RWSS sector M&E strengthened 5.2a 3 5.2a 3 5.2b Active Database b N/A a Number of RWSS communication and knowledge products and best practices generated annually, and disseminated 5.2b A regional database on financing, subsector performance and decentralization of RWSS service delivery established 5.3 Number of non-bank-funded countries included in Bank s RWSSI reports Output 5.2 Communication and knowledge products generated and disseminated amongst stakeholders COMPONENTS INPUTS Summary of costs per component (millions) (Bank resources only) Cost Component 1 USD 3.0 Cost Component 2 USD 82.0 Cost Component 3 USD 1,433.0 Cost Component 4 USD 52.0 Cost Component 5 USD 60.0 Total cost: USD 1,630.0 Component 1 - RWSSI governance Component 2 - RWSS subsector governance and enabling environment Component 3 - RWSS investments Component 4 - Sustainability of RWSSI systems Component 5 - RWSS knowledge management and communication Colour Code: RWSSI at Bank, minus RWSSI-TF RWSSI at Bank together with RWSSI-TF RWSSI-TF only 1 Baseline year is 2010 and Target year is 2015, unless otherwise shown 2 MDG target (2015) is 53 deaths per 1000 live births 3 N/A refers to Not applicable

10 Executive Summary Introduction The Rural Water Supply and Sanitation Initiative (RWSSI) was conceived by the African Development Bank in 2003 as a regional response giving focused attention to the rural subsector. The overall goal of the Initiative was set at achieving 80% access to basic water supply and sanitation services by 2015, and providing universal access by It was estimated that achieving the 2015 target would require providing water supply to 271 million people and sanitation facilities to 295 million people at an estimated cost of USD 14.2 billion, to be financed by the African Development Bank Group, other multilateral and bilateral financing institutions and African countries (governments and communities). At the first International Conference on Rural Water Supply and Sanitation in Africa held in Paris in April 2005, African Governments and international development partners adopted RWSSI as the common framework for mobilization of resources and investment for rural water and sanitation delivery in Africa. It was also agreed to establish the RWSSI Trust Fund to raise additional resources, to be managed by the Bank, for the financing of RWSSI activities. Achievements, Challenges and Opportunities After 8 years of implementation, internal and independent external assessments of RWSSI concluded that the Initiative has recorded significant achievements, although a number of challenges remain. Key achievements and challenges identified by the assessments include: i) Financing and Access: By the end of 2011, the Bank had invested USD 1.3 billion in financing 31 RWSS programmes in 23 countries. The Initiative had leveraged some USD 4.2 billion from other donors, African governments and beneficiary communities and provided water supply and sanitation to 45.5 million and 30 million people respectively. Though impressive, these investments and access rates are far from requirements to achieve the water and sanitation MDGs in rural areas, currently estimated at an additional USD 8.1 billion. ii) The RWSSI-TF, representing about 10% of Bank s total contribution to RWSSI financing, has played an important role in strengthening the management and enhancing the achievements of RWSSI, and in leveraging additional resources to the Initiative from the Bank and other donors. However, it is threatened by unpredictable fund replenishment. iii) Sector-Wide Approaches: In line with the Paris Declaration, RWSSI has contributed to the change in many countries from project-based approaches to programme-based sector-wide-approaches (SWAps) consistent with the integrated approach to managing water resources including sanitation. iv) Climate Change: Climate change impacts are threatening the water ecosystems upon which many livelihoods and economic activities depend, and will worsen the chances of attainment of the MDG targets. These impacts are felt more in Africa, which has limited adaptive capacity and financial resources. v) Others challenges include the high numbers of fragile states requiring specialised approaches and greater funding to achieve the targets; capacity and pace of decentralization in RMCs; sustainability; donor collaboration; communication of acquired knowledge; and, limited RWSS monitoring and evaluation capacity. The RWSSI Strategic Plan ( ) The development of the RWSSI Strategic Plan (SP) has benefitted from the above findings and lessons learned over the past 8 years, the high level of political commitment by African governments at Sharm El Sheikh in 2008 to meet sector targets, sector trends and the 2004 RWSSI Strategy highlighted in the RWSSI Framework for Implementation document. The SP s operational priorities are aligned to the 2011 Busan Partnership for Effective Development Co-operation in the focus on fragile states, 9

11 enhancing gender equality and aligning monitoring and evaluation to national systems. This SP is also consistent with the twin objectives of green and inclusive growth of the Bank s Long Term Strategy (LTS), and seeks to effectively support the implementation of the LTS through contributions to the governance, private sector development and regional integration pillars of the LTS. Goals and Objectives: While the RWSSI strategic goal remains the fulfilment of the Africa Water Vision, which targets full and equitable access to safe, adequate and affordable water supply and sanitation by 2025, its 2015 objectives of achieving 80% access to both water and sanitation services have been revised and are now aligned to the MDG targets of 70% and 62%, respectively, for rural areas. Strategic Focus: The formulation and implementation of the SP are guided by four focal areas: (i) demand-driven financing; (ii) RWSSI governance; (iii) climate change; and, (iv) knowledge management and communication. The strategic focus of the SP seeks to prioritize activities