1 Detailed Bibliography 1. How to develop a concerted municipal strategy for water and sanitation, 2012, PS-Eau. Available online at Description: Provides guidance on how to prepare a concerted municipal strategy for water and sanitation. Such a strategy is not a detailed master plan, but is a framework for action, based on strategic principles set through consultations with key stakeholders. Relevance for Ghana: High. Specifically designed to respond to the challenges of rapidly unplanned urbanisation and for medium and large towns (30,000 to 300,000 inhabitants). Although the document focuses on both water and sanitation, it provides useful insights into the steps involved for designing a strategy to bring rapid improvements to sanitation services. 2. Sanitation 21: A Planning Framework for Improving City-Wide Sanitation Services, IWA- EAWAG, Available online at 21_22_09_14-LR.pdf Description: Planning tool to develop an equitable city-wide sanitation service delivery plan. The tool describes the different stages of the planning process, from the creation of a city sanitation task force to developing models for service delivery and preparing for implementation. Relevance for Ghana: High. This tool presents a step-by-step approach for preparing a sanitation plan, including identifying sources of financing. One gap in the tool is the lack of consideration for households contribution to improving their sanitation situation and how to facilitate these investments from a local government perspective. 3. The Sustainable Development Goal (SDG) for Water and Sanitation: What is new? What is Different? IRC, Available online at _what_is_different_2pager_final_0.pdf Description: This background note presents the Goal 6 for water and sanitation, as voted by the UN Assembly in September The note presents the main differences with the Millennium Development Goal (MDG) for sanitation including the move beyond access to a sanitation facility to include equity considerations as well as wastewater treatment. Relevance for Ghana: High. This note will support MMDAs in defining strategies for sanitation in line with global goals and national policy. 4. Poor-Inclusive Urban Sanitation: An Overview, WSP, Available online at Overview.pdf Description: This paper presents the specificities and challenges of delivering sanitation services in urban context, especially to the respond to the needs of poor populations. Relevance for Ghana: Medium. The paper is an excellent presentation of the challenges of urban sanitation services for the poor and provides examples of potential approaches to respond to the poor s needs. However, it is more intended to inform broad strategic directions and policies, rather than concrete action plans at local level. 5. The Missing Link in Sanitation Service Delivery: A Review of Fecal Sludge Management in 12 Cities, WSP, Available online at Description: This research brief assesses the urban sanitation for the poor in 12 cities in the world, and the major constraints that need to be overcome to improve fecal sludge management. The paper compiles data from cities in the regions of Latin America, Africa, South Asia and East Asia and presents them side by side the brief.
2 Relevance for Ghana: Medium. These case studies of FSM in 12 cities can provide examples on how to carry out a diagnostic of current sanitation services and provide guidance on identify the critical areas of interventions. However, the document does not propose specific solutions (technological, institutional, etc.) to bridge the gaps in urban sanitation service delivery. 6. Faecal Sludge Management, Systems Approach for Implementation and Operation, EAWAG, Available online at Description: this book provides comprehensive guidance for understanding the core aspects faecal sludge management (FSM), with a specific focus on technical considerations. It provides detailed answers to questions such as: what is faecal sludge? How can it be stored? How can it be transported? How can it be treated? Etc. The book also includes chapters dealing with operating and managing faecal sludge treatment plants. There are also chapters related to institutional arrangements for FSM as well as well as considerations on the sources of finance for FSM and planning the implementation of FSM strategies. Relevance for Ghana: High. This book represents the most updated thinking on suitable technologies for the safe management of faecal sludge. Although not central to the book, considerations on institutional arrangements for optimum service delivery, financing sources and the planning process are also included. 7. The Shit Flow Diagram (SFD), a tool developed with support from WSP and GIZ. Accessible at Description: The SFD is a graphical representation of the gaps in sanitation service delivery in a city. Developed with support from WSP, the Gates Foundation and GIZ, the tool considers all sources of sludge and wastewater at city-level (including poor and peri-urban areas) and represents the paths taken by sludge and wastewater along the sanitation service chain. The tool is a useful primarily as an advocacy tool, as it can highlight pockets of untreated sludge and wastewater, which are sources of health hazards. The tool can also be used as a diagnostic tool. Relevance for Ghana: Medium. Mainly for advocacy, but useful to graphically represent the diagnostic of the sanitation situation at city-level. The tool helps identify the gaps in service delivery, but does not propose related action-plans. 