that achieve Africa-wide ownership and commitment to the Initiative, improve the management and governance of RWSSI, increase RWSSI funding, build into program design and implementation climate change and adaptation measures, sustainability aspects, and the benefits of multiple objectives and income generation activities. The SP will provide the tools to improve RWSS portfolio implementation and performance, and achieve better result measurement and reporting. Furthermore, the SP sharpens the focus of the RWSSI TF resources on enhancing demand for and leadership in the water sector, increasing investments in sanitation, national programme preparation, scaling-up services, capacity building in fragile states and post conflict countries, and support to Sahelian/semi-arid countries. The prioritization of rural areas in the Bank s Long Term Strategy (LTS) provides an opportunity for the SP to contribute to the twin agenda of green and inclusive growth of the LTS. Components: The SP will focus on the following five key operational components and related outputs. 1. Component 1 RWSSI/RWSSI-TF Governance: addresses the governance and performance of the Initiative and the Trust Fund for enhanced efficiency and effectiveness. To enhance accountability and transparency, and to increase ownership and confidence in the optimal use of the funds, more inclusive governance is planned at the strategic level through a formal RWSS regional coordination mechanism, an enhanced RWSSI-TF management framework and by a strengthened Bank capacity to oversee implementation of the SP. 2. Component 2 RWSS subsector governance and enabling environment: aims at supporting countries to improve their governance of the RWSS subsector. It will support the strengthening of programmatic and sector/subsector wide approaches to RWSS service delivery through: preparation of RWSS plans and programs; strategic capacity building support for decentralised systems; enhanced sector dialogue and coordination; strengthening financial absorption capacity; O&M planning and management; realisation of the human right to water and sanitation and gender mainstreaming; environment, climate change mitigation & adaptation capacity; increased transparency and reporting. Specialized actions will be targeted at fragile states (using conflict-sensitive approaches) and post-conflict states, as well as to the sanitation sub-sector. 3. Component 3 - RWSS investments: aims at achieving increased funding commitments towards the subsector, both from governments and development partners, including the Bank. It also aims at increased investments for rural water supply and sanitation in fragile and post-conflict states and at achieving

12 additional leverage effect by the RWSSI Trust Fund on total resource mobilization. The SP sharpens the focus of the RWSSI-TF to give it a more catalytic and facilitation role in supporting the efficiency, effectiveness and sustainability of RWSSI operations. 4. Component 4 Sustainability of RWSS systems: the SP will adopt a more integrated approach encompassing the water resources endowment and watersheds as well as beneficiary livelihoods to better assess, plan, design and manage for RWSS infrastructure sustainability and the systems that enhance it. Greater emphasis will be put on lifecycle costs and sustainability considerations in designing the RWSSI programmes. It will support an increased number of small community and private water operators, appropriate and independent regulation of RWSS services and service providers, ensure affordability of services, develop/establish supply chains, and advocate for improved O+M budgeting and training for service providers. 5. Component 5 Increased knowledge management and communication, including subsector M&E: aims at strengthening the generation, dissemination and utilization of RWSS subsector knowledge at the Bank and in RMCs for impact. The 2004 Framework for Implementation aligned with programming and operational processes that take into account current sector trends will be used. The latter includes: demand-driven financing; programmatic approach to sector planning and development; participation and demand-responsive approaches; regional coordination and partnerships; sector assessments; enhanced internal Bank capacity; and, the mainstreaming of climate change, inclusive growth, and gender. Implementation of the SP will be monitored using both the RWSSI and the RWSSI-TF results measurement frameworks. Funding the RWSSI Strategic Plan ( ) In addition to current commitments, about USD 8.1 billion will be required between 2012 and 2015 to achieve the water supply and sanitation MDG targets in rural areas. The resource mobilisation strategy envisages a partnership approach where African governments demonstrate commitment by significantly increasing their national budgetary allocations and community contributions for the subsector. At the March 2012 RWSSI 11

13 and AWF meeting in Marseille, four African countries (Burkina Faso, Chad, Ivory Coast and Niger) pledged contributions to the RWSSI TF, signalling a positive response to the call for greater African commitment and ownership. The Bank, as lead regional institution of the Initiative, renewed its commitment to provide about USD 1.63 billion, subject to country demand. The RWSSI-TF will seek to raise USD 400 million (5% of the funds) to fulfil its catalytic, leveraging, facilitating role and support investments in fragile and post-conflict states. A financing gap of about USD 6 billion will need to be filled by African governments and other donors in order to meet the RWSSI objectives across Africa. While the SP is being presented for Board approval in 2013, it has retained the period of since the implementation of some of the elements of the SP already started in 2012 with activities like the Marseille Conference for recommitment to RWSSI and resource mobilization for the RWSSI-TF; and, implementation of the Bank s 2012 Lending Programme with the approval of six programmes/projects.

14 1. Introduction 1.1 Background to RWSSI In 2000, Africa had the lowest water supply access of any region in the world. In rural areas where 64% of its people live, access to safe water and improved sanitation was only 47% and 44% 4, respectively. Yet funding was low and less than 20% of donor funding to the sector supported rural water supply and sanitation. In addition, large areas were affected by climate-related phenomena such as extreme droughts in the horn of Africa, flooding in Mozambique and Kenya, and increasing concerns of water scarcity in the Sahel. To respond to these challenges, and to support the achievement of the Africa Water Vision 2025 and the Millennium Development Goals, the Rural Water Supply and Sanitation Initiative (RWSSI) was conceived by the African Development Bank in 2003 as a regional response giving focused attention to the rural subsector, with the overall goal of achieving 80% access to basic water supply and sanitation services by 2015 and providing universal access by It was estimated that achieving the 2015 target would require providing water supply to 271 million people and sanitation facilities to 295 million people. The total cost was estimated at USD14.2 billion of which USD 9.69 billion was for water supply, USD 4.42 billion for sanitation and about USD 0.10 billion for investment facilitation. Funding for RWSSI was planned as follows: 15% by African Governments, 5% by communities, 30% through the African Development Bank/Fund (AfDB/ADF) resources and 50% by donors (see Figure 1-1). At the first International Conference on Rural Water Supply and Sanitation in Africa held in Paris in April 2005, African Governments and international development partners adopted RWSSI as the common framework for resources mobilization and investment for rural water and sanitation delivery in Africa. It was also agreed to establish the RWSSI Trust Fund (RWSSI-TF) to raise additional resources to be managed by the Bank for the financing of RWSSI activities. 13 Figure 1-1 Planned RWSSI Structure Rural Water Supply and Sanitation Initiative (RWSSI) Framework For Implementation Communities 5 % African Governements 15 % AfDB Resources 30 % RWSSI-TF Resources 5 % Multi-lateral & Bilateral Donors 45 % Country 1 RWSSI Programme Phase 1 Phase 2.. Country 2 RWSSI Programme Phase 1 Phase 2.. Country 3 RWSSI Programme Phase 1 Phase The baseline figure for sanitation was reduced to 28% in the JMP Report of 2010.