8. Model Terms of Reference: Planning Urban Sanitation and Wastewater Management Improvements, Asian Development Bank, Available online at Description: This model Terms of Reference (TOR) for planning sanitation improvements has been prepared to support relevant authorities in hiring consultants to assess the sanitation situation and propose solutions relevant to the urban context. These TOR have been prepared to support central and local governments to implement unconventional sanitation solutions, i.e. non-sewered sanitation solutions. Relevance: Medium. The document contains useful guiding questions for identifying and implementing the most adequate sanitation solutions, based on a sanitation audit, maps and plans of existing systems, institutional arrangements, household surveys, etc. The document does not provide in-depth TORs for each specific tasks in the diagnostic, however. 9. How to Analyse the Demand of Current and Future Users for Water and Sanitation Services in Towns and Cities in Africa, PS-Eau, Available online at Description: This guide sets out a coherent approach based on solid methodological elements, to enable an assessment of the demand for sanitation services. Demand is a key issue in any water and sanitation services improvement project, one that is vital for decision-makers, planners and designers to analyse and understand. Analysing demand enables i) maximising the allocation of financial resources (to improve the effectiveness of any subsidies or Output-Based Aid); ii) promoting equity between the users of the relevant public services. Relevance for Ghana: High. The guide provides useful methodological tools to assess demand for sanitation services. It defines key tools used to survey demand, including quantitative surveys and qualitative surveys. As such the guide can provide an excellent basis to draft TORs for a demand
3 assessment study. 10. How to manage Public Toilets and Showers, PS-Eau. Available online at Description: The guide focuses on the management of public toilets in schools, health facilities, toilet blocks in market places and in deprived areas. The guide identifies what are the key elements of good management practices and how to implement them. It also examines how to recover the costs of managing public facilities. Relevance for Ghana: High. This guide is one of the few focused on the management of public facilities, which are widespread in Ghana. It provides practical approaches for improving the management of the facilities and where applicable recover operating costs. 11. Sanitation Markets Pathfinder Paper, Sophie Trémolet, SHARE, Available online at Description: This paper identifies the market failures, which affect the ability to extend appropriate and sustainable sanitation services. The paper examines in turn three main market segments alongside the sanitation value chain, starting with markets for providing access to sanitation (collection services), markets for transport and treatment activities and finally, markets for reuse services. This pathfinder also identifies public interventions that could address these failures. Relevance for Ghana: High. The document provides an excellent understanding of the market failures of the sanitation value chain, in a manner that also highlights the need for public interventions. For example, where latrines are non-existent or badly maintained, the market for access to facilities is weak and therefore requires interventions, in this case through behavior change campaign. As the document is focused along the entire sanitation value chain, the paper can support the identification of appropriate interventions (targeted capital investments, behavior change campaigns, capacity building activities) to improve the sanitation market and access to sanitation services. 12. Compendium of Sanitation Solutions and Technologies, WSSCC and EAWAG, Available online at Description: The focus of this paper is on the choice of technology when building or improving sanitation systems. This large compendium exposes the user to a broad range of sanitation systems and innovative technologies. It provides guidance into building a complete system for sanitation, by iteratively choosing and linking appropriate technologies. The paper also describes the technologyspecific advantages and disadvantages. Relevance for Ghana: High. In context where infrastructure for sanitation services are inexistent or in need of substantial improvements, this compendium provides guidance in the choice of appropriate technologies. The compendium has a particular focus on sanitation systems that are affordable and adequate in context where conventional sewerage systems are not workable. 13. Non-conventional Sewerage Solutions, ps-eau, Available online at Description: Non-conventional sewerage solutions, also known as small-bore sewers can provide a solution in unplanned areas. This ps-eau guide aims to support contracting authorities and their partners in deciding whether to invest in small-bore sewers and how to establish sustainable management practices of such services. Relevance for Ghana: High. Non-conventional sewerage options have been implemented across the world over the last few decades, using diverse technological options and management methods. However, guidance on when and how to implement such solutions are still limited. This guide is a good tool to assess the feasibility of these solutions, and for designing and constructing them. The guide puts particular emphasis on management options. 14. Governance in Urban Sanitation: Institutional Aspects, UNITAR, Not available online. Description: This document sets out the foundations for sound governance for urban sanitation services and stresses the key role of stakeholders involved: central level, municipal level and service providers, Highlighting the importance of a political anchor for the sanitation sector (both at central and local levels), the paper examines the potential roles of the private sector and its potential limits.