15 Trends influencing the sector Since the Rio conference (1992), the international community and African governments undertook several initiatives and investments for better development and management of water resources, and improving access to water and sanitation while ensuring environmental sustainability. Despite these efforts, expansion of water and sanitation coverage has been uneven across countries and the set targets were not met. Over the past 5 years, renewed commitments were made: The ethekwini Declaration and AfricaSan Action Plan (Feb/2008) pledge for action put sanitation at the top of the development agenda when over 30 African government ministers committed to spend 0.5% of their country s GDP on sanitation. The Sharm El Sheikh commitments for Accelerating Achievement of the Water and Sanitation Objectives were made by the African Union Head States and Governments (July/2008). This apex commitment from African leadership for a water secure Africa calls on governments and partners to plan and develop water and sanitation infrastructure, governments to mobilize resources in support of RWSSI and AWF, and AMCOW to submit annual reports on the state of water resources development in the continent. In 2010 two United Nations resolutions (by the General Assembly and the Human Rights Council) recognised the human right to safe drinking water and sanitation, which implies a commitment by governments to adopt immediate steps to ensure the full realisation of this right within the maximum of available resources. In the Ministerial Declaration of the World Water Forum (2012), governments committed to accelerate implementation of the human right to safe drinking water and sanitation. The Marseille Declaration on RWSSI and AWF (March 2012) serves as a framework for mobilizing partnerships and a platform for launching concerted efforts to build water security infrastructure and to bring basic water and sanitation services to millions of underprivileged people in Africa. These commitments come at an unfavourable time of a global financial crisis, coupled with emerging complex issues related to climate change impacts which require additional financial resources, and the need for a paradigm shift to effectively address sustainability issues while striving to achieve the goal of accelerated access to water and sanitation for all. The emerging development paradigm is that of green and inclusive growth, an economic model that simultaneously targets key aspects of economic performance (poverty reduction, job creation, social inclusion and gender); and those of environmental sustainability, climate change mitigation and adaptation and security of access to clean water, food and energy, to achieve broad-based economic growth. Essential to such a model is the development of natural assets in a sustainable manner, and strategic investments based on the value-chain approach, private sector participation, labour-intensive activities, and inclusion of the poor. In this context, RWSSI is aligned to the green and inclusive growth agenda of the Bank through its focus on the rural poor and its contributions to achieving better health, increased productivity, entrepreneurship and higher incomes in rural Africa. Also the rural sector is well positioned to contribute to watershed stewardship towards a greener development. The SP seeks to sharpen the focus of the RWSSI which supports the core operational priorities of the Bank, highlighted in the Bank s LTS namely: Infrastructure Development, Governance and Accountability, Private Sector Development, Regional Integration, and Skills and Technology Development. The three main factors underpinning the sector, as identified in the second Country Status Overview Synthesis Report (CSO2), are political, economic, and social. Given the range and complexity of all these issues, the achievement of longterm sustainability in RWSS requires the convergence of a multi-pronged approach tailored to the national and local conditions and the status of the sector. 1.3 RWSSI assessments After eight years of implementation under the management of the Water and Sanitation Department (OWAS) of the African Development Bank (AfDB), the relevance, effectiveness and efficiency of RWSSI was assessed internally in 2010 and externally in 2011 through broad

16 consultations. The outcomes of these assessments led to the refinement of the RWSSI targets and the definition of this new Strategic Plan (SP) for RWSSI aiming at achieving sustainable access to drinking water and sanitation in rural Africa through: improved governance, increased investments, stronger partnerships, increased knowledge management and communications and focus on sustainability including treating RWSS as a professional service. The SP has been developed taking into account experiences gained since the launching and implementation of RWSSI as well as the overall current context shaping development approaches and strategies. This section presents the achievements, challenges and recommendations from the independent External Assessment of RWSSI, which was validated at a workshop in Tunis, in November 2011, attended by donors and RWSSI implementing agencies staff from 23 countries, as well as those from the Internal Assessment of RWSSI in Key documents included in the literature review were the Country Status Overview Synthesis Report on the water sector in Africa 5 and a study on Sector Wide Approaches in the water sector 6. Findings from these reports have informed this SP. The main conclusion of the above studies was that the role of RWSSI in the provision of basic water supply and sanitation services in rural areas remains highly relevant, and it can make a significant contribution to capacity building of decentralized levels of government, which in turn is deemed to lead to improved sustainability Lessons from Implementing RWSSI: Achievements and Challenges ii) Despite impressive achievements, RWSS investments are way below what is required to achieve the water and sanitation MDGs in rural areas, currently estimated at an additional USD 8.1 billion. Unless much improved levels of financing can be attracted into the sector, only about half of all African countries are likely to achieve the water MDG while less than 10 are likely to achieve the sanitation MDG. Scope and Vitality: RWSSI is the only region-wide initiative that focuses on ensuring basic water supply and sanitation services for rural areas at such a large scale. It has been successful in drawing attention to the unmet basic needs of rural populations resulting in a significant increase in financing in the rural sub sector by African governments, the Bank and donors. iii) Sector-Wide Approaches: In line with the Paris Declaration, RWSSI has contributed to the change in many countries from project-based approaches to programme-based sector-wide-approaches (SWAps) where donor funds are mobilized to support long-term objectives within a common Government-led national programme. This is consistent with the integrated approach to managing water resources including sanitation. Governments in 18 out of the 23 countries have developed national RWSS programmes. Figure1-2 : Status and Location of Bank-funded RWSSI Programmes 15 i) Financing and Access: By 31st December 2011, the Bank had invested USD 1.3 billion (or 23% of total RWSSI investments) in financing 31 RWSS programmes in 23 countries (see Figure 1-2). Across Africa, RWSSI had leveraged some USD 4.2 billion from other donors (or 43%), African governments (30%) and beneficiary communities (4%) while the RWSSI-TF had contributed USD 126 million. This funding provided water supply and sanitation access to 45.5 million and 30 million people, respectively. It is worth noting that by June 2012, the share of RWSSI projects in the Bank s total active water portfolio of loans and grants had increased to 47%, from less than 15% in Tunisia Morocco Algeria Libya Egypt Mauritania Sudan Cape Verde Senegal Gambia Chad Guinea Bissau Guinea Central African Republic Cameroon D.R.Congo Zambia Key Bank-Funded RWSSI Countries (Phase I) Bank-Funded RWSSI Countries (Phases I and II) Namibia South Africa Eritrea Ethiopia Somalia Tanzania Comoros Mozambique Mauritiu Swaziland 5 AMCOW (African Ministers Council on Water), AMCOW Country Status Overviews Regional Synthesis Report. Pathways to Progress: Transitioning to Country-Led Service Delivery Pathways to Meet Africa s Water Supply and Sanitation Targets. Washington, DC: The World Bank/Water and Sanitation Program. 6 Study of SWAp in the water sector, Volume 1 Synthesis report, European Commission & AfDB, Nov/2011

17 16 iv) Donor Collaboration: RWSSI has contributed to strengthened collaboration and improved coordination and harmonization amongst partners. However it needs to develop broader and more inclusive governance with greater involvement of key stakeholders. v) The RWSSI-TF: The Fund, which represents about 10% of total RWSSI financing at the Bank, has played an important role in strengthening the management and enhancing the achievements of RWSSI, and in leveraging additional resources to the Initiative from the Bank and other donors. In a few cases, the TF has successfully leveraged contributions to RWSSI both from donors outside the Bank and within the Bank with the TF grant element a deciding factor where competition exists between two sectors for resources, making it easier for governments to prioritize RWSS. The Fund also has potential, in the medium term, to evolve into one of the major Funds of the Bank addressing climate change resilience. However, Trust Fund resources have lacked identity in RWSSI projects and have created a perception among donors of low added value of TF resources, and the Fund is threatened by unpredictable fund replenishment. vi) Implementation Pace: Slow disbursement has mainly resulted from process driven and slow start-up activities, comprising advocacy, policy reforms, human resources and institutional capacity building, consultations, harmonization and coordination with donors, development of procurement manuals and procurement of consultancy services. Once these initial activities were completed, the rate of disbursement increased. vii) Climate Change: Climate change impacts coupled with environmental degradation, excessive abstraction of water resources and discharges of untreated pollutants are threatening the water ecosystems upon which many livelihoods and economic activities depend and will worsen the chances of attainment of the MDG targets. These impacts will be felt more in Africa which has limited capacity and financial resources for adaptation. By providing sustainable access to water supply and sanitation services and ensuring proper management of water resources as well as promoting the use of renewable energy systems such as solar and wind for pumping in rural Africa, RWSSI has been contributing, along with other instruments, to financing climate change adaptation and resilience in rural Africa. viii)knowledge Management and Communication: Although RWSSI has achieved important results, the Bank needs to do more to share those results and the acquired knowledge. ix) Capacity Building and Sustainability: RWSSI has built capacity at central government as well as decentralised local government levels and communities, and has enhanced the participation of communities in service provision. It has also built capacity of local service providers. However, many countries continue to report high levels of non-functional systems, thus the sustainability of rural systems needs to be further enhanced. x) Decentralization: Many African countries have embarked on the process of devolving responsibilities for water and sanitation services to local authorities, but few have entrenched support for it. There is a need to increase financial flows and authority to local level structures. xi) Fragile States: These constitute some of the most offtrack countries in Africa. The specific requirements will necessitate a massive effort of the Bank and other donors at capacity building, policy and institutional reform and program preparation, alongside infrastructure investment. xii) Sanitation: The sanitation situation in Africa is of serious concern; the JMP 2012 report showed less than 10 countries in Africa that were on-track for meeting the 2015 MDGs target. Unless political commitment is mobilized with increased financial resources from Governments, the Bank and development partners, the sanitation situation might actually retrogress on the continent. The management of sanitation in many countries is also fragmented, with no institutional home and no designated budget for provision of sanitation.