4 Relevance for Ghana: Medium. This document is a useful reminder of the importance of an adequate institutional framework for improved sanitation services. It also provides basic principles for engaging the private sector, while carefully setting the limits of this engagement (the private sector is usually less attracted to delivering sanitation services in comparison with water services, due to perceived low returns). These principles are general guidelines and need to be adapted to Ghana s specific context. 15. Un-sewered Sanitation Improvements for the Urban Poor, African Water Facility, Available online at Description: This report seeks to capture emerging lessons from the design and implementation of 14 sanitation projects, which were designed with funding from the African Water Facility (AWF). These projects involved innovative service delivery models and institutional arrangement, with the aim to foster sustainability. This report analyses these AWF sanitation projects along what can be called the "Five building blocks of sustainability": fostering demand for sanitation products and services (including for faecal sludge reuse products), developing service providers capacity, facilitating access to finance for latrines users and service providers, developing a business approach to sanitation services and strengthening municipal institutions. Relevance for Ghana: High. This report provides concrete examples of potential strategies to increase access to sanitation services, including through private sector participation. It provides innovative models, which are being tested across sub-saharan Africa, with two examples from Ghana. 16. Designing effective contracts for small-scale service providers in urban water and sanitation, WSUP and BDP, Available online at Description: This paper draws on the experience of WSUP, a UK-based NGO, to illustrate ways of dealing with the challenges that arise when developing contracts with small service providers in the urban setting. It gives practical guidance on how to make contracts of this type more effective and more enforceable. Relevance for Ghana: Medium. This document presents the advantages and disadvantages of formalising relations between municipalities and small-scale service providers. It also gives broad guidelines for drafting effective contracts. It may lack of practical examples of the type of contracts that are particularly effective for sanitation services. 17. Guidelines for Community-Led Urban Environmental Sanitation Planning (CLUES), Eawag, UN-Habitat and WSSCC, Available online at Description: The Community-Led Urban Environmental Sanitation (CLUES) is an approach for the planning and implementation of environmental sanitation infrastructure and services in disenfranchised urban and peri-urban communities. The approach is based on a consultation process for communities to identify demand for sanitation services and tailor services. Relevance for Ghana: High. This is a very practical guide and takes the user through a step-by-step approach: from initiating the consultation process with the communities, promoting demand, prioritise interventions, identifying service options, developing an action plan and implementing it. 18. Understand your system, SSWM toolkit, Andreas Pain, Available online at Description: This toolkit is designed to present the environmental implications of water and sanitation systems. Relevance for Ghana: Medium. Studies on environmental implication of sanitation solutions focused on the poor are piece-meal and not comprehensive. In this context the SSWM toolkit can provide a basic understanding of how to design sanitation systems benefiting the poor, while taking into account environmental impacts 19. Financing on-site sanitation for the poor, Trémolet S. et al., WSP, Available online at Description: This study aims to improve understanding of the finance of on-site household sanitation analysis of practical field experience in a wide range of government-led projects. This study offers
5 better guidance on how to develop on-site sanitation projects and programmes and, more particularly, how can public finance be used to increase access to sanitation (via on-site technologies) in an effective and efficient manner. Questions addressed in the study include: how much does provision of access to on-site sanitation cost, that is, once all costs (hardware and software) are taken into account? Do the type and scale of sanitation subsidy affect provision and uptake? How can the public sector most effectively support household investment in on-site sanitation? Should it be via investment in demand stimulation, subsidies to households or suppliers, by support to credit schemes, or by other means? Should hardware subsidies be provided or should public spending be focused on promoting demand or supporting the supply side of the market? What innovative mechanisms (such as credit or revolving funds) can be used to promote household sanitation financing? Relevance for Ghana: High. Through examples of 10 programmes implemented throughout the world, the study identifies how to maximise the use of public funds, including how to target interventions so as to make the best use of public funds. This is particularly relevant in the context of Ghana where public funds will be needed to scale-up sanitation, but will also be limited. The study does not adopt a stance for or against subsidies, but rather identifies where subsidies could be needed and how to leverage additional funds, such as from households. 