18 xiii)monitoring and Evaluation: Monitoring was identified as an area of weakness and a major challenge for RWSSI, making it difficult to get accurate and timely data. Apart from a few exceptions, most country M&E systems are unable to provide reliable data for sector planning and management. This remains a challenge at the country level, and is an area of focus for the Bank Key Recommendations The following recommendations emerged from the findings of the assessments and consultations, and have guided the preparation of the Strategic Plan: i) Governance of RWSSI: Overall governance of the Initiative should be strengthened at the regional and Bank levels to increase RWSSI visibility and improve high-level coordination. ii) RWSSI Trust Fund: The role of the TF needs further clarification to ensure greater visibility, to focus on longterm sustainability and to target early disbursing activities. procedures for monitoring and evaluation. More task management of RWSSI operations from field offices is recommended. iv) Strengthened Country Decentralization and Sector Governance: A significant increase in focus on capacity building of decentralized institutions is needed to ensure that RWSSI is implemented based on strong country ownership and leadership within a sector or subsector wide approach. v) Sanitation: In line with government commitments to implement ethekwini statements, the sanitation component in RWSSI programs should be strengthened and given higher priority and concrete actions taken to attain the sanitation MDG target. vi) Focus on fragile and post conflict states to ensure adequate capacity development for sustainable transitioning from emergency to development and sustainable infrastructure investments, taking into account the pertinent lessons learned in the Fragile States Facility. 17 iii) Bank Decentralization: Field Offices working on RWSSI operations need to be strengthened with appropriate guidelines, tools for management, and operational vii) Knowledge management and communication: The Bank should strengthen RWSS knowledge management and dissemination.

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20 2. The RWSSI Strategic Plan ( ) 2.1 Introduction The RWSSI Strategic Plan (SP) sets forth the focus areas and key outputs of the Initiative during the planning period. It stipulates targets for the period, estimates the required financial resources, and identifies required implementation arrangements. These were informed and specified by the following: lessons and recommendations from RWSSI implementation to-date (Chapter 1); the high level political commitment by African governments at Sharm El Sheikh to meet sector targets; the willingness to finance climate resilient infrastructure in Africa by major greenhouse gas emitting countries, the manifested interest in RWSS as exhibited at the 2nd International Conference on RWSS in Africa; and the 2004 Framework for Implementation document. The SP is also consistent with the twin objectives of green and inclusive growth of the Bank s Long Term Strategy (LTS), and seeks to effectively support the implementation of the LTS through contributions to its core operational priorities, namely: infrastructure development, governance and accountability, private sector development, regional integration, and skills and technology development. The SP s orientations are also aligned to the Busan Partnership for Effective Development Co-operation in the focus on fragile states (2011); and aims at enhancing gender equality, and supporting national systems for monitoring and evaluation. This SP endeavours to address the regional aspirations of the Initiative while highlighting the contributions of the Bank and those of the donors that finance RWSS through the RWSSI Trust Fund. 2.2 Vision and mission The vision of RWSSI remains to ensure that all people in rural Africa have progressively equitable access to sustainable water supply and sanitation services (by UN Standards) which are indispensable for the respect of the right to life and human dignity. The RWSSI vision is in line with the Africa Water Vision 2025 that states An Africa where there is an equitable and sustainable use and management of water resources for poverty alleviation, socio-economic development, regional cooperation and the environment. The mission of RWSSI remains to serve as regional framework for a coordinated response to mobilize partners, knowledge and investments needed to meet the 2015 MDG targets and the 2025 African Water Vision targets for rural areas in Africa. 2.3 Goals and objectives The overall goal of RWSSI is to ensure that all rural areas of Africa are provided with equitable access to safe, adequate, affordable and sustainable WSS services by The objective of RWSSI is to mobilise all stakeholders around a common framework to attain water supply and sanitation access rates of 70% and 62%, respectively, by 2015 in rural areas in Africa (revised downwards from the original target of 80%). The new targets are derived from the MDG targets of halving, by 2015, the proportion of people without sustainable access to safe drinking water and basic sanitation. The longerterm objective (aligned to the African Water Vision targets) is to provide 100% equitable access to safe water and sanitation services by Strategic orientation The development and implementation of the SP is guided by the following four focal areas stemming from the recommendations made in Chapter 1. i) Governance of the Initiative: To enhance accountability and transparency, and to increase 19

21 20 ownership and confidence in the optimal use of the funds, more inclusive governance is planned at the strategic and operational levels. ii) Demand driven financing: African governments need to prioritize the sector in their poverty reduction strategy papers and CSPs, and demonstrate increased budgetary allocation and absorption to RWSS programmes in order to benefit from Bank financing and leverage donor support to accelerate the process of attaining the MDGs. African governments also need to demonstrate ownership by contributing to the RWSSI Trust Fund. Government leadership in this regard is expected to have an important multiplier effect and attract increased donor support. iii) Communication: The accumulated knowledge within the Bank in implementing RWSSI since 2003 places it in a comparatively advantageous position and needs to be effectively communicated to RMCs, donors and other stakeholders. The Bank will strengthen M&E in RWSS programmes as well as its knowledge generation, synthesis, documentation and dissemination amongst stakeholders. iv) Climate Change: Addressing the RWSSI targets requires concrete actions to manage climate change challenges. Therefore, climate responsive planning Outputs 1.1 Bank-funded RWSS operations are more efficiently implemented Some Indicators and management will be undertaken to build resilience of water and sanitation infrastructure Components and outputs of the strategic plan At the operational level, the RWSSI SP ( ) will be implemented under five strategic components leading to the following outputs. A more detailed description of the outputs under each of the five components, as well as the indicators that will be used to monitor them, are presented in Annex 2. 1) Component 1 RWSSI/RWSSI-TF Governance: addresses the governance and performance of the Initiative and the Trust Fund for enhanced efficiency and effectiveness, in line with Level 3 and Level 4 of the Bank s Results Measurement Framework. To enhance accountability and transparency, and to increase ownership and confidence in the optimal use of the funds, more inclusive governance is planned at the strategic level through a formal RWSS regional coordination mechanism, an enhanced RWSSI-TF management framework (see Chapter 3) and by a strengthened Bank capacity to oversee implementation of the SP. Key outputs and indicators include the following: 1.1b Reduced number of projects whose age exceeds the average design project age of 4 to 5 years 1.2 Strengthened RWSSI organisational framework 1.2a Effective Regional Coordination Committee, as per the Terms of Reference 1.2b RWSSI Communication Strategy in place 1.2c RWSSI operations toolkit and guidelines in place and guiding implementation Details on role and arrangements for the establishment of the RCC and other coordination frameworks are presented under Section (and Annex 5). 2) Component 2 RWSS subsector governance and enabling environment: aims at assisting countries to improve their governance of the RWSS subsector (addressing both implementation issues and, increasingly, through sector policy dialogue). The Component will support the strengthening of programmatic and sector/subsector wide approaches to RWSS service delivery through: preparation of RWSS plans and programs; strategic capacity building support for decentralised systems; enhanced sector dialogue and coordination; strengthening financial absorption capacity; O&M planning and management; realisation of the human right to water and sanitation and supporting civil society to give voice to the needy, and to support meaningful user-participation and longterm access to services; influencing school curricula

22 to inculcate water security plus hygiene and sanitation wisdom; gender mainstreaming; environment, climate change mitigation & adaptation capacity, including resilience to water scarcity through water storage structures; increased transparency and reporting. Using conflict-sensitive approaches 7, specialized actions will be targeted at fragile states and postconflict states. Support for improved sanitation will be a key focus area. The outputs and indicators include: Outputs 2.1 Progress is made along the service delivery pathways Indicators 2.1a Number of countries (non-fragile) supported to develop RWSS programs 2.1b Number of supported countries that undertake annual sector reviews and provide annual sector reports 2.2 Increased RWSS sector reforms and development for fragile &post-conflict countries 2.2 Number of additional fragile/post-conflict countries supported to develop national RWSS strategies and programmes, and supported towards developing RWSS services 2.3 Enhanced focus on sanitation and hygiene 2.3a Additional number of countries with lead sanitation institutions 2.3b Additional RWSSI countries with specific sanitation and hygiene strategies, plans, budgets and reports 3) Component 3 - RWSS investments : aims at achieving enhanced access to water and sanitation through increased funding commitments towards the subsector, both from governments and