20. Public funding for sanitation: the many faces of sanitation subsidies, B. Evans and A. Peal, 2009, WSSCC. Available online at Description: Financing sanitation requires the mobilisation of public as well as private funds. How to make the best use of public funds, and how can subsidies be targeted so that the poorest also benefit? The paper consolidates the thinking around the use of public funds for sanitation, at all stages of the sanitation value chain, for software activities (e.g. sanitation promotion) to financing infrastructure. Relevance for Ghana: High. Excellent analysis of potential use of public funds for sanitation, with discussion on the benefits and potential drawbacks from using subsidies to finance sanitation services. 21. Costing investments in sanitation, Trémolet Consulting (unpublished) Description: This brief provides guidance on the main costs related to the improvement of sanitation services. It stresses the need to consider capital investments, as well as operations and maintenance activities and heavy repairs. Relevance for Ghana: High. The costing approach developed in this brief is based on the WASHcost approach ( In addition to costs related to infrastructure ( hardware ) the brief identifies costs related to software activities. 22. Public funds for sanitation programme activities, Trémolet Consulting (unpublished) Description: This brief details potential activities to be financed as part of a sanitation programme. The brief considers activities that can are necessary for both onsite and offsite solutions, as well as both hardware and software activities to support the development of sanitation services. Relevance for Ghana: High. This brief provides a menu of options on how to use public funds for sanitation and could be used upstream of the investment planning to identify solutions and activities that could be implemented. The ultimate choice of activities will depend on the available funds and the optimum strategy to extend sanitation services to poor and peri-urban areas. 23. WASHCost, IRC. Available online at Description: WASHCost is a methodology for calculating the costs of water and sanitation services. The document is mainly destined to inform investments in non-networked solutions (e.g. onsite sanitation) and highlights the need to consider operations and maintenance costs, as well as costs related to heavy repairs, in addition to initial capital investments, in order to ensure sustainability. Relevance for Ghana: High. The tool is useful to highlight critical costing areas in order to mobilise financing for the whole life-cycle costs. The tool will likely need to be adapted to be applicable to networked solutions. 24. Financing sources and instruments for urban sanitation, Trémolet Consulting (unpublished). Description: This brief presents key financing sources for sanitation, including the tariffs, taxes and transfers. The brief also presents instruments to increase cash flows through these sources (e.g.
6 sanitation surcharges, tariffs from faecal sludge reuse, etc.) as well as market-based financing instruments (loans, municipal bonds, etc.) Relevance for Ghana: Medium. This brief is useful to identify all key sources of finance for sanitation and potential innovative instruments MMDAs should explore. Tapping on these innovative sources of finance would help unlock greatly needed funding for sanitation. However, some od the instruments presented may not be applicable to local governance financing in Ghana. In addition, some instruments, such as municipal bonds, would require MMDAs to strengthen their tax receipts, through a reform process that could span over a lengthy period of time. 25. Embedding access to finance in sanitation programmes: a step-by-step approach, Mansour G. and Trémolet S., SHARE Available online at Description: This report, prepared following a request from WaterAid, presents a step-by-step approach for embedding microfinance in sanitation programmes. Although focused on what can be done from an NGO perspective, recommendations are also relevant for local governments. The report follows the following four steps: understanding demand for microfinance for sanitation; understanding the supply side (e.g. who is supplying microfinance services?); analysing market failures and identify possible interventions and identify appropriate support for the market. Relevance for Ghana: High. This step-by-step approach combines a presentation of the key issues behind the need to consider microfinance as a source of finance, with practical guidance on how to effectively leverage the potential of microfinance based on solid market understanding. 26. WASH microfinance toolkits, Water.org. Available at Description: Water.org is an USA-based NGO, which has pioneered and developed an approach to develop microfinance for water and sanitation. This toolkit was produced based on learning from Water.org s activities in Asia and Africa. It is destined to support microfinance institutions (MFIs) and their partners (local government, international organisations) in tailoring microfinance products to water and sanitation (including water tanks and latrines). Relevance for Ghana: High. The toolkit is mostly designed based on one approach to develop microfinance for sanitation, through capacity building of MFIs and their staff so that they can take on WASH products. The toolkit is useful to understand this approach for reaching out to MFIs and what interests such institutions can find in getting involved in sanitation. 27. Metadata on Suggested Indicators for Global Monitoring of the Sustainable Development Goal 6 on Water and Sanitation, UN-Water, Available online at Description: This document presents the current thinking around indicators for measuring progress towards the SDGs for water and sanitation. Although the proposed indicators are not yet finalised, they provide guidance as to what indicators should be used to monitor sanitation services. Relevance for Ghana: Medium. This document is work in progress and a finalized set of indicators still needs to be approved by the UN.