development partners, including the Bank. It also aims at increased investments for rural water supply and sanitation in fragile and post-conflict states and at achieving additional leverage effect by the RWSSI Trust Fund on total resource mobilization. The SP sharpens the focus of the RWSSI-TF to give it a more catalytic and facilitation role in supporting the efficiency, effectiveness and sustainability of RWSSI operations. The outputs and indicators are summarised below. Outputs Indicators Government leadership in RWSS through increased financing 3.1 Increased proportion of government funding for rural water supply and sanitation in Africa 3.2 Overall funding for RWSS increased 3.2 Increase in total funding (by source) for rural water supply and sanitation in Africa during SP period towards the USD 8.1 million target 3.3 Leveraging effect of the RWSSI-TF enhanced 3.3 Greater leveraging effect of RWSSI-TF resources 7 The 2011 WSP Conference Report: Delivering Water Supply and Sanitation in Fragile States: The transition from emergency to development highlighted the following opportunities to accelerate sector transition: i Building on strengths of fragile states where they exist: e.g., political will, public financial management, decentralized governments, civil society and local private sector. ii Providing sector leadership with examples of timelines/trajectories of successfully transitioned countries iii Initiating dialogue between line ministries responsible for WSS and ministries managing core country systems notably the Ministries of Finance (to influence policy and institutional arrangements; address capacity challenges; core country and service delivery systems; etc.) iv Using aid modalities to promote linkages between the WSS sector and country systems (notably through developing capacity by using it by supporting incremental improvements in country implementation capacities and incremental increases in the amounts of funds being channeled through country systems).

23 4) Component 4 Sustainability of RWSSI systems : the SP will adopt an integrated approach encompassing the water resources endowment and watersheds as well as beneficiary livelihoods to better assess, plan, design and manage for RWSS infrastructure sustainability and the systems that enhance it. Greater emphasis will be put on lifecycle costs and sustainability considerations in designing the RWSSI programmes. It will support an increased number of small community and private water operators, appropriate and independent regulation of RWSS services and service providers, ensure affordability of services, develop/establish supply chains, and advocate for improved O+M budgeting and training for service providers. The outputs and indicators are summarised here: Outputs 4.1 Pro-sustainability institutional systems established and strengthened Indicators 4.1a Additional number of countries that will be supported to develop functioning operation and maintenance frameworks for RWSS 4.1b Number of countries supported to establish or develop adequate supply chains for RWSS spare parts and implements 4.2 Strengthened RWSSI organisational framework 4.2 Average percentage reduction in non-functional RWS facilities in regional member countries 22 Outputs 5.1 Country-led RWSS sector M&E strengthened 5.2 Communication and knowledge products generated and disseminated Indicators 5) Component 5 Increased knowledge management and communication, including subsector M&E: aims at strengthening the generation, dissemination and utilization of RWSS subsector knowledge at the Bank and in RMCs for impact. The outputs and their indicators are presented below. 5.1a Number of countries with effective rural water supply M&E systems 5.1b Number of countries with effective rural sanitation and hygiene M&E systems 5.2a Number of flagship RWSSI communication and knowledge products generated annually and disseminated 5.2b Regional database on RWSSI subsector financing and performance 5.3 Number of non-bank-funded countries included in Bank s RWSSI reports 2.6 Impact and outcomes The implementation of the RWSSI SP will contribute to the improvement of the living conditions for people in rural areas due to, among others, reduction in water-borne diseases and health care costs and savings in time for productive purposes; and to the reduction of disparities of access to water supply and sanitation. These impacts will be monitored using the level of child health and overall development, namely the percentage reduction in the under-5 mortality rates in African countries 8 ; increase in the proportion of girls to boys that attend primary and secondary education; and reduction in health care costs. The anticipated outcomes of the RWSSI interventions are improvements in access to sustainable rural water supply, increased access to improved sanitation, as well as better hygienic practices for rural populations in Africa. These will be monitored through increases in the proportions of rural population that will have access to rural water and sanitation (including reduction in open defecation), and the number of countries on-track for meeting MDGs. 8 The under-5 mortality rate is the probability of dying between birth and exactly 5 years of age expressed per 1,000 live births. See national estimates to 2010 at: