Approaches for Getting Households to Connect to Sewerage Networks A Product of the Water Global Practice Ruth Kennedy-Walker, Nishtha Mehta, Seema Thomas, and Martin Gambrill About the Water Global Practice About GWSP Launched in 2014, the World Bank Group’s Water Global This publication received the support of the Global Practice brings together financing, knowledge, and Water Security & Sanitation Partnership (GWSP). GWSP implementation in one platform. By combining the Bank’s is a multidonor trust fund administered by the World global knowledge with country investments, this model Bank’s Water Global Practice and supported by Austria’s generates more firepower for transformational solutions Federal Ministry of Finance, the Bill & Melinda Gates to help countries grow sustainably. Foundation, Denmark’s Ministry of Foreign Affairs, the Netherlands’ Ministry of Foreign Affairs, the Swedish Visit us at www.worldbank.org/water International Development Cooperation Agency, Follow us on Twitter at @WorldBankWater Switzerland’s State Secretariat for Economic Affairs, the Swiss Agency for Development and Cooperation, and About CWIS the U.S. Agency for International Development. The World Bank’s Water Global Practice, together with Visit us at www.worldbank.org/gwsp other sector development partners, have developed Follow us on Twitter #gwsp and advanced an approach to tackling urban sanitation challenges termed Citywide Inclusive Sanitation. CWIS looks to shift the urban sanitation paradigm to focus on the whole sanitation service chain while aiming to ensure everyone, and especially the poor, has access to safely managed sanitation by promoting a range of solutions— both onsite and sewered, centralized or decentralized— tailored to the realities of the world’s burgeoning cities. CWIS focuses on service provision and its enabling environment, rather than on just building infrastructure. To learn more visit https://www.worldbank.org/cwis. Approaches for Getting Households to Connect to Sewerage Networks Ruth Kennedy-Walker, Nishtha Mehta, Seema Thomas, and Martin Gambrill ©2020 International Bank for Reconstruction and Development. The World Bank 1818 H Street NW, Washington, DC 20433 Telephone: 202-473-1000; Internet: www.worldbank.org This work is a product of the staff of The World Bank with external contributions. The findings, interpretations, and conclusions expressed in this work do not necessarily reflect the views of The World Bank, its Board of Executive Directors, or the governments they represent. The World Bank does not guarantee the accuracy of the data included in this work. The boundaries, colors, denominations, and other information shown on any map in this work do not imply any judgment on the part of The World Bank concerning the legal status of any territory or the endorsement or acceptance of such boundaries. The material in this work is subject to copyright. Because The World Bank encourages dissemination of its knowledge, this work may be reproduced, in whole or in part, for noncommercial purposes as long as full attribution to this work is given. Please cite the work as follows: Kennedy-Walker, Ruth, Nishtha Mehta, Seema Thomas, and Martin Gambrill. 2020. “Connecting the Unconnected: Approaches for Getting Households to Connect to Sewerage Networks.” World Bank, Washington, DC. Any queries on rights and licenses, including subsidiary rights, should be addressed to World Bank Publications, The World Bank Group, 1818 H Street NW, Washington, DC 20433, USA; telephone: 202-473-1000; fax: 202-522-2625; e-mail: pubrights@worldbank.org. Design and layout: kngraphicdesign.com Connecting the Unconnected Contents Contents Abbreviations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .VI Executive Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .VIII Chapter 1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 01 Chapter 2. Context . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 04 Chapter 3. Assessing the Current Situation . . . . . . . . . . . . . 10 Chapter 4. Planning and Designing the Intervention . . . . . 27 Chapter 5. Implementation . . . . . . . . . . . . . . . . . . . . . . . . . . . 52 Chapter 6. Monitoring and Evaluation . . . . . . . . . . . . . . . . . 66 Chapter 7. Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72 Appendix A. Theory of Change . . . . . . . . . . . . . . . . . . . . . . . . 76 Appendix B. List of Case Studies Reviewed . . . . . . . . . . . . . 78 Appendix C. Case Studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81 Bibliography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126 Acknowledgments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 128 Contents Connecting the Unconnected Contents Figures ES.1 Household Sewerage Connection Detail . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . IX ES.2 Defining Typologies of Household Sewerage Connections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . X 1.1 Steps Required for, and Key Dimensions of, a Household Sewerage Connection Program . . . . . . . . . . . . . . . . . . . 03 IV 3.1 Aligning Institutions and Incentives for Sustainable Service Delivery . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20 3.2 Defining Typologies of Sewerage Connections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 3.3 Household Sewerage Connection Detail . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 3.4 Schematic of Separate Wastewater Sewerage System and Stormwater System . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26 3.5 Schematic of Standalone and Clustered Household Connections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26 7. 1 Process to Connect the Unconnected . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73 C.1 Evolutionary Implementation Design in Espírito Santo, Brazil . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84 C.2 Percentage of People Covered and Connected to the Sewer Network in GVMR, 2012–16 . . . . . . . . . . . . . . . . . . . 85 C.3 Connections Made by the “Se Liga Na Rede” Program between 2012-20 (São Paulo, Brazil) . . . . . . . . . . . . . . . . 89 C.4 Overview of the Program Cycle (in São Paulo, Brazil) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90 C.5 Elements of the Connection Expansion Program, Guayaquil, Ecuador . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 99 C.6 Social Intervention Model in Guayaquil, Ecuador . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100 C.7 State Administration Arrangements for Urban Areas in Tamil Nadu . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105 C.8 Project Funds Flow (Nairobi, Kenya) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110 C.9 Institutional Setup for Sewerage in Manila, Philippines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 1 5 Contents Connecting the Unconnected Contents Tables 2.1 Steps Required for a Sewerage Connection Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 06 2.2 Road Map for Connecting the Unconnected . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 08 3.1 Reasons for Connecting (or Not) to the Sewerage Network . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 2 3.2 Behavior Diagnostic Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 3 V 4.1 The “5 Ps” of a Marketing Strategy to Consider for Sewerage Connections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29 6.1 Example Results Framework and M&E Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68 C.1 Typical Sewerage Connection Fees and Plumbing Costs for Tamil Nadu, India . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106 Maps 2.1 Espírito Santo, Brazil . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83 C.2 São Paulo, Brazil . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88 C.3 Colombia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93 C.4 Guayaquil, Ecuador . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97 C.5 Tamil Nadu, India . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103 C.6 Nairobi, Kenya . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109 C.7 Metro Manila, Philippines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 1 4 C.8 Salvador, Brazil . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119 Contents Connecting the Unconnected Abbreviations Abbreviations AMRUT Atal Mission for Rejuvenation and Urban Transformation Caesb Companhia de Saneamento Ambiental do Distrito Federal CAPEX Capital expenditures CBOs Community-based organizations CEM Contribucion Especial de Mejoramiento VI CESAN Companhia Espírito Santense de Saneamento CMA Commissionerate of Municipal Administration CMWSSB Chennai Metropolitan Water Supply and Sewerage Board CWIS Citywide Inclusive Sanitation EIB European Investment Bank EMAPAG-EP Empresa Municipal de Agua Potable y Alcantarillado de Guayaquil ES Espírito Santo ESCALSA Espírito Santo Centrais Elétricas S. A FOCAUP Community Fund for the Sanitation of the Poor Urban Area GIS Geographic information system GIZ German Agency for International Cooperation GoE Government of Ecuador GoI Government of India GoTN Government of Tamil Nadu GPOBA Global Partnership on Output-Based Aid GPRBA Global Partnership for Results-Based Approaches GVMR Greater Vitória Metropolitan Region IDB Inter-American Development Bank IDT Institutional diagnostic tool IPVS Paulista Social Vulnerability Index JNNURM Jawaharlal Nehru Urban Renewal Mission KII Key Informant Interviews LWSC Lusaka Water and Sanitation Company MA & WS Municipal Administration and Water Supply M&E Monitoring and evaluation MVCT Ministry of Housing, City, and Territory (Ministerio de Vivienda, Ciudad y Territorio) NMCG National Mission for Clean Ganga NCWSC Nairobi City Water and Sewerage Company Abbreviations Connecting the Unconnected Abbreviations NGOs Nongovernmental organizations NRCP National River Conservation Plan OBA Output-based aid OECD Organisation for Economic Co-operation and Development O&M Operation & maintenance OPEX Operating expenditures VII PDA Departmental Water Plans PIR Policy, institutions, and regulation PPP Public-private partnership PRRC Pasig River Rehabilitation Commission RBA Results-based approach RBF Results-based financing Sabesp Companhia de Saneamento Básico do Estado de São Paulo SBM Swachh Bharat Mission SDGs Sustainable Development Goals SENAGUA National Water Secretariat of Ecuador (la Secretaría Nacional del Agua-SENAGUA) SFD Fecal waste flow diagram SSIs Semi-structured interviews SSPD Superintendent of public utilities STP Sewerage treatment plant TA Technical assistance TNUDF Tamil Nadu Urban Development Fund TNUDP III Third Tamil Nadu Urban Development Project TORs Terms of reference TUFIDCO Tamil Nadu Urban Finance and Infrastructure Development Corporation TWAD Tamil Nadu Water Supply and Drainage ULBs Urban local bodies UIDSSMT Urban Infrastructure Development Scheme for Small and Medium Towns WaSSIP Water and Sanitation Services Improvement Project WSP Water and Sanitation Program WSS Water supply and sanitation WWTP Wastewater treatment plant ZEIS Zones of Special Social Interest Abbreviations Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks Executive Summary Cities and towns in low- and middle-income countries tend to grow rapidly, and they struggle to maximize the number of households provided with safely managed sanitation services, as defined by the Sustainable Development Goals (SDGs). This situation results in negative public health and environmental effects not only in the most vulnerable communities but also across VIII urban agglomerations. >> Executive Summary Connecting the Unconnected Executive Summary Providing sanitation services helps governments deliver revenues. Several reasons exist as to why households fail on their commitment to SDG 6.2: achieving access to to connect to existing networks. Fortunately, successful adequate and equitable sanitation and hygiene for all by programs around the world have tackled this challenge and, 2030.1 In cities with existing sewerage networks, we often through a mix of responses, have managed to connect the find many households not connected to networks even unconnected.2 This guide documents those experiences when they pass in front of their houses. to help planners, engineers, decision makers, and other stakeholders navigate the process of increasing household In addition to negative public health and environmental connections to sewers. It also incorporates examples effects, low sewerage connection rates mean that the of condominial and simplified sewerage programs. The wastewater treatment plants (WWTPs) to which the sewers guidance and issues pertain to both conventional and should discharge are underutilized. This situation adversely nonconventional sewerage approaches. affects the performance of treatment facilities, both from an operational and a financial perspective, reducing plants The guide defines a sewerage network as a system of efficiency and returns on investments. For sanitation sewer pipes, also called sewerage, and encompassing service providers, low household connection rates to household connections. The blackwater and graywater sewers comes at a great cost, affecting their bottom lines, generated in the household combine to form wastewater, their financial sustainability, and their operational efficiency which is discharged via the household connection to the and ultimately creating a vicious cycle both financially public sewer. Blackwater comprises human excreta (feces and operationally because of lower-than-expected and urine) and flush water from the toilet; graywater IX figure ES. 1 / Household Sewerage Connection Detail ____________________________________________ ____________________________________________ Executive Summary 1 The specific sanitation target is indicator 6.2.1, “Proportion of population using 2 For more information, please watch the video Citywide Inclusive Sanitation: safely managed sanitation services, including a handwashing facility with soap and Connecting the Unconnected https://www.youtube.com/watch?v=67cDZWbW_ water.” It tracks the proportion of people using an improved sanitation facility that vc&t=39s (available in English with subtitles in French and Spanish). is not shared with other households and where the excreta produced is treated and disposed in situ, stored temporarily, and then emptied and transported to treatment off-site, or transported through a sewer with wastewater and then treated off-site. Improved sanitation facilities include flush/pour flush to piped sewerage system, septic tanks, or pit latrines; ventilated improved pit latrines, composting toilets, or pit latrines with slabs. (https://www.sdg6monitoring.org/indicator-621/) Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks consists of drainage water from the kitchen, laundry, While not intended to be exhaustive, this guide provides an and bathing facilities. Sewer pipes collect household overview of key considerations for developing a sewerage wastewater and deliver it by gravity or via pumping connection program for either existing sewers or for new stations to treatment. The definition of household sewerage projects. For each stage of the project cycle, the connections used in this guide consists of two parts: guide unpacks key dimensions of a sewerage connection the sewerage connection from the public sewer to the program, namely the social; financial; policy, institutions, and inspection chamber (which is usually the service provider’s regulation (PIR); and technical aspects. The guide reviews domain and responsibility) and the pipework from the a selection of successful and less successful programs inspection chamber up to, and sometimes including, the from cities across the globe to identify ingredients that internal plumbing of the household (which is usually the can help maximize connections to sewers, including those responsibility of the household). See figure ES.1. for lowincome consumers, while drawing on the principles of the Citywide Inclusive Sanitation (CWIS) approach.3 All This guide can help those involved in designing and of the dimensions are critical, but the primary takeaway implementing sewerage programs to think about highlights the importance of community engagement— household connections and figure out how to achieve from inception through operation and management—thus them, whether retroactively after installation of a sewerage underscoring the importance of the social dimension network or proactively during conception of a sewerage when undertaking the assessments, the designs, and the project so that household connections are part of the implementation of sewerage connection programs. project concept from the outset. The guide defines the X different typologies of connection (see figure ES.2) to allow for a better understanding of current situations and of technical and customer-related issues that need to be addressed to increase household connections. figure ES. 2 / Defining Typologies of Household Sewerage Connections Executive Summary ____________________________________________ 3 The concept of Citywide Inclusive Sanitation is described in more detail in the Citywide Sanitation Approach section. Chapter 1 Introduction Introduction Objectives, Definitions, and Audience Efforts to provide urban sanitation services should 01 develop from a range of technical solutions to help ensure that everyone can access safely managed sanitation encompassing both onsite sanitation and management of fecal sludge, sewerage systems, and wastewater. >> Introduction Chapter 1 Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks To achieve the full health and environmental benefits of The guide documents these experiences to help planners, safely managed sanitation, all households must have access engineers, decision makers, and other stakeholders to these services. One of the many urban challenges in low- navigate the process of increasing household connections and middle-income countries centers on how to increase to sewers. It incorporates examples of condominial the number of households that connect to sewerage and simplified sewerage programs, and the guidance networks. This guide focuses on getting households to and discussion pertain to both conventional and 02 connect to sewers; the outlined approach also applies to nonconventional sewerage approaches. We recommend businesses, industries, and other nondomestic customers using this guide when adequate assessments have that discharge wastewater directly to the environment. concluded that sewers are appropriate solutions for the city, town, or neighborhood in question, a principle As defined in this guide, a household connection comprises espoused by the CWIS approach. two parts: the sewerage connection from the public sewer to the inspection chamber (which is usually the service The Citywide Inclusive Sanitation Approach provider’s domain or responsibility) and the pipework from The World Bank Water Global Practice and its sector the inspection chamber up to, and sometimes including, partners 5 have developed an approach to tackling urban the internal plumbing of the household (which is usually sanitation challenges called CWIS. This comprehensive considered the household’s responsibility). See figure ES.1. approach aims to shift the paradigm of urban sanitation interventions by promoting a range of technical solutions The guide identifies key issues that require that help ensure everyone has access to safely managed consideration and processes to be adopted when doing sanitation. The CWIS approach is achieved by promoting the following: a range of technical solutions—both onsite and sewers, » Planning, designing, and implementing programs that centralized or decentralized—which are tailored to the focus on maximizing household connections to new or dynamics of the world’s burgeoning cities and their expanded sewerage networks. The guide refers to these large pockets of informality, by integrating financial, efforts as proactive sewerage connection programs. institutional, regulatory, and social dimensions, by » Undertaking postinvestment activities to ensure supporting cities which demonstrate political will and that all households connect to existing sewerage technical and managerial leadership, and by harmonizing networks—herein referred to as retroactive sewerage the sanitation solutions in line with related urban connection programs. services, such as water supply, drainage, and solid Households fail to connect to existing networks for several waste management. CWIS strives to integrate financial, reasons, but successful programs around the world have institutional, regulatory, and social dimensions, asking tackled this challenge and managed to connect the that cities demonstrate political will, and technical and managerial leadership, to identify new and creative ways of Introduction unconnected.4 This guide draws on these experiences in cities and towns in low- and middle-income countries providing sanitation services for all. and on the principles of the Citywide Inclusive Sanitation As part of the implementation of these principles, the (CWIS) approach. We also have found lessons to draw on World Bank is developing a suite of tools and other material and consider in countries belonging to the Organisation to support the World Bank teams,6 their government for Economic Co-operation and Development (OECD); counterparts, and their development partners when in these countries, urban sewerage systems traditionally engaging in CWIS initiatives for the planning, design, and have developed through public funding and have implementation of urban sanitation projects. mandated household participation (Hall and Emanuele 2008; OECD 2009). ____________________________________________ ____________________________________________ Chapter 1 4 For more information, please watch the video Citywide Inclusive Sanitation: 5 The Bill & Melinda Gates Foundation, Emory University, Plan International, University Connecting the Unconnected https://www.youtube.com/watch?v=67cDZWbW_ of Leeds, and WaterAid. vc&t=39s (available in English with subtitles in French and Spanish). 6 For more information, please visit the Citywide Inclusive Sanitation website https://www.worldbank.org/en/topic/sanitation/brief/citywide-inclusive-sanitation. Chapter 1 Introduction Structure of the Guide This guide first lays out the primary concepts and definitions The key dimensions are not exhaustive; they provide used in household sewerage connection programs. It next the reader with a multifaceted and systematic approach shares essential steps for designing and implementing for making informed decisions to help develop and such programs (that is, for spurring household connections implement programs for creating additional household to new sewerage networks and for retroactively getting sewerage connections. The guide does not aim to households to connect to existing networks), based on a be prescriptive; rather, it raises critical questions and review of successful and less-than-successful programs provides illustrative examples throughout the four cyclical 03 from around the world. The guide focuses on the key stages of a typical sewerage connection program, that stages in a typical project cycle (figure 1.1) and uses four is, assessing, planning and designing, implementing, and key dimensions—social; financial; policy, institutions, and monitoring and evaluation. regulation (PIR); and technical—to outline the fundamental considerations that service providers should make at   each stage of the project cycle. Finally, the case studies reviewed for this guide appear in more detail in appendix C. figure 1. 1 / Steps Required for, and Key Dimensions of, a Household Sewerage Connection Program Assessing the Situation KEY DIMENSIONS : Introduction Social Financial PIR Technical Monitoring Planning the and Evaluation Intervention Implementing the Intervention Chapter 1 Note: PIR = policy, institutions, and regulation. Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks Context Significance In the twentieth century, cities around the world built and expanded conventional sewerage networks. During the first two decades of the twenty-first century, 04 condominial sewers and other types of “simplified,” or “nonconventional,” sewers have emerged as alternative approaches. They tend to use smaller bore sewers constructed at shallower depths (and on flatter gradients) with optimized layouts, resulting in lower capital costs. >> Context Chapter 2 Chapter 2 Context __________________________________________________________________________ __________________________________________________________________________ 05 For some of them—notably, ”condominial sewerage” Methodology projects—neighborhood and household participation is This guide draws on a desk review of household sewerage a central element of the intervention. Construction and connection programs in four regions of the world. Table 2.1 expansion of sewers come with a high price tag ideally summarizes the steps commonly followed in a household offset by benefits to public health and to the environment sewerage connection program. Table 2.2 provides the and by benefits associated with collecting and treating road map of questions used to create the case studies wastewater. Consequently, when households pass up and to develop themes for the guide. Appendix B gives opportunities to connect to a sewerage network, they highlights of the case studies reviewed,8 and appendix inadvertently trigger several negative effects: 7 C provides overviews of and detailed information on » They do not receive anticipated returns on their selected case studies. investments. » Associated wastewater treatment plants are underused, Limitations a situation that may lead treatment facilities to perform Through this guide, we want to share good practices, poorly, both in operational and financial terms. lessons learned, and recommendations based on our desk » Residents do not maximize the health and convenience review of programs. The compendium is not exhaustive, nor benefits associated with sewerage connections. is it intended to be. The reader should not feel limited to » The immediate area as well as surrounding areas do not the suggested approaches. The intent of the document is accrue the environmental and health benefits associated to provide insights and potential approaches for increasing with collection of wastewater. connections to sewerage networks. However, the reader » Service providers do not have as much interest in further should be mindful of the variability of contexts and the Context expanding sewerage networks. interpretation of different aspects and recommended approaches explored herein. Chapter 2 ____________________________________________ ____________________________________________ 7 Drawn from the sample of reasons given by households to not connect as 8 Arab Republic of Egypt, Bolivia; Brazil; Cameroon; Colombia; Ecuador; India; identified in the case studies and as further detailed in table 3.1. Indonesia; Kenya; Morocco; Nicaragua; Paraguay; the Philippines; Peru; Senegal; South Africa; Tanzania; Vietnam; and Zambia. table 2. 1 Steps Required for a Household Sewerage Connection Program 06 __________________________________________________________________________ __________________________________________________________________________ 1 2 Assess the Current Situation      Plan and Design the Intervention    __________________________________________________________________________ __________________________________________________________________________ Social Design Social assessment of potential customers to develop Design a marketing plan and strategy for implementation behavioral categories. Analysts study current sanitation that considers people, place, price, product, and promotion. practices of residents and their attitudes toward sanitation. What are their sanitation habits? What drives their Financial Prepare a financial model for the sewerage connection behavior? Are they willing to pay for sewage services? program that considers costs and implications of different Financial levels of connection rates. Update the model regularly. Financial assessment of existing sanitation services. It should help set tariffs and appropriate connecton Context Analysts study funding sources and look for gaps in fees, allow implementers to explore funding sources and funding. What is the cost to the municipality or service financing mechanisms, consider subsidies, and assess provider? Is the service economically viable? What is the financial viability of the planned program. cost-benefit ratio? Policy, Insitutions, and Regulation Policy, Insitutions, and Regulation Use PIR assessment to design program activities that Policy, insitutions, and regulation assessment to map and address identified challenges. evaluate institutions and stakeholders in the WSS sector/ sewerage connection program. Researchers identify Technical Use findings from the technical assessment to identify problems to the extent possible and determine “entry potential areas for connections and to design technical points,” places in the system where sustainable changes requirements of the sewerage connection program. can occur. Technical Technical assessment to establish the status of sanitation Chapter 2 service delivery and to determine the technical needs and requirements of a sewer connection program. 07 __________________________________________________________________________ __________________________________________________________________________ 3 4 Implement the Intervention Monitor and Evaluate     __________________________________________________________________________ __________________________________________________________________________ Pilot the intervention. Creation and use of a robust M&E system at all stages of the program. The system should have specific and well- Social targeted results indicators, theory of change, and data- Develop effective social engagement through capturing capability. communication efforts, capacity-building partnerships, behaviors, management of expectations, and monitoring. Maintain flexibility, a key component of effective social engagement. Context Financial Ensure effective financial management of program. Indicators include well-managed funds, subsidies that reach the target population, and funds to maintain quality and data and monitoring. Policy, Insitutions, and Regulation Ensure effective PIR environment as determined by financial resources, capacity, consensus, policy program, implemeneting entities, political economy and governance structures, behaviors, and data and monitoring. Technical Ensure effective technical implementation as determined by successful results, operation and maintenance, Chapter 2 communication, robust solutions, quality assurance, availability of delivery of complementary services, Note: M&E = monitoring and evaluation; PIR = policy, institutions, and regulation; capacity, and data and monitoring. WSS = water supply and sanitation. table 2. 2 Road Map for Connecting the Unconnected for Existing or Planned Sewerage Connection Programs 1 2 Assessing    Planning and Design    1. Outline and clarify the current sanitation situation. Identify the intervention based on psychological 2. Identify gaps and challenges in sanitation services. and behavioral insights versus financial incentives 3. Understand how the current situation could affect or regulations while weighing its simplicity, cost 08 the success of a sewerage connection program. effectiveness, and scalability. __________________________________________________________________________ __________________________________________________________________________ Social » Prepare sanitation marketing plan based on the “5 Ps » Assess customer behaviors. assessment” (price, promotion, people, procedure, » Segment customers by behavior. product). » Document current sanitation practices of potential customers. Financial » Prepare a financial model for the sewerage connection » Identify drivers of behavior. » Build trust with communities. program that considers costs and implications of different levels of connection rates. Financial » Explore financing mechanisms. » Review existing financial framework. » Compare relative costs of investments. » Assess how sanitation is funded. » Identify gaps, constraints, and issues Policy, Insitutions, and Regulation » Propose relevant organizational changes to incumbent » Develop relative costs for comparison. service providers. Policy, Insitutions, and Regulation » Develop cost plans for the sewerage connection » Map stakeholders. program and terms of reference (TORs) for various » Assess capacity of local service provider. contractors and vendors. » Map all formal and informal service providers and » Develop M&E framework. sanitation service users. » Propose relevant legal, policy, regulatory, and Context » Assess current regulatory framework. organizational changes, and draft necessary decrees and » Assess any existing city master plans or ongoing regulatory measures to implement any changes. planning processes. » Draft relevant documents for licenses, leases, and all other government-related requirements. Technical » Review all existing or potential sanitation plans. Technical » Estimate current and projected quantities of wastewater. » Identify technical requirements for sewerage connections » Document characteristics of the current (or planned) as indicated by physical environment, availability of sewerage system. supplies, affordability, and available technical capacities. » Assess relevant complementary urban services. » Identify appropriate sewerage connections based on » Review interventions in comparable cities. field realities. » Estimate the demand. » Identify and map the existing network. » Estimate the capital and operation and maintenance costs of new connections. Chapter 2 » Develop implementation plan. » Draft TORs, works bidding documents, and so on as necessary for implementing connection program. 3 4 Implementing M&E and Learning    Pilot and learn Record, document, track indicators, report, and compile 09 __________________________________________________________________________ __________________________________________________________________________ Social » Continue communicating with households on program » Continue communicating with the community on key successes and challenges to ensure long-term aspects of the connection program and adapting the sustainability. program based on inputs from customers. Document » Document findings to share lessons and guide future program effectiveness. connection programs. Financial Financial » Secure funds and ensure flow of funds. » Allocate funds for evaluations. » Track and manage flow of funds. Policy, Insitutions, and Regulation Policy, Insitutions, and Regulation » Develop indicators, data collection protocols, and » Establish coordination platforms such as working groups reporting processes for the program. and multistakeholder committees. » Designate a regulator or other public authority to set and » Engage political, technical, and community stakeholders monitor targets, to benchmark performances of service and leaders to ensure that they continue to champion providers, and to publicly disclose relevant program the program. details, including results, successes and challenges, disbursements, and other relevant information. Technical » Verify achievements. Technical » Develop as-built drawings. » Conduct a summative evaluation. Context » Prepare a clear operations and maintenance plan for sewerage systems, identifying roles and responsibilities for the service provider, private partners (if any), and customers. » Do postconstruction recordkeeping. Chapter 2 Note: M&E = monitoring and evaluation; PIR = policy, institutions, and regulation; O&M = operation and maintenance. Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks STAGE I Assessing the Current Situation Before embarking on a sewerage connection program, the implementation entity should conduct a multidimensional assessment of four key dimensions, shown here: >> 10 Assessing the Current Situation Stage 1 Chapter 3 Chapter 3 Assessing the Current Situation SOCIAL __________________________________________________________________________ __________________________________________________________________________ The 4 Dimensions of Assessment Key Objectives of Social Assessment 1 Social 1 To assess potential customers and to segment them 2 Financial into behavioral categories and identities. This helps 3 Policy, Institutions and Regulation service providers assess and understand drivers of 11 4 Technical customers’ decision-making processes. Led by the implementation entity (that is, the service 2 To assess customers’ current sanitation practices and provider), the assessment should involve the local and behaviors. Service providers also assess customer national stakeholders, as appropriate. It will seek to do attitudes toward and satisfaction with existing service the following: outline and clarify the current sanitation delivery options. situation of the entire city and of the targeted areas of 3 To assess drivers of behavior. Why do customers behave Assessing the Current Situation interest; identify gaps and challenges in sanitation service provision and determine ways to improve the situation in certain ways? Service providers determine behavioral through connections to an existing, new, or expanded drivers for all population segments, trying to figure out sewerage system; and figure out ways that the current why people do not connect to sewers. Some possible situation could undermine or enable the success of a reasons include cost, perceived poor service, disruption sewerage connection program. of household during construction, and lack of clarity on benefits of switching. 4 To assess customers’ willingness to pay for sewerage Stage 1 services. Service providers also determine the financial mechanisms and systems that each type of customer prefers. They should give special consideration to gender differences because incentives and drivers to pay may vary from men to women. 5 To assess current and previous information, material, and approaches to sanitation behavior change. Service providers focus on behavior change and sanitation marketing to promote higher sewerage connection rates. Using a social lens to assess community organization is critical to building a successful sewerage connection program. Urban residents are not a homogenous group. Thus, understanding the composition of the Chapter 3 local population is fundamental for planning tailored interventions. For example, it is critical to know if a project Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks area has a large percentage of migrants or ethnic minorities The reasons outlined in table 3.1 below provide a basis who speak a different language because this affects to design behaviorally informed policies and associated communication of the project material. Religion, caste, intervention programs. Based on lessons learned from case ethnicity, gender, age, social status, educational level (for studies, the guide later highlights specific considerations example, literacy levels), and disability status influence for assessing social situations related to sewerage people’s decisions to connect and affect strategies connection programs. The key to achieving successful and communication programs designed to increase sewerage connections lies in understanding these social connections. Post-conflict situations and other ingredients dynamics and in addressing them with care. of fragility also can make developing a connection program more complex. Table 3.1 9 summarizes possible reasons for households to connect or not to connect to sewerage networks. The greater the range and number of reasons in any given context, the greater the complexity in designing a strategy to encourage connections. table 3. 1 / Reasons for Connecting (or Not) to the Sewerage Network 12 Country Reasons for Connecting Reasons for NOT Connecting Indonesia • N/A • Cannot afford the cost over the payment period specified • Do not know what others think about the program • Are happy with current solution • Want to avoid rumors about personal wealth • Are turned off by perceived poor standards of construction Assessing the Current Situation and poor opera¬tion and maintenance of drains and sewers, a situation that causes pollution and bad odors • Want to avoid property damage caused by household connection • Are not required by government Latin America • Cleaner environment • Do not want to pay the tariff (Reasons given • More comfort, satisfaction • Lack information across cities in • Higher property value with • Lack incentives Stage 1 Bolivia, Brazil, permanent installation • Want to avoid costs associated with connection, particularly Colombia, • Contribution to local high upfront costs Ecuador, development • Are not motivated to connect by government. No enforcement Nicaragua, Peru • No risk of being fined of sanctions for not connecting and Uruguay) • Lack understanding of complex procedures associated with connection and want to avoid the high transaction costs • Consider utility or service provider inefficient Cameroon • Shame in relation to the • Reasons for not connecting were not explored in the assessment neighbors regarding current sanitation situation • Hygiene concerns Source: World Bank 2017a; pS-Eau 2003; Whittington 1997. Chapter 3 ____________________________________________ 9 It is important to note that limited academic research and documented evidence exist about connection rates of households to sewers. Chapter 3 Assessing the Current Situation __________________________________________________________________________ __________________________________________________________________________ Understand a Assess household household’s behavior, using a motivations to diagnostic process connect or not from the beginning of the project cycle __________________________________________________________________________ __________________________________________________________________________ Any “behaviorally informed” project begins with table 3.2 / Behavior Diagnostic Process understanding the diagnostic process (see table 3.2). The first step is understanding the baseline situation and defining the development objective. Next is The Vision Define the development objective. identifying stages of the current decision-making 13 process for households to connect to sewers and comparing these stages to the desired decision-making The Desired Identify a specific target behavior process in addition to assessing potential bottlenecks Behaviorial that needs to change to reach the that deter individuals and households from behaving as Change development objective. desired. The analysis involves collecting information on local knowledge and cultural practices, observing the context of specified behavior, and analyzing existing Context & Identify the stage of the current Assessing the Current Situation secondary data. Analysis and desired decision-making processes as well as potential bottlenecks that keep people from behaving in better ways. The Describe the solution to reach the Intervention development objective. Learning Pilot the solution and document Stage 1 its effectiveness. Assess both the decision-making process and the outcomes. Chapter 3 Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks __________________________________________________________________________ __________________________________________________________________________ Acknowledge consumer segmentation and tailor a program to this __________________________________________________________________________ __________________________________________________________________________ To understand critical considerations that affect Low-income consumers make decisions for different household and utility behavior, the following steps and reasons, so strategies to change behaviors should address tools can be useful for a social assessment: 10 the identified barriers, triggers, and motivators. It is also » Key informant interviews (KIIs) with executives and staff important to assess the level of trust that consumers have 14 to understand connection processes and initiatives in existing institutions and actors such as public or private and to discuss common factors that explain consumer service providers because it may greatly affect consumers’ behaviors; with social promotors and fieldworkers openness to adopting new sanitation approaches. responsible for connections and inspections to enrich Knowledge of barriers, triggers, motivators, and the level understanding of consumer regarding sewerage access of trust will inform the planning and implementation stage and payment processes; and with other relevant actors. of the sewerage connection program by helping service » Semi-structured interviews (SSIs) and focus group providers engage with customers and respond to their discussions (FGDs) with the target population, already corresponding behaviors while identifying key drivers. Assessing the Current Situation divided into such categories as those who comply, residents who default on bill payments, residents who connect illegally to the sewerage systems, and those who are not willing to connect for economic, social, or technical reasons or because of their status as tenants or landlords, among other possible explanations. Data from interviews can guide discussions. » Field visits complement information received from both Stage 1 kinds of interviews as well as from focus groups. Tracing the “consumer journey” from being an unconnected household to a connected one can help understand consumer needs and key actors involved in sanitation decision making. Interviews and focus groups increase understanding of what households currently are doing to acquire sanitation services and what barriers prevent them from connecting to existing sewerage networks or would prevent them from connecting to new sewerage systems. The following key questions can help service providers understand the consumer journey as they strive to improve or expand sewerage services: ____________________________________________ Who, specifically, are you targeting? What is the behavior 10 The Lusaka City Council (Zambia) with support from Lusaka Water and Sanitation Chapter 3 you are trying to change? What is the desired behavior? Company (LWSC) and Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ) conducted a survey of households to learn about the knowledge, attitudes, Once the desired behavior has been identified, the and practices of communities relative to sanitation and hygiene. For more context and analysis of the behavior merit consideration. information, review the survey used in peri-urban areas. Chapter 3 Assessing the Current Situation __________________________________________________________________________ __________________________________________________________________________ Build trust establishing a communication program based on knowledge gathered and past learning Z AM B I A K EN YA BR A Z I L __________________________________________________________________________ __________________________________________________________________________ Community members must value and trust the proposed ZAMBIA technology and solution for service delivery. They should In Zambia, because of a history of sewerage backups rest assured that the proposed sanitation solution is at affecting homes as a result of blockages and flooding, least equal to—and hopefully better than—their current many households were reluctant to pursue sewerage situation and that they will not experience issues with its connections (World Bank 2016a). 15 operation and maintenance (O&M) in the future. Striving KENYA to improve resilience, the design and operation plans In Kenya, ensuring a reliable water supply service, of the proposed solution should adequately consider implementing water augmentation projects, and reducing potential disaster risks (such as flooding or droughts) nonrevenue water helped to improve trust between the and deliberate interfacing with complementary services service provider and its customers, thereby improving (such as solid waste management and stormwater willingness to connect and to pay for sewerage services systems). Furthermore, communities should be confident Assessing the Current Situation (World Bank 2019b) (see appendix C: case study 6). that such aspects will not inhibit the functionality of the proposed sewerage system. Attention should be paid to BRAZIL the provider of the proposed sewerage services, especially In Salvador, Brazil, the service provider viewed efforts in communities that have long been marginalized or to involve the community as necessary because they neglected from a public service delivery perspective. wanted to overcome reluctance to connect to the Who provides the solution can be just as important as sewerage network. Once residents saw the positive what the solution is. The following examples illustrate the effects of the program during the initial stages of importance of establishing trust with communities and implementation, reluctance decreased over time (see Stage 1 learning about the importance of knowledge gathering: appendix C: case study 8). Chapter 3 Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks __________________________________________________________________________ Assess the existing financial framework for sewerage FINANCIAL service delivery KEN YA __________________________________________________________________________ __________________________________________________________________________ Key aspects of the financial assessment are defined The first step in the financial assessment is reviewing the below. In addition, the following financial aspects of existing financial framework for sewerage service delivery. sewerage service provision warrant exploration It includes the following: » Capital expenditures (CAPEX) and operating Key Definitions for Financial Assessment 16 expenditures (OPEX) » Cost-recovery mechanisms 1 Funding. The source of money to pay for something. » Payment systems, including processes, amount, 2 Financing. The means, process, and/or mechanism of frequency, collection mechanisms, financial paying (for example, a bank loan). management of payment systems, designation of who pays and who receives payments, and so on 3 Subsidy. A subset of funding flows between » Current CAPEX and OPEX costs of sanitation services governments, service providers, and customers. faced by households Assessing the Current Situation With subsidies, a user or customer pays less for a » Households’ ability and willingness to pay 11 product or service than it costs the service provider » Mechanisms for enforcing payments to produce, leaving a third party (for example, » Allocations from government, service provider, or both government, other users, future generations) for investment and operational costs. responsible for covering the difference. Subsidies may take the form of explicit financial transfers between KENYA two entities (for example, a utility and a customer) or Experience in Kenya shows that costs for sewerage implicit transfers (such as nonpayment for electricity connections varied substantially among neighboring Stage 1 or deferred maintenance) that occur when products, households. Variations related to differences in existing services, or inputs are underpriced. infrastructure. Costs for connecting to the sewer typically ran many times over the price that consumers were 4 Cross-subsidies. A pricing structure in which a group willing to pay, thus dampening demand for unsubsidized of customers is billed a tariff above the average unit sewerage connections (see appendix C: case study 6). cost of provision, while another group is billed a tariff below the average unit cost of provision. Source: World Bank 2017a, 2019a. ____________________________________________ 1 1 When households are paying for current services, the ability to pay may be estimated by comparisons to current payments and service provision. If households do not currently pay for service provision, other estimates may be Chapter 3 used, as appropriate, given the local context. 12 The Citywide Inclusive Sanitation Costing & Planning Tool is a free online platform that compares the costs (both CAPEX and OPEX) of different sanitation solutions. The tool is publicly available at https://n410.fmphost.com/fmi/ webd#CWIS%20Planning%20Tool%201_4. Chapter 3 Assessing the Current Situation __________________________________________________________________________ __________________________________________________________________________ Identify apparent Develop a financial gaps, constraints, and and economic analysis issues with the existing financial framework UR U G UAY C AM BODI A __________________________________________________________________________ __________________________________________________________________________ In additional to analyzing aspects of the financial Financial and economic analyses form a crucial part of framework, the assessment should identify key gaps, feasibility studies to assess benefits and costs of improved considerations, and constraints that affect performance. sanitation. They influence policy decisions, sanitation The review of gaps and constraints can help determine the programming, and project design. Economic and financial need for investors, use of revolving funds, use of subsidies analyses enable comparisons of costs and benefits of 17 (from government, from the service provider), and sanitation options, including sewerage, and allow decision provision of incentives for payments. makers to allocate limited resources more efficiently. Financial analyses measure costs and revenues that URUGUAY have direct and measurable financial implications, and In Uruguay, the creation of a revolving fund, as a demand- economic analyses cover all economic costs and benefits, driven solution, involved three subsidy options for the in- including the opportunity costs of the next best use of the tradomiciliary works. Socioeconomic status of households resources. In addition, analysts should consider quantifiable Assessing the Current Situation determined which of the three subsidies they received: direct benefits (for example, land value increases and » Option 1. The municipality provided technical assistance improvements in environmental conditions, water quality, (TA) to help define the technical solution and to pay for public health, and so on) and anticipated indirect benefits materials, while the household paid for the labor (with a such as an increase in attractiveness to tourists and the 25 percent upfront deposit). business community. » Option 2. The municipality provided TA to help define the The Citywide Inclusive Sanitation Costing & Planning technical solution and provides options for loans for the Tool 12 is another important resource that can quickly allow Stage 1 materials and the labor. planners and service providers to compare capital and running costs of different types of sanitation solutions » Option 3. The municipality provided TA to help define along the whole sanitation service chain at the component, the technical solution and paid for everything. system, and city levels. Nevertheless, the municipality faced legal issues regarding both formal and informal tenants. The CAMBODIA municipality stated that it took a long time to set up the A study in Cambodia indicated that only about 20 percent revolving fund program and to get it running because it of targeted households were connected to the sewerage relied on customer demand, and initially, the municipality system network. While the design scenario had estimated made no effort to advertise or communicate options to that the cost of providing an existing private latrine with customers, an approach that is now changing. The a sewerage connection at US$5,263, the actual cost for municipality has started to organize workshops to show such an intervention was found to be US$17,537, or nearly households how to undertake the intradomiciliary works 3.5 times more than had been anticipated at the design themselves. Although the municipality allows households stage (WSP 2012). Chapter 3 to undertake intradomiciliary works to encourage connections, it prefers doing this work itself to minimize future grievances from households (Brault 2018). Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks __________________________________________________________________________ PIR __________________________________________________________________________ __________________________________________________________________________ Another major consideration when designing a sewerage In 2018, the World Bank developed a PIR framework to connection program is a review of the policy, institutions, analyze how integrated PIR interventions can help align and regulation (PIR) situation (also known as the enabling incentives for more sustainable WSS service delivery environment) to determine how to implement PIR (Mumssen et al. 2018). This report and its associated 18 interventions to align incentives for delivering sustainable framework and methodology are useful additional water supply and sanitation (WSS) services and, in this references to guide this stage of the development of a case, for improving the chance for success. sewerage connection program. Figure 3.1 depicts roles and links in the enabling environment and of PIR incentives in Key Definitions of PIR Assessment driving reforms for sustainable WSS provision. Incentives 1 Policy/Policies. They provide the framework by which are motivating influences or stimuli directing stakeholders governments make decisions that guide actions to to pursue defined objectives. Assessing the Current Situation achieve specific goals. Different processes and tools The main defining principles of the PIR framework exist to create policies and implement them. Policies include the following: can promote development of underlying institutional and regulatory frameworks and engender incentives » Holistic. A holistic approach requires consideration required to deliver sustainable services. of the drivers of reforms; these drivers influence the design of institutional reforms. Holistic also describes 2 Institutions. Institutions include the rules of the game the alignment of sector-specific policy, institutional, and and the organizations and mechanisms established regulatory frameworks. to formulate policy and implement actions on the » Best-fit. In line with the principles of contingency theory, Stage 1 basis of such rules, which reflect agreed-on principles the PIR framework promotes contextualized solutions to established through political or social processes or both. local WSS and PIR realities. There is no one-size-fits-all They assign roles (or functions) to either organizations approach and no best-practice solution. The framework (that is, groups of people with a shared purpose) establishes areas for further assessment and exploration or institutional mechanisms (that is, institutional that can help in arriving at the most suitable context- processes for delivering specific outcomes via rules specific solutions. and organizations). The rules of the game can be either formal (for example, laws, decrees, regulations) or informal (for example, customs, social norms, established relationships, and so on). 3 Regulation. Regulation in the broad legal sense is “the sustained and focused control exercised by a public agency over activities that are valued by a community” Chapter 3 (Ogus 1994). It involves setting rules and ensuring that those rules are enforced. Source: Mumssen et al. 2018. Chapter 3 Assessing the Current Situation __________________________________________________________________________ __________________________________________________________________________ __________________________________________________________________________ __________________________________________________________________________ » Incremental. Implementing agencies are more likely The tool gathers inputs on the institutional setup and to respond positively to incentives when drastic performance in eight key clusters of the sector: reorganization and changes are not required. This » Legal framework is because major changes are more likely to lead to » Political economy, historical background, culture, and “goal conflict” between different stakeholders, and customs 19 “goal consensus” is usually highest when few changes » Human capital development are required. Therefore, incremental changes are » Roles and responsibilities across all levels of government more likely to lead to positive outcomes, so providing » Financial sustainability incentives to stakeholders already inclined to adopt » Regulation policy measures could be one approach to increase » Quality of service provision, including competition and efficiency of policy implementation. private sector participation » Civil society involvement Assessing the Current Situation A recommended first step in undertaking a PIR analysis is to explore and understand the current PIR situation Because the tool helps users gather perceptions and by employing the institutional diagnostic tool (IDT).13 experiences of different sector stakeholders, it can This tool can do the following: highlight priority areas and activities to prioritize. The » Help map and evaluate institutions and stakeholders tool is primarily diagnostic in; nature, but it is also useful in the WSS sector, including those that provider for facilitating dialogue about reform priorities and sewerage service opportunities based on the gathered information. » Pinpoint problems Based on lessons learned from case studies, specific Stage 1 » Determine “entry points” (points in the system where sustainable changes can occur) considerations for assessing the PIR situation related » Design appropriate interventions to address the to sewerage connection programs appear later in the identified challenges. document. For documenting the PIR situation, a careful assessment should study the plans made for household connections when the sewerage network was developed (in the case of existing sewerage systems) versus the actual work. Users should focus on how well incentives aligned with desired institutional behaviors to increase connections. ____________________________________________ 13 The IDT is an Excel-based tool developed by the World Bank, which guides the user Chapter 3 through a list of targeted questions designed to identify institutional gaps, identify priority areas, and provide suggested interventions to address gaps and strengthen institutions in the WSS sector. The purpose of this tool is to point out current weaknesses and gaps in the WSS sector and to tease out potential reforms and incentives needed to address them. figure 3.1 Aligning Institutions and Incentives for Sustainable Service Delivery 20 Assessing the Current Situation Stage 1 Chapter 3 Source: Mumssen et al. 2018. Note: PIR = policy, institutions, and regulation; WSS = water supply and sanitation. Chapter 3 Assessing the Current Situation __________________________________________________________________________ __________________________________________________________________________ Map all stakeholders Assess the capacity involved in providing of the service sewerage service provider B R A ZI L __________________________________________________________________________ __________________________________________________________________________ These stakeholders include the service provider; Critical aspects include links between the capacity of the government (at the national, regional, and local those who will install and operate the sewerage network levels); the formal and informal private sector; and the willingness—even the ability—of consumers nongovernmental organizations (NGOs); community- to connect. In particular, it is important to analyze the based organizations (CBOs); users; and so on. The local service provider’s capacity and effectiveness with 21 mapping should include information about stakeholders’ regard to the following: abilities to foster results and objectives in addition to » Communicating with and marketing to potential customers, their mobilization efforts, existing platforms, networks, people who may want to connect to the network and coalitions. Mapping will help identify potential » Responding to user demands partners that are well placed to contribute to the » Developing relationships with customers and service success of the sewerage connection program. providers » Providing effective service (through existing services Assessing the Current Situation and, specifically, sewerage service) » A specific assessment (including key informant interviews and focus group discussions) can shed light on these aspects in relation to the provision of sewerage services. BRAZIL In Salvador, Brazil, involved parties had to overcome the following key challenges: Stage 1 » Breaking down barriers and opposition from the utility’s engineers, who initially did not want to design unconventional solutions and who did not want to change their working methods (for example, by involving community members in defining solutions) » Training technical teams (both utility and contractor) on the condominial approach, on social mobilization requirements, and on the execution of works in extreme environments » Convincing the contractors (often the large ones) to construct condominial branches, which are closer to artisan works. They require less equipment but more intensive use of labor. » Training operation and maintenance crews to do social Chapter 3 outreach and communicate directly with residents (see appendix C: case study 8). Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks __________________________________________________________________________ Assess how successfully previous regulations have been created and enforced TECHNICAL URUGUAY PH I LI PPI N E S __________________________________________________________________________ __________________________________________________________________________ Experience shows that creation of clear regulations and The technical feasibility of the proposed sewerage enforcement of those regulations are critical factors in connection program underpins the likely success of the the success of sewerage connection programs. Therefore, program. A robust assessment of the current situation is assessing the general environment for the creation and key to designing and implementing a successful technical 22 enforcement of regulations is key to identifying possible program. A technical assessment of sanitation service challenges. For retrospective sewerage connection delivery should focus on the technical needs of and programs, the effectiveness of the existing PIR requirements for a sewerage connection program. Key environment will be key to the program’s success. objectives of the technical assessment can be found below. URUGUAY From the outset of conceiving a sewerage connection Uruguay passed a law obligating households to connect to program, it is important to clarify the primary an existing sewerage network within one year and to a new objectives of sewerage provision to determine which Assessing the Current Situation network within two years wherever the sewerage network areas of the city will receive priority for connection. passes in front of a house. However, no one consistently Questions to answer include the following: enforces the law because instabilities in the electoral » Is the program intended to reduce pollution and improve cycle of Uruguay and its municipalities can influence water quality for environmental reasons? enforcement. This situation demonstrates the necessity » Is the program intended to combat a public health issue, of considering the political economy when developing a such as a cholera outbreak? connection program (Brault 2018). » Is it intended to offer all citizens—including those living in low-income communities—universal and sustainable PHILIPPINES Stage 1 access to sanitation services, thereby upgrading their In the Philippines, strong enforcement by the Department quality of life and making social improvements? of the Environment and local governments ensures » Is the program intended to expand the customer base of compliance with mandatory sewerage connection laws the service provider and to increase associated revenues? (see appendix C: case study 7). Chapter 3 Chapter 3 Assessing the Current Situation __________________________________________________________________________ __________________________________________________________________________ KEN YA __________________________________________________________________________ __________________________________________________________________________ Key Objectives of Technical Assessment 1 To assess the current status of sanitation facilities. 4 To assess ground conditions and environmental This part of the assessment should focus on increasing factors. Examples of such factors include rocky sewerage connection by defining the functions of ground, a high groundwater table, and land-use 23 facilities, clarifying their ability to safely manage human topography. These factors may affect decisions on excreta, and delineating users’ acceptance (linked to appropriate sewerage systems and connection options. the social assessment). An assessment of existing sewerage networks, including pumping stations and 5 To assess key hygiene practices. This objective wastewater treatment plants, should occur. A fecal highlights water needs, sanitation, and related cultural waste flow diagram14 can illustrate current coverage habits that may affect preferences (such as “sitting” and the benefits that increased sewerage connection or “squatting” on toilets, practicing anal cleansing with Assessing the Current Situation could bring. water or with dry material, and so on). 2 To define the current situation, eligibility criteria, 6 To assess national and local technical capacity. What is and types of connection to households. This the capacity to support the required technical response? objective highlights either the existing typology of 7 To assess the existing standards/technical guidance connections or a menu of future connecting options, (including for O&M). To ensure that the design and aiming to identify potential areas to serve via existing, the technical approach are appropriate and tailored to new, or expanded sewers and the corresponding local conditions, the assessment must determine the connection program. (See figure 3.2.) Basic criteria to Stage 1 relevance of existing standards and technical guidance identify eligible households should be considered. with regard to implementation of sewerage systems and 3 To assess the status and management of relevant the connection program. complementary services. This objective encompasses KENYA such services as water supply, graywater management, In Kenya, organizers collected insufficient data during stormwater management, road access, and solid waste initial stages on household compound characteristics management.15 How do these services affect access to and willingness to pay, a situation that necessitated a existing and proposed sewers and the corresponding significant restructuring. This experience highlighted the connection programs? How do these services affect the need to understand granular details of the target program use, control, and sustainability of existing and proposed areas and households through high-quality data collection sewers and the corresponding connection programs? (World Bank 2019b). ____________________________________________ 14 A fecal waste flow diagram (also often described as shit flow diagram [SFD]) is a Chapter 3 tool to readily understand and communicate how excreta physically flows through a city or town. https://sfd.susana.org/ 15 Wastewater by definition includes graywater; however, in some situations households may use separate systems for blackwater and graywater, so management of these should be assessed separately. Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks Service providers may differ in their existing typologies of Inactive connections. The physical connection pipework connections, but the case studies indicate that learning is present from the interior plumbing of the household to about and reporting on the range of typologies correlate the public sewer main (via the inspection chamber), but with a better understanding of the current situation and the wastewater is not being discharged from the interior of technical and customer-related issues that need to be plumbing to the public sewer. addressed to increase household connections. As depicted in figure 3.2, at a minimum, the following typologies of Without connection. The physical connection pipework is household connection necessitate documentation if they present between the inspection chamber and the public exist in the service provider’s target area of interest: sewer, but no physical connection pipework is present between the interior plumbing of the household and the Active connections. These channel wastewater from the inspection chamber. interior plumbing of the household to the public sewer (via the inspection chamber). Feasible connection. A sewer main is in the vicinity of the boundary of the household (for example, within 60 Blocked connections. The physical connection meters), but there is no physical connection pipework pipework is present from interior plumbing of the from the main. In addition, no inspection chamber has household to the public sewerage main (via the been installed. Therefore, no connection has been made. inspection chamber), but wastewater is not flowing from the interior plumbing or from the inspection chamber to Potential connection. There is no sewer main within a 24 the main because of a blockage. reasonable distance of the household. figure 3. 2 / Defining Typologies of Household Sewerage Connections Assessing the Current Situation Stage 1 Chapter 3 Chapter 3 Assessing the Current Situation It is important to know what liquid waste is being is also important to know whether the connections are generated in the household and how the different stand-alone (that is, wastewater channeled from a single effluents from the interior of the dwelling—and, in the case household is connected to the main via the inspection of stormwater, from the building’s exterior—are currently chamber) or clustered (that is, wastewater from multiple being managed. Is blackwater, graywater, stormwater, or households connects to the public sewer via a single a combination discharged to the sewer? In addition to connection or inspection chamber) (see figure 3.5). blackwater from the toilet, graywater from the bathroom, kitchen, and laundry should ideally also be collected and For retrospective connections to existing sewers, the directed to the inspection chamber on the property’s following activities may be necessary: » Assess the integrity of the existing system (status of boundary; from this chamber, resultant wastewater is the physical infrastructure, structural integrity or rate of discharged to the sewerage main (see figure 3.3). When deterioration, rate of blockages, and O&M requirements the wastewater sewerage system exists separately from in theory and in practice). a stormwater system (separate sewerage system), the » Map out the spatial relationship between the existing household’s stormwater drainage gutters, downpipes, system and households that potentially can be connected. or both should be connected directly to the stormwater » Complete a targeted assessment of how households drainage system and not to the sewer (see figure 3.4). have been connected to date. This assessment should Another important factor to consider when designing cover the physical location of connections, the type of a program concerns the number of connections that household connections, the responsibility for undertaking 25 already exist in the target area and the number that fall connections, the technical support provided to allow into the typologies mentioned earlier in the chapter. It customers to realize their connections, and so on. figure 3. 3 / Household Sewerage Connection Detail Assessing the Current Situation Stage 1 Chapter 3 Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks figure 3. 4 / Schematic of Separate Wastewater Sewerage System and Stormwater System 26 Assessing the Current Situation figure 3. 5 / Schematic of Standalone and Clustered Household Connections Stage 1 Chapter 3 Chapter 4 Planning and Designing the Intervention STAGE 2 Planning and Designing the Intervention This stage uses the situational analysis information 27 collected during stage 1 to understand the context, identify goals, and inform the planning of the proposed sewerage connection program. The planning should include the policies, strategies, and incentives designed to maximize household sewerage connections. >> Planning and Designing Stage 2 Chapter 4 Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks 28 SOCIAL __________________________________________________________________________ __________________________________________________________________________ Stage 2 constitutes the planning and the design of At this stage, the aim is to design and plan social the proposed sewerage connection program, using interventions based on the information gathered during the four dimensions for framing it. During this stage, the assessment via interviews, focus groups, and field stakeholders can discuss the program to help define visits. The interventions should address social details and agree upon program indicators as well as expected relative to administrative and institutional arrangements as outputs and outcomes. A theory of change, results well as to technologies and service delivery (see below). framework, and monitoring and evaluation (M&E) plan These details and related issues can affect connection can also be developed to map how the program will policies and initiatives. monitor and achieve the outputs and outcomes. (For Planning and Designing the Intervention details, see appendix B and the sixth chapter, “Stage 4: Designing Social Aspects — Guiding Principles Monitoring and Evaluation.”) To design a social marketing plan and strategy for implementation. The plan can be a short reference document that includes the following: » The objective of increasing sewerage connections. » Clear roles and responsibilities of stakeholders, including government personnel and staff of the service provider plus representatives of categories of consumer groups and households » Key milestones for the program Stage 2 » The program’s projected timeline and budget » A research and monitoring plan to monitor the program’s implementation. A marketing strategy should use a “marketing mix”’ or “the 5 Ps.” Table 4.1 details elements of the 5 Ps that should be part of the marketing plan. Chapter 4 Chapter 4 Planning and Designing the Intervention » Price. The price refers to the affordability of sewerage » Place. The place element includes the physical location connections, including monetary and nonmonetary costs. for signing up for connections and payments. Examples » Promotion. The Promotion element is to target potential include households, businesses, utility offices, and the customers to inform them about the benefits of Internet (to sign up for new accounts). connecting to sewerage. » Product. The marketing plan should focus on the » People. The people element refers to the service benefits of the sewer connections to the household provider, its staff, and potential customers for sewer instead of just presenting the attributes of the sewerage 29 connections. network. This will help increase willingness to connect. Source: Devine and Kullmann 2011. table 4.1 / The “5 Ps” of a Marketing Strategy to Consider for Sewerage Connections The 5 Ps Key Points to Consider 1. Price The price refers to the affordability of sewerage connections, including the financial cost of the connection; supporting services (operation and maintenance); and intradomiciliary costs (for example, floor repair) as well as any nonmonetary costs, such as time for installation. The cost should be commensurate with the customer’s willingness and ability to pay (Pattanyak et al. 2006). Planning and Designing the Intervention 2. Promotion Promotions link households with suppliers, targeting potential customers with messages related to the availability of sewerage connections and the benefits of having them. By showing understanding of the supplier market and the customer base, effective messages can increase demand for sewerage connections. A starting point could focus on how the program will solve or improve the customer’s sanitation problems. 3. People The people element refers to service providers, their staff, and their potential customers, that is, those involved in the business of providing new sewerage connections and those targeted as possibilities for acquiring new connections. Households generally prefer easy- to-use systems, companies with readily accessible customer service agents, and service Stage 2 providers that are attentive and responsive to their needs. Happy customers will refer new households. Service providers need to offer staff members ongoing capacity building and training, including sessions that teach effective communication and outreach skills. Also, given the complexity of sewerage connection programs, the landlord-tenant dynamic merits ample consideration. For example, while focusing on necessary skills for customer service, researchers should see if staff can answer basic questions, such as the following: • How easy is it to apply for a new connection? • How convenient is the billing process? • How can customers file complaints? • How quickly does the service provider address the complaints? • How quickly does the service provider resolve blockages? (table continues on next page) Chapter 4 Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks (table 4.1 continued) 4. Point of purchase or The place element refers to how the service provider will deliver its product or service Place to customers. This might include details about the physical location (for example, the customer’s home, the service provider’s office, the contractor’s office, or the distributor’s office), for signing up, for making payments, and for undertaking the connection (this obviously takes place in the home). The following questions are relevant: 30 • Where do households go to sign up? • How do households sign up for their sewerage connections? • What are the eligibility criteria for households to receive support? • What are the procedures for getting a connection? • At what stage in the implementation of a new sewerage project is the connection done? • When do households sign up? 5. Product The marketing plan should focus on the benefits of sewerage connections to households rather than just presenting attributes of the sewerage network and related elements. Information should include products and services available for the households, ways in which the sewerage connection and related system differ from other commonly used sanitation services and highlight the value added, the branding, and the service and the O&M support provided. Service providers should rethink any understanding they might have that their products only constitute the physical connection to the sewer. For example, if the product is just seen as the act of reaching the household with the pipe, a service provider will not be taking the customer’s perspective into account when designing the product and the Planning and Designing the Intervention service. From a marketing point of view, service providers should avoid making it difficult for potential customers to access the product and service, so they should adopt a customer- centric approach to product and service design. In other words, they should think about their customers and involve them in decision making whenever possible. __________________________________________________________________________ A marketing plan that incorporates the “5 Ps” provides a general framework to include the customer perspective in a connection program. The case studies illustrate specific Stage 2 social factors to consider while designing a sewerage connection program. Chapter 4 Chapter 4 Planning and Designing the Intervention __________________________________________________________________________ __________________________________________________________________________ Understand the Develop incentives landlord-tenant for households to dynamics connect based on data 31 TANZ A N I A B R A ZI L __________________________________________________________________________ __________________________________________________________________________ The motivations of landlords and tenants require Data collected during the assessment stage via key consideration to overcome any mistrust between these informant interviews, semi-structured interviews, focus key stakeholders. groups, and field visits can boost understanding of incentives for households to connect. For example, the TANZANIA objective of pollution reduction may provide an incentive In Moshi, Tanzania, more than 90 percent of tenants to connect for households in areas greatly affected were ready to pay higher rents (23 to 57 percent or by environmental concerns. However, not all targeted more) to benefit from a household sewerage connection. households may share the same collective common goal. This would have corresponded to the increase that Peer pressure and the belief that “everyone is connecting” Planning and Designing the Intervention the landlords would have sought to cover the cost of can also be major influencing factors for driving a connection. However, in practice, most landlords and household’s willingness to connect. tenants failed to broker a deal that would have facilitated the household connections, in part because of “mistrust BRAZIL on both sides” (Mhina 2003). In Salvador, Brazil, local conditions made it particularly challenging to motivate households to connect to the new sewerage system. Most households in the affected areas already had internal sanitary installations connected to the stormwater system, contributing to the pollution observed in the Baía de Todos os Santos (Bay of All Saints). From the households’ perspective, this arrangement provided Stage 2 all the advantages of a sewerage system at zero cost. At the same time, switching to the new sewerage network entailed both monetary costs and disruption of service associated with the rerouting of plumbing from the existing sanitary installations to the sewer in addition to the subsequent ongoing obligation to pay a monthly sewerage bill. Moreover, because the resulting benefits took the form of general environmental improvements, these were not always immediately apparent to residents (see appendix C: case study 8). Chapter 4 Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks __________________________________________________________________________ __________________________________________________________________________ Communicate in an open and transparent way 32 COLOM B I A __________________________________________________________________________ __________________________________________________________________________ BRAZIL The marketing strategy and the communications plan Elsewhere in Brazil, the core of the condominial sewerage should provide comprehensive information to the target approach is community engagement, which has proven households on all relevant aspects of the connection to achieve 100 percent sewerage connections in targeted program. For example, if the program will subsidize areas. The final design of the collection networks connections, but subsidies will end when the program and condominial branches occurs in the field with the ends, it is important to communicate this information participation of all residents of each “condominium” clearly at the beginning of the program to manage (block) involved. A condominium is defined as any set of expectations, allow households to plan accordingly, contiguous lots or residences surrounded by vehicular and minimize the risk of resentment between program Planning and Designing the Intervention or pedestrian traffic routes with any urban or natural beneficiaries and service providers. element separating the condominium from other blocks COLOMBIA in the area. It is worth noting that the experience of In Colombia, subsidies differ, depending on locations the large condominial sewerage program of the federal of households. The maximum subsidy level allowed per district’s utility, Companhia de Saneamento Ambiental do household for the different areas in the country is publicly Distrito Federal (Caesb), in Brasília and the surrounding available. This transparent communication creates trust area shows that from the beginning of the process (that between service providers and customers (see appendix is, community mobilization and preliminary designs) to C: case study 3). In Espírito Santo, Brazil, the utility offers construction, completion takes an average of three years; subsidies to families registered in a pro-poor government and the preliminary design process takes roughly one program (see appendix C: case study 8). In Morocco, year (World Bank 2017a). Stage 2 subsidies were provided for households in specific areas. Levels of subsidies and how these are provided should be clearly communicated to establish trust, expedite program implementation, and minimize resentment (Chauvot de Beauchene 2009). Chapter 4 Chapter 4 Planning and Designing the Intervention __________________________________________________________________________ Communicate any cost savings FINANCIAL 33 BR A Z I L __________________________________________________________________________ __________________________________________________________________________ It is sometimes assumed that the costs of a new Designing Financial Incentives — Guiding Principles sewerage connection can compensate for the charges that a household incurs for the maintenance of its septic 1 Prepare a financial model for the sewer connection tank, but this is not systematically true. Because costs program. The financial model should cover how much are one of the decisive factors in the decision-making the scheme will cost; who will cover capital expenditures process, it is essential to use any potential cost savings (CAPEX) and operating expenses (OPEX), household for communication campaigns and social promotion fees and tariffs, utility contributions, and government activities. It is also important in this communication subsidies. The model also should consider the following: » The costs of both large and small infrastructures, to clearly differentiate between the upfront costs to Planning and Designing the Intervention cover the intervention works of the connection and the namely the wastewater treatment plants; the primary, subsequent periodic costs related to the running of the secondary, and tertiary sewers; any pumping stations; sewerage system. and household connections. » The implication of different levels of connection. BRAZIL The model should have upfront strategies to ensure In Teresina, Brazil, for instance, the World Bank found that the long-term financial sustainability of the service the costs of connection were higher than the recurrent provider, even in scenarios where connection rates costs of maintaining septic tanks (World Bank 2017a). are lower than planned or difficulties in enforcing In many countries the cost to maintain septic tanks payment are encountered. is low because they often are not properly designed, » The importance of regular updates to the financial built, or managed. For example, the septage leaks from model. This will provide the service provider with Stage 2 the structure, or it is discharged on purpose; therefore, updated information on how much would be required emptying is not required as frequently. By contrast, to support all aspects of the connection program in Senegal, sewerage connections enable beneficiary (such as the social marketing, program administration, households to save US$27 per year because they no agreed subsidy provision, and so on). longer have to pay for emptying latrines (Independent Evaluation Group [IEG] 2015). 2 Set tariffs. The tariff-setting process should align with government priorities and existing or proposed programs in the sanitation sector, and it should incorporate global lessons and good practices as far as possible. It is also important to identify which authority has tariff-setting powers, for example, a regulator or other government body, and the extent to which the tariffs are set according to appropriate technical or financial criteria. Chapter 4 Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks 3 Set appropriate connection fees. Sewerage 7 Explore financing mechanisms. Service providers connection costs can vary considerably among regions should develop a list of financing mechanisms to and countries and within cities, and they depend on implement as well as the costs to support these several variables, including the distance between options. Financing mechanisms include revolving funds, the house and the sewer and the costs of materials subsidies, loans, microfinancing, saving schemes, and labor. The costs can also vary, depending on output-based funding, private sector mobilization, 34 the technical design of the connection, including and so on; these may be studied further to identify the construction or installation methodologies, the most appropriate option for reducing upfront costs of fixtures and fittings, and so on. These fees are the the sewer connection program. This will allow service most common barrier for households to connect. providers to develop additional ways to overcome the Determining fair prices and subsidies as appropriate financial barriers that impede low-income households and giving households options, such as paying the from connecting to a sewer and upgrading their existing connection fee in smaller installments over a longer sanitation system. period, can make payment easier for them. 8 Assess financial viability. The financial model 4 Consider who pays for what. Establishing upfront who should consider how different scenarios (with varying finances which parts of the connection system (toilet, projections for sewerage connections) will affect the plumbing, connection box, and so on) and who pays for financial viability of the proposed connection program materials and labor is important. and, consequently, how these will affect the financial sustainability of the service provider. 5 Explore additional sources of funds. In addition to tariffs, the service provider should explore the availability of other sources of funding, including government transfers and funds raised through Planning and Designing the Intervention municipal, state, regional, or national taxes (for example, environmental taxes, property taxes, and so on). 6 Consider subsidies. When proposing household connection fees and sewer tariffs, the implementation entity should contemplate the targets of subsidies (for example, poor or wealthy households and so on). The subsidy type and amount will vary considerably, based on local context; for instance, they could depend on household characteristics (single parents, low-income families, employment status, and so on). Subsidies Stage 2 should be transparent in their amounts, recipients, and processes to prevent conflicts between different categories of users. A 2019 World Bank report on smarter subsidies is a valuable reference for service providers as they design their connection fee and tariff subsidies for sewerage services (Andres et al. 2019). Chapter 4 Chapter 4 Planning and Designing the Intervention __________________________________________________________________________ __________________________________________________________________________ Strengthen the supply Consider approaches chain and reduce based on outputs or transaction costs results 35 S EN EGAL PERU M OR O CCO BR A Z I L KEN YA __________________________________________________________________________ __________________________________________________________________________ Some considerations may include activities aiming to The service provider prefinances services and the reduce transaction costs of administrative procedures associated “outputs” (for example, a functioning for contracting out the designing and installation of household sewerage connection), and OBA/RBA16 household connections. Particular attention should be payments occur upon delivery and verification of the paid to the integrity and efficiency of the procurement agreed-upon outputs (World Bank 2017b). Several system used by the service provider to maximize programs have experimented with OBA schemes for monetary value for both it and its customers. sewer connections programs. The Global Partnership for Results-Based Approaches (GPRBA)17 has been piloting PERU OBA projects and exploring results-based financing (RBF) Planning and Designing the Intervention A program supported by the German Agency for approaches to service delivery by working with both public International Cooperation (GIZ) worked with the and private implementing partners that receive payments municipal utility of Lambayeque, Peru to redesign the to partially defray the costs of new sewerage connections. contracting process for the utility’s sewerage connection However, it is important to weigh the transaction costs service. The program streamlined the process to get a associated with OBA because implementation challenges new connection by having the utility’s technicians visit may arise, particularly if the service provider has no target households to “sell” the connections instead of experience with these types of schemes (IEG 2015). requiring customers to visit the utility’s offices, which was For OBA and RBF schemes, it is also important to avoid the case in the original sewerage connection application delays between completion of work and payment to the process (World Bank 2017a). service provider because delays can affect the success of the program. Strong communication and grievance Stage 2 BRAZIL The utility of the state of Santa Catarina, Brazil, arranged redress mechanisms are essential to ensure a flow of with households to hire certified engineers to inspect information between customers and service providers for and certify in-house sanitary installations. The utility, all connection programs, including OBA and RBF schemes. itself, does not do this work. The arrangement minimizes the steps for the utility and the customer, reducing the program’s transaction costs (World Bank 2017a). ____________________________________________ Chapter 4 16 OBA = output-based approaches; RBA = results-based approaches. 17 The Global Partnership for Results-Based Approaches (GPRBA), known until February 2019 as the Global Partnership on Output-Based Aid (GPOBA), is a global partnership program administered by the World Bank Group. Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks __________________________________________________________________________ __________________________________________________________________________ Consider the use of revolving funds 36 SENEGAL VIETNAM URUGUAY INDIA PHILIPPINES __________________________________________________________________________ __________________________________________________________________________ SENEGAL Revolving funds offer an alternative financial vehicle. In Senegal, a GPOBA program sought to expand They allow loan repayments (based on repaying the loan household sewer connections by building on an principal and the interest) to finance other projects or to approach taken by a World Bank project that was already assist in continuing to fund the program in question (World under implementation. However, procedures linked to Bank 2016b). This option requires consideration of the GPOBA funding were complex, and the implementation payment capacity of the targeted households and other arrangements were cumbersome. These factors delayed financial factors determined during assessments. and hindered project implementation (IEG 2015). SENEGAL Planning and Designing the Intervention MOROCCO The Community Fund for the Sanitation of the In Morocco, GPOBA successfully worked with public and Poor Urban Areas (FO CAUP) revolving fund set private sector operators to extend connections to low- up in Rufisque, Senegal, to promote connections to income neighborhoods in select areas of several cities. nonconventional sewers was not as successful. The Demand drove participation, which created an incentive revolving fund was supposed to provide small loans to for operators to carefully assess requests from targeted spread the cost of connections over time. As users paid beneficiary households during project preparation back loans, other households could get loans to finance and to work with local authorities and partners during more new connections. However, cost recovery was implementation to raise awareness and promote the extremely low (less than 30 percent), a situation related program (Chauvot de Beauchene 2009). to several factors: » The “balance” to be paid by users (250 Euros) was Stage 2 KENYA more than what low-income households could afford. In Kenya, a successful GPOBA project used a blended Furthermore, existing on-site sanitation options appeared finance model to reduce upfront connection costs; to meet their sanitation needs just as well even though the model combined subsidies and credit. The project the fecal waste from the existing sanitation facilities was significantly increased connection rates among low- not well managed or treated adequately. income urban households, despite relatively high prevailing » Installation of connections occurred before collecting the interest rates for commercial loans. A note of caution: money owed; thus, households did not face penalties for Although providing credit to households helps reduce defaulting on payments, which left few incentives to pay. upfront costs and increase connection rates, it can also » Poor quality of the sewerage service (technical issues, lead to financial sustainability challenges if loan repayment lack of clearly defined manager or operator, and so on) rates are low. The project showed that commercial lending discouraged users from continuing to pay in the long for sewer programs can be viable from the standpoint of term (pS-Eau 2003; Schrecongost 2016). commercial banks as well as utilities as long as there is demonstrated cash flow available to the households to Difficulty in enforcing household repayments caused losses service the loans (see appendix C: case study 6). for the utility, which affected the implementing of the Chapter 4 connection program (World Bank 2019b). Chapter 4 Planning and Designing the Intervention __________________________________________________________________________ __________________________________________________________________________ 37 __________________________________________________________________________ __________________________________________________________________________ VIETNAM INDIA The Vietnam Coastal Cities Environmental Sanitation In Tamil Nadu, India, in Salvador, Brazil, and in Kenya, Project established revolving funds in each city to respective programs allowed households to pay in provide small loans for constructing household sanitation installments over a longer period (for example, monthly facilities and sewerage connections. The local women’s for five years), thus making the connection and operation union managed the funds according to procedures in fees more attainable for low-income households. In India, a dedicated program manual. The union followed clear connection charges related to the size of household plots, poverty-focused eligibility criteria to select the first round with larger plots having higher charges. This addressed of beneficiaries and had a long waiting list. The project issues of equity and affordability (World Bank 2016c and Planning and Designing the Intervention also applied wastewater fees to all households with water 2019b; see appendix C: case studies 5, 6, and 8). connections, thus reducing disincentives to connect to PHILIPPINES the sewerage system once it was available. The revolving In the Philippines, the sewerage connection program fund allowed about 8,236 households to install toilets, encouraged private sector participation to clean up connect to the tertiary sewerage lines, or do both, an receiving water bodies in collaboration with concerned arrangement that benefited more than 37,000 people government agencies. The program mobilized private (World Bank 2015). sector concessionaire Maynilad, which not only URUGUAY contributed to program funding but also shared technical In Uruguay, after connecting, a sanitation certificate is expertise and innovative ideas to help with clean-up provided to the household, and the associated fees go activities and the sustainability of program benefits (see Stage 2 into another revolving fund, which provides subsidies for appendix C: case study 7). emptying to low-income households that use on-site sanitation options (Brault 2018). This mechanism has helped the program respond better to the sanitation needs of low-income households. Chapter 4 Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks __________________________________________________________________________ __________________________________________________________________________ Consider how the rate The program can be of connection affects based on supply- financial viability of driven or demand- 38 the program and the driven approaches service provider URUGUAY PER U __________________________________________________________________________ __________________________________________________________________________ The financial model should consider the medium- to Supply-driven sewerage connection programs focus on long-term financial viability of both the program and the construction of the sewerage connection. Demand-driven service provider. programs include social marketing strategies that increase the demand for connections as well as associated URUGUAY infrastructure and services tailored to household needs In Uruguay, low connection rates (3,000 of the planned (World Bank 2008). Subsidies can be introduced for 8,000 households connected by 2018) meant that each type of program, and they can vary in value from the utility only used three of the eight wastewater nothing to 100 percent within a program or between treatment plants it had built. Because households were programs, depending on the design. For example, Planning and Designing the Intervention not connecting at the anticipated rate, the utility had subsidized supply-driven sewerage connection programs to bear the financial costs of letting large-capacity are popular in some countries in Latin America. However, treatment plants sit idle. These financial burdens included implementing these programs where the utility is not maintenance, repair, and depreciation costs (Brault 2018). ready to provide high-quality sewerage services could be counterproductive. To minimize these risks, the following ideas could work: » The amount and the type of subsidies should correlate with relevant household characteristics (for example, income, single parents, low-income families, employment status, and so on). Stage 2 » Financial planning related to the costs of connections and to the subsequent operation and maintenance (O&M) of the sewerage system should consider available subsidies and remaining funding gaps. PERU Led by the private sector, the Mi Baño initiative in Peru focused on increasing demand for appropriate sanitary installations in target households that could connect to adjacent sewers. The initiative focused on developing aspirational and affordable solutions that would both stimulate and satisfy demand (World Bank 2017a). Chapter 4 Chapter 4 Planning and Designing the Intervention _________________________________________________________________________ Consider how the program will continue when financial support from other PIR 39 sources ends INDI A PH I LI PPI N E S __________________________________________________________________________ __________________________________________________________________________ Financial planning for connections and ongoing O&M Using the institutional diagnostic tool (IDT) or similar tools, needs consideration to ensure the long-term sustainability a good policy, institutions, and regulation (PIR) diagnostic of the connection program. can help stimulate discussions among stakeholders and prioritize issues related to the design of a sewerage INDIA connection program. The diagnostic process should In Tamil Nadu, households must pay a user charge involve all stakeholders, and ideally, relevant government to cover O&M costs of the sewerage network and and sector entities should provide strong leadership. The wastewater treatment plant. Whenever feasible, the establishment of a working group(s) with representatives wastewater treatment plant projects include an energy from the full scope of relevant stakeholders (including Planning and Designing the Intervention recovery component, which helps meet 60 percent to specialists in policy, regulatory, technical, social, and 80 percent of the plant’s energy needs, and the sale of financing, among other areas) can facilitate coordination treated wastewater to industries. Both efforts help defray throughout both the diagnostic and reform processes. the system’s overall O&M costs (World Bank 2016c; see Ensuring the participation of key players is key to the appendix C: case study 5). successful planning, design, and implementation of any PHILIPPINES PIR reform. Guiding principles to design PIR incentives are In the Philippines, maintenance by different described in the text that follows. stakeholders contributes to the success of the program. Designing PIR Incentives — Guiding Principles The community maintains tertiary lines from houses to the main network, while Maynilad operates and 1 Identify key drivers and objectives of the sewer maintains the rest of the system. As part of its network connection program. Stage 2 preventive maintenance program, Maynilad regularly cleans and checks the system, and it has dedicated 2 Understand the institutional and policy environment teams that respond to sewer-related complaints that for sewer connections. Questions to address include residents are not able to resolve themselves (see the following: » Which entity is responsible for the sewer system appendix C: case study 7). and connections? This may differ for capital works development and expansion and for system O&M. » Who provides leadership (both formal and informal on sewer connections) within the sector? » Do political will and buy-in exist for a connection program? » Do a national policy and strategy exist for sewerage connections? » Is there a legal framework that provides the basic Chapter 4 setup for a program? » What is the regulatory framework? Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks __________________________________________________________________________ __________________________________________________________________________ Consider a range of program and service management models 40 __________________________________________________________________________ __________________________________________________________________________ 3 Understand the political economy of the country, Considering a range of program and service sector, and proposed program. Questions to address management models is important at the program design include the following: stage to ensure the best fit for the service provider and » Where in the reform process does the water and the potential customers. Understanding management sanitation sector currently lie? models previously used by the service provider (even » Do program designers need to consider any cultural beyond sewer connectivity) and their effectiveness influences? is important. Examples of program and service » How will the program accommodate any cultural management models include: attitudes toward sewer connections? » The service provider contracts out and oversees Planning and Designing the Intervention » Which actors have vested interests in the status quo connection services—technical, social, and other and which could be persuaded to advocate for the elements—but manages the sewerage network. importance of sewer connections? » The service provider makes the connections and 4 Identify the intrinsic incentives of key actors. Analyze manages the sewerage network. intrinsic incentives of those who will implement the PIR » Participation by the private sector facilitates contracting measures to integrate their incentives with effective of the connection work, management of the sewerage incentives identified or required for a successful network, or both. This participation could take the form of connection program. a franchise arrangement. 5 Design institutional interventions that align exogenous and endogenous incentives. Consider the Stage 2 specific characteristics of the connection program and aim to align its objectives and any interventions with the intrinsic PIR incentives of key actors. 6 Consider a connection program that fits its purpose Avoid a program that is overly complex for the given context and institutional capacities. Based on lessons learned from case studies, several points merit consideration while organizers plan and design PIR incentives for a sewerage connection program. Chapter 4 Chapter 4 Planning and Designing the Intervention __________________________________________________________________________ __________________________________________________________________________ Determine the Consider how the suitability of the service provider’s program design by reputation affects drawing on examples program success 41 from comparable cities BRA ZIL BR A Z I L VIETNAM __________________________________________________________________________ __________________________________________________________________________ Identify where PIR approaches worked and failed in If significant operational and financial issues exist with the sewerage connection programs. Assess the suitability of service provider’s current management of any existing the new program in the local context. wastewater or water supply infrastructure, involved parties must address them before embarking upon a sewerage BRAZIL connection program. In Salvador, Brazil, results of the first part of the sewerage network expansion did not satisfy involved BRAZIL parties. Complaints focused on the reportedly poor In Rio de Janeiro, Brazil, some residents sued the utility, quality of work and on the unsuitability of conventional claiming that it overcharged citizens for inferior sewerage Planning and Designing the Intervention sewerage systems for low-income communities, most of services: it did not treat collected wastewater. The citizens’ which had unmet demands for sanitation services. As a claim was not upheld in court, but the utility’s reputation result, the utility received support from other utilities in suffered. Subsequent efforts to connect citizens to Brazil to design and implement a condominial sewerage sewerage networks failed because many refused to system program to address these technical constraints connect, citing the prior poor service.18 (see appendix C: case study 8). In Salvador, Brazil, the utility initially faced great reluctance from low-income households. Credibility of public services was not high, and low-income communities either did not want to connect or thought that they should get service free of charge. Many people living in these communities were reluctant to have outsiders do construction work not Stage 2 only inside their communities but inside their properties (see appendix C: case study 8). VIETNAM In Vietnam, poorly operated and maintained systems combined stormwater and wastewater. The systems contributed to pollution, produced foul odors, and degraded the environment. Thus, citizens had little confidence in sewerage systems and minimal interest in connecting to networks (World Bank 2015). ____________________________________________ Chapter 4 18 See https://www.washingtonpost.com/world/the_americas/rio-planned-olympic- scale-sewerage-project-but-citizens-say-no-thanks/2016/01/06/bcc13362-a91f- 11e5-b596-113f59ee069a_story.html?utm_term=.d0ad8a69e81f [AQ: Give context to the website.] Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks __________________________________________________________________________ __________________________________________________________________________ Indicate roles, Strengthen responsibilities. institutional and and accountable legal frameworks in 42 entities upfront advance of program implementation ECUA D O R B R A ZI L __________________________________________________________________________ __________________________________________________________________________ Institutional clarity helps define responsibilities, identify Upfront strengthening of institutional and legal institutional gaps, and promote coordination among key frameworks helps establish an enabling environment stakeholders during implementation. and lay the necessary groundwork to support successful implementation of the program. ECUADOR The case of Guayaquil, Ecuador, demonstrates BRAZIL complications that can arise because of conflicting In Salvador, Brazil, a state law requiring households responsibilities and a lack of coordination among actors. to connect to the sewerage system came into effect The connection program is successful, but coordination only three years after the program began. This law was Planning and Designing the Intervention issues developed because of the discovery that new necessary to get customers who already had sewerage household connections were discharging directly into mains running close to their households to connect to the the estuary. The ministry’s program for depolluting the network (see appendix C: case study 8). estuary blocked any illegal discharges, so households had no outlets for their domestic wastewater unless they connected to the sewerage network. However, the ministry did not coordinate with the utility’s connection program; consequently, the households in question had no assurance that they would always have a connecting network in front of their home. Without improved coordination, such situations can potentially erode trust Stage 2 (see appendix C: case study 4).19 ____________________________________________ Chapter 4 19 The terms of reference for SENAGUA’s institutional strengthening project provide a useful reference tool to understand how successful Latin American experiences increased sewerage connection rates and assessed their applicability to different contexts in Ecuador. Chapter 4 Planning and Designing the Intervention __________________________________________________________________________ __________________________________________________________________________ Achieve the buy-in of Consider the key institutions and effects of land identify champions rights and tenure early in the process 43 INDI A KEN YA PH I LI PPI N E S EC UAD OR __________________________________________________________________________ __________________________________________________________________________ Prominent and powerful individuals and groups can If beneficiary households need formal land tenure to influence the connection program’s implementation and connect to the sewerage network, this may represent a outcomes. significant obstacle. INDIA KENYA In Tamil Nadu, the state government championed and In Kenya, households initially needed formal land drove the program, and elected officials participated in tenure to participate in the program, which provided it and supported it from inception and planning through reimbursable funds to install toilets both with and without implementation. This involvement provided the key to the sewerage connections, depending on the context. A Planning and Designing the Intervention program’s success (World Bank 2016c; see appendix C: subsequent redesign of the application process made case study 5). it optional to provide a copy of the title deed. Instead, landlords could simply apply by providing a copy of PHILIPPINES their national identification. The assumption was that In Manila, the Philippines, the political leadership of the because landlords were investing their own money to chairman of the Pasig River Rehabilitation Commission cover at least 50 percent of the cost of the works, then was instrumental in completing the connection program, they had an incentive and the necessary information to coupled with effective community collaboration and manage the risk of eviction or any land rights conflict participation by the private sector (see appendix C: (Schrecongost 2016; see appendix C: case study 6). case study 7). ECUADOR In Guayaquil, Ecuador, eminent domain was used to Stage 2 acquire land to ensure the necessary rights-of-way for the sewerage lines and to avoid any conflicts over land rights during program implementation (see appendix C: case study 4). Chapter 4 Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks __________________________________________________________________________ __________________________________________________________________________ Consider how the Consider how to complexity of the handle enforcement as program could deter well as nonconnection 44 households from and nonpayment connecting S OU TH AF R I C A B R A ZI L KEN YA __________________________________________________________________________ __________________________________________________________________________ The design of the program should be as inclusive as In most of the cases reviewed, sewerage connections possible by considering the needs of the most vulnerable were often compulsory by law (for a household within a (for example, the disabled, the elderly, the illiterate) to certain distance of the sewerage network), but fines were address and overcome specific needs of these groups at rarely enforced in practice, thereby limiting the success of each stage of the connection program (from the sign-up programs. There are numerous references to “free riders,” period, through design and construction, to operation and households that do not pay ongoing sewerage charges maintenance). after getting free or subsidized connections. These households never pay the charges, or they start paying but later desist. Planning and Designing the Intervention SOUTH AFRICA In Durban, South Africa, households located within a specific distance of the network have been fined successfully for nonconnection. In this case, fines are issued in the name of the state rather than in the utility’s name to avoid reputational issues. BRAZIL In Espírito Santo, Brazil, a law stipulates that when the utility has installed the network in front of a house, the customer starts to receive a bill for ongoing sewerage Stage 2 service. This measure provides an incentive for people to connect officially to the network. However, an issue arose with free riders after installation of the connection and any associated facilities because households didn’t pay the subsequent sewerage fees (World Bank 2017a; see appendix C: case study 1). Chapter 4 Chapter 4 Planning and Designing the Intervention __________________________________________________________________________ __________________________________________________________________________ Provide legal clarity on responsibility for the final length of household connection 45 __________________________________________________________________________ __________________________________________________________________________ KENYA It is important to clarify who is responsible for funding In Kenya, strong enforcement of customer repayments the connection, including who will design and construct has proven to be an effective tool to ensure financial the connection and who will ultimately be responsible for sustainability, but this approach requires balance with maintaining this portion of the connection (that is, from the associated social costs. For example, disconnecting water inspection chamber to the internal plumbing of the house). (or sewer) services in cases of nonpayment in formal (wealthier) areas has been effective. However, in informal settlements, a more lenient approach has been more successful; the service provider works with customers Planning and Designing the Intervention and community leaders to address repayment problems and to develop repayment plans (World Bank 2019b; see appendix C: case study 6). Stage 2 Chapter 4 Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks __________________________________________________________________________ 46 TECHNICAL __________________________________________________________________________ __________________________________________________________________________ Findings of the technical assessment should provide the » Consider the status of the existing sewer network, technical, or engineering, basis for the proposed sewerage including secondary and primary mains, downstream connection program. Guiding principles of designing a pumping stations, and wastewater treatment plants. technical program are described below. Identify the necessity to retrofit, upgrade, increase capacity, or to take multiple actions to accommodate Designing the Technical Program —Guiding Principles the expected increase in wastewater flows and loading » Ensure that the proposed plan aligns with any relevant because of the increased number of connections. » Consider a range of suitable sewerage connection broad and medium- to long-term city development plans and strategies. options that are not overly complex for the given Planning and Designing the Intervention » Based on the assessment and connection typology, contexts (physical environment, availability of supplies, map the active, feasible, and potential connections for and affordability) and for available technical capacities. the target areas. Incorporate numbers of connections The cost-effectiveness of the sewer connection (including growth rates over time); locations; likely options (both CAPEX and OPEX) should also merit situation constraints (for example, distance from trunk consideration. Also, decide if the connection program sewer as well as water access, topography, and hydrology); will include internal plumbing for all or some households; potential economies of scale (standalone or clustered if so, decide what forms of internal plumbing it will connections); and user acceptability (willingness and include (toilet installation and associated plumbing, ability to connect, both current and projected). handwashing basins and plumbing, and so on). » Consider possible enhancements to relevant » Design technical options that are suitable for the complementary services, including water supply, hygiene practices and cultural habits of the users. Stage 2 » Provide technical capacity support and technical graywater management (if managed separately from blackwater at household), stormwater management, training to service provider, contractors, and households road access, and solid waste management. Such if required for the implementation of the program. » Develop technical standards and guidance, including enhancements may be necessary to ensure viability of the sewer connection program. For example, organizers operation of and maintenance requirements for the may want to consider a combined water and sewer new sewer connections, for both households and enhancement program, a sewer and stormwater service provider. » Ensure that the design adequately considers potential drainage program, or both. effects of climate change and incorporates ways to manage disaster risks. Chapter 4 Chapter 4 Planning and Designing the Intervention __________________________________________________________________________ __________________________________________________________________________ Understand the technical details and solutions of in-house plumbing 47 __________________________________________________________________________ __________________________________________________________________________ Users of this guide also should review the “condominial” In addition to blackwater from the toilet, graywater from sewerage approach and its relevance to the context the bathroom, kitchen, and laundry should ideally be because it has enabled universal sewerage coverage collected and directed to the inspection chamber at in many settings, including some in dense, unplanned, the property boundary. From the inspection chamber, low-income urban settlements and in middle-class and resultant wastewater is discharged to the sewerage main. wealthier neighborhoods.20 If the household relied on a septic tank, cesspool, or pit before being connected to the sewerage system and if The case studies referenced show that planning and the wastewater sewerage system is separate from the designing the technical part of a sewerage connection stormwater system, then this facility should be properly Planning and Designing the Intervention program should incorporate consideration of several sealed. Afterward, the household stormwater drainage aspects. gutters and downpipes should be connected directly to the stormwater drainage system and not to the sewer. Stage 2 Chapter 4 ____________________________________________ 20 The World Bank has compiled condominial sewer reference material, which is available on its website for Citywide Inclusive Sanitation (CWIS): https://www. worldbank.org/en/topic/sanitation/brief/citywide-inclusive-sanitation#3. Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks __________________________________________________________________________ __________________________________________________________________________ Ensure the Determine alternative definitions for solutions for different connections households that 48 are clear cannot connect I N DI A B R A ZI L __________________________________________________________________________ __________________________________________________________________________ Depending on the definitions and types of connections, If there are households located below street level or if the number of potential or feasible household connections there is insufficient head to carry the wastewater by gravity may change significantly. For example, if the connection out of the premises into the collector, then alternative program is not going to extend the sewerage main, then technical arrangements may need to be established. If a the number of households that could connect under the straightforward technical solution to achieving connections program will be fewer than if the sewerage main were is not available for a proportion of households because going to be extended. of ground conditions or other topographical reasons, the service provider should develop a corresponding narrative and communicate this clearly to concerned households. Planning and Designing the Intervention It may be necessary to have collector sewers run above ground in such circumstances, to establish unconventional routes for them through informal, densely occupied settlements, or to do both. INDIA In Tamil Nadu, India, contractors had some freedom to pursue innovations to overcome challenges of technical in-the-field realities, thus allowing projects to be implemented quickly and on time (World Bank 2016c; see appendix C: case study 5). Stage 2 BRAZIL In Salvador, Brazil, appropriate technical solutions proved necessary to connect households in high-density informal settlements on steep hillsides and along waterways. The first phase of implementation used conventional sewers that had to pass under peoples’ homes; these were not feasible, so the program implemented condominial sewerage systems. The condominial approach allows for flexibility in locating branches and for inspection chambers to be located as close as possible to internal facilities of residences. The proximity between the connection site (the “inspection chamber” of the condominial branch) and the internal toilet facilities significantly reduced costs of the interconnection works of the internal facilities to the Chapter 4 condominial branches (see appendix C: case study 8). Chapter 4 Planning and Designing the Intervention __________________________________________________________________________ __________________________________________________________________________ Ensure program Evaluate capacity considers who is of sewerage networks responsible for at the planning stage internal plumbing 49 S EN EGAL INDI A VI ETN AM __________________________________________________________________________ __________________________________________________________________________ Although internal plumbing may appear to be small-scale, Often during design and project budgeting of large low-cost, and simple work, if design and implementation sewerage and wastewater treatment projects, planners plans do not consider it, then the internal plumbing may may not only consider household connections never reach completion. Thus, connecting households to insufficiently, but they also may not give enough attention the sewerage system will not occur. to secondary and tertiary sewerage lines. Without sufficient planning, designing, budgeting, scheduling, INDIA and manpower for constructing, rehabilitating secondary In earlier projects in Tamil Nadu, a sewerage connection and tertiary lines, or both, new connections may end up meant that the pipe was brought up to the compound not being technically feasible, may require high costs Planning and Designing the Intervention wall of the house and that the user was responsible for for connecting households located far from mains, may any internal plumbing to connect to the sewer. This led lead to hydraulic overloading of the existing network, or to delays, so for subsequent projects, the approach a combination thereof. It is also important to consider changed. As part of the sewerage service contract whether graywater will be discharged to the sewer signed between the household and the service provider, together with blackwater, and whether stormwater will the household’s charges for obtaining the sewerage also be discharged to the system in the case of combined connection included the cost of internal plumbing (World sewerage systems. Bank 2016c; see appendix C: case study 5). SENEGAL AND VIETNAM In Senegal, the utility underestimated the quantity of secondary and tertiary networks required to complete Stage 2 the sewerage connections program (IEG 2015). The reallocation of funds during project restructuring covered the corresponding cost overruns. In Vietnam, the lack of tertiary networks was the main reason households didn’t connect to the sewers because the main sewerage lines were located too far from households, thus imposing a heavy price on households wishing to connect (World Bank 2015). Chapter 4 Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks __________________________________________________________________________ __________________________________________________________________________ Consider how rates Ensure customers of connection affect understand the wastewater treatment technical requirements 50 and different options as early as possible URUGUAY B R A ZI L __________________________________________________________________________ __________________________________________________________________________ The rate of connection to the sewerage network is an To ensure that potential new customers understand important factor to consider in the design stage of the the technical requirements and the menu of possible connection program. This information will do the following: interventions, they must understand the following » Help to establish the required or target connection information: numbers needed for the optimum functionality of the » Siting of the sewerage inspection chamber (or wastewater treatment plant (WWTP) into which the connection point) sewers discharge » Location and line of the connection pipeline. Will this » Help define the WWTP design and reactor sizing and disrupt the household, and, if so, what are the mitigating any possible phasing of parallel treatment streams actions of this disruption? Planning and Designing the Intervention » Provide an incentive for the success of the connection » Toilet facility. Will it be required, or will a retrofit suffice? program because the success of the connection » Toilet facilities that could be constructed. Will they program will have a direct effect on the successful include a shower room and handwashing facilities? operation of, and benefits from, downstream » New water supply service. Will this be necessary to investments, that is, the main sewers and the WWTPs, complement the toilet intervention to allow the sewer which are normally larger and more costly elements than to function? It is also important for households to the sewerage connection program. understand what role they will play in the O&M of their new sewerage connections and to clarify handling of the URUGUAY O&M of the main sewerage network. How will this differ In Uruguay, low connection rates (3,000 of the planned from the household’s O&M responsibilities, especially 8,000 households had connected) meant that only with respect to the part of the connection that is within Stage 2 three of the planned eight WWTP reactors built by the their pri-vate property. The service provider, household, utility were being used. In addition to the idle capacity and other relevant stakeholders must understand the of the WWTPs, another issue focused on transport of following issues, among other related consid-erations: fecal sludge. Households not connected to sewerage » Who will pay to cover the O&M costs? Will the tariff or continued to send fecal sludge to the WWTPs, causing other mechanisms cover any of the costs? them to malfunction over time. The utility designed the » Who will carry out the O&M, and who will ensure the treatment plants to receive a small percentage of fecal quality of any O&M work? sludge, anticipating that most households would connect » Who will be responsible for reporting blockages, and to the sewerage network and, consequently, the WWTPs what will be the channels for reporting complaints? would receive wastewater, not a disproportionate mix of » To whom will blockages be reported and how will reports fecal sludge and wastewater. This unplanned hydraulic be managed? Will a centralized call center send out and organic and solids loading of the WWTPs affected teams? Will the number of blockages and response times their performance (Brault 2018). be tracked? Chapter 4 Chapter 4 Planning and Designing the Intervention __________________________________________________________________________ __________________________________________________________________________ Acknowledge previous sanitation investments and preferences of households 51 VI ETN AM __________________________________________________________________________ __________________________________________________________________________ BRAZIL A household’s willingness to invest in a sewerage In Salvador, Brazil, social mobilization activities began connection scheme may be hindered by the amount of before construction started to secure community buy-in. previous investment that they have made in the sanitation These activities focused on facilitating agreements among facilities of the dwelling and by their preference to residents about organizing “condominiums” (groups of continue to use a tried-and-tested technology. They households sharing a condominial branch connection) may also have concerns with respect to the technical and choosing the condominium representatives who requirements for the connection (for example, the need would take responsibility for maintaining the network and for extensive excavation). representing their neighbours in negotiations with the Planning and Designing the Intervention VIETNAM utility (see appendix C: case study 8). In Vietnam, many households did not connect because their septic tanks were located in the backyard, which would have required excavation through the middle of the living room to connect with the sewerage line at the front of the house (World Bank 2016a). Stage 2 Chapter 4 Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks STAGE 3 Implementation This stage draws on the work of the prior two stages— the situational analysis and intervention design—to effectively implement the program and measure its progress. The next section addresses how to consider 52 the four dimensions during the implementation stage and highlight relevant examples drawn from the case studies. >> Implementation Stage 3 Chapter 5 Chapter 5 Implementation SOCIAL __________________________________________________________________________ __________________________________________________________________________ 53 A good first step during the implementation stage is Below are the key ingredients of an effective social to learn by doing, preferably by piloting, which plays engagement program. The case studies highlight the a central role in the implementation stage. Decision importance of considering social factors for effective making is highly contextual, and results of the pilot program implementation. will inform future decisions. An evaluation should determine the effectiveness of the pilot and inform Determinants of Effective Social Engagement any adaptations. A feedback loop can then continue to » Effective communication. A well-designed inform either a continuation or expansion of the pilot or communication campaign that extends beyond the life the implementation of the program itself. of the connections program is key to addressing the Sample questions to ask include the following: sustainability issue and to managing expectations of the » How does the pilot intervention affect your target beneficiaries. » Capacity. Hiring adequate staff to manage audience? » Does it achieve the desired outcomes? communication and customer interface is important. » Is there anything to tweak to improve the pilot or the Building staff capacity for communicating, raising program itself? awareness, and promoting behavioral changes at the community level also is important. Some specific questions to consider for the pilot » Building partnerships. Civil society and media Implementation might include the following: organization can work together to raise awareness » How many observations will you be able to measure? about sanitation and sewer connection issues. Building » How many treatment arms (targeted subgroups for partnerships can help establish trust within the Stage 3 approach to be piloted) can you test? community. As a part of this, support from political and » What is your “without intervention” comparison group? media champions can help strengthen the message » What are your outcome variables? Are they consistent about the connection program. with the desired behavioral change? » Behavioral factors. Community attitudes toward and » What other measurements do you want to capture? beliefs about sanitation should be a part of the social » How will you record and analyze data? aspects of the program. » Managing expectations. Once awareness is raised, it is The pilots can provide the principle framework for the important that the program meet and manage community subsequent scale-up of the connection program. Even expectations by providing sufficient infrastructure, during implementation, the most successful programs are maintaining transparency about costs, and so on. the most adaptable. They accommodate modifications according to feedback about methodologies and outcomes throughout the implementation period. Chapter 5 Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks __________________________________________________________________________ Social mobilization and communication activities should be continuous EGYPT B R A ZI L 54 __________________________________________________________________________ __________________________________________________________________________ » Monitoring. Communication efforts and a campaign The social mobilization and communication activities to raise awareness need regular monitoring to ensure should start well before construction and should extend that residents understand the program. Program beyond the end of the construction period. The overall implementation should be adapted based on feedback objective is to encourage all unconnected households to on its effectiveness. connect to the sewers. Public awareness of the benefits » Flexibility. The program should modify communication of connecting should not be a one-off activity (World efforts and messaging to suit different customer Bank 2015). segments. » Funding. There should be sufficient funds available for EGYPT In Egypt, minimal consultation occurred until a firm was social programs and outreach. hired after the associated works had already started. This led to objections from the targeted households, which slowed construction and delayed completion of the works (World Bank 2016d). BRAZIL In Salvador, Brazil, over 10,000 community meetings took place during project implementation. This outreach Implementation ensured community buy-in and contributed to the eventual success of the program (see appendix C: case study 8). Stage 3 Chapter 5 Chapter 5 Implementation __________________________________________________________________________ __________________________________________________________________________ Establish trust Establish direct within the community communication between service provider and customers and include a feedback mechanism BR A Z I L UR U G UAY Z AM B I A __________________________________________________________________________ __________________________________________________________________________ 55 Ensuring that those who undertake social mobilization Clear communication lines between the service provider and communication activities are trusted by the and customer households facilitate better program community solidifies the relationship between the outcomes. Customers receive answers to their questions on customer and the service provider. program implementation and effectiveness as they arise. BRAZIL AND URUGUAY ZAMBIA In some cities, such as São Paulo, Brazil, residents were Although working through community management more receptive to sewerage connection messages structures was shown to be effective in Lusaka, Zambia, in communicated by local leaders, particularly women. Media some cases it resulted in the distortion of information and messages and door-to-door efforts conducted by other subsequent misunderstandings. Therefore, complementary people were not as effective. The gender aspect of social direct household communication became a priority to mobilization merits consideration to maximize impact. avoid miscommunication. The incentives that motivate (See appendix C: case study 2.) Uruguay presents a different stakeholder groups must also be considered rare case: social mobilization is limited. The sewerage when undertaking outreach work (World Bank 2016d). connection program is advertised in the water bill, and customers apply over the phone or over the Internet (World Bank 2017a). Implementation BRAZIL In Salvador, Brazil, community organizers inspired a high level of trust among residents, allowing them to Stage 3 act effectively as conflict mediators. They reinforced their standing in the community by their involvement in volunteer work: they used their positions to help community leaders gain access to other branches of state and municipal governments to pursue requests for other neighborhood support issues (see appendix C: case study 8). Chapter 5 Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks __________________________________________________________________________ Sewerage connection programs take time FINANCIAL SEN EGA L 56 __________________________________________________________________________ __________________________________________________________________________ Communications and mobilization activities require a Determinants of Effective Financial lot of effort, time, and coordination with the different Management and Procurement stakeholders. Thus, a long implementation period » Availability of well-managed funds. Regardless and slow disbursements in the first years of the program should be expected. An iterative approach of whether households, the service provider, or the to implementation takes into account feedback from government is paying for the connection program (in full, stakeholders, households, and communities as well as a with differing contributions, through a grant or subsidy, review of the effectiveness of the program’s governance or a combination thereof), the funds need to be available structure and implementation modality, thereby and well-managed at appropriate stages of project improving the program’s effectiveness and scale. implementation, including for construction and O&M. » Ensuring subsidies and cross-subsidies reach the SENEGAL target population. During the planning stages, if tariffs Under the Senegal Global Partnership on Output-Based are going to cover running costs of the sewers (which Aid (GPOBA) project, one-third of the facilities were built is normally the case) and possibly recover some of the in the last three months of the project’s implementation connection costs (this can be the case, depending on period. Floods partially contributed to the overall delay the service provider’s mandate and approach), then (IEG 2015). tariff setting and application processes should ensure Implementation that any CAPEX and OPEX subsidies or cross-subsidies actually reach intended households. » Access of funds. When the program uses different Stage 3 financing mechanisms (for example, revolving funds, subsidies, loans, microfinancing, saving schemes, output- based approaches, and so on), attention should be paid to the ways in which households will access funds. » Costs to maintain quality. It is important to set applicable standards of quality and to determine the associated costs. It will be necessary to determine whether any requirements will change in the future and whether any special consumers or requirements exist within the community that will affect costs. » Capacity building. Effective financial management requires adequate capacity building to manage finances, regularly update the financial model, and make smart financial decisions. Chapter 5 » Data and monitoring. It is essential to regularly collect financial data to monitor costs and to modify the program as needed. Chapter 5 Implementation __________________________________________________________________________ __________________________________________________________________________ Tendering contracts Monitoring financial requires effort aspects and options is important BR A Z I L Z AM B I A __________________________________________________________________________ __________________________________________________________________________ 57 It is important to consider the amount of effort and time Careful monitoring of financing aspects and options— involved in tendering contracts, including those for the including households’ willingness to pay—should happen social marketing and communications, engineering design throughout the implementation period to determine work, and the construction work itself, especially when the whether changes are necessary over time. targeted areas, or users, are dispersed. This situation will ZAMBIA require either separate contracts for different geographic In Lusaka, Zambia, surveys about residents’ willingness areas or a larger value contract to cover all areas. Both to pay provided an initial indication of households’ approaches have advantages and disadvantages. commitment to pay for condominial sewerage service; BRAZIL however, this willingness to pay changed during project In Brazil, it took a year for Companhia Espírito Santense implementation, a change caused largely by the operating de Saneamento (CESAN) in the state of Espírito Santo environment (World Bank 2016a). and Sabesp in the state of São Paulo to determine that sharing the workload among several contractors was better than having a single contractor. New users lived in small household groups in various parts of the city, which complicated logistics for larger construction firms trying Implementation to work across all areas simultaneously (World Bank 2017a; see appendix C: case studies 1 and 2). Stage 3 Chapter 5 Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks __________________________________________________________________________ __________________________________________________________________________ Service providers Providers should should ensure strive to have user- consistent approaches friendly, transparent, to financing and and accurate billing subsidies systems 58 __________________________________________________________________________ __________________________________________________________________________ A consistent approach ensures that households gain The billing system is one of the main interfaces between universal access to the same benefits, no matter where a service provider and its customers, so it should be they live, which external or internal program funds the user friendly, transparent, and accurate as well as initiative, or how the financing and subsidies are provided. reliable. If this is not the case, it can lead to the erosion An inconsistent policy or approach to financing and of trust between customers and the service provider subsidies could undermine existing or future programs and can cause a breakdown in the relationship, which because beneficiaries might question why they cannot can ultimately lead to nonpayment of bills and possible access the same benefits that other households are able service disconnections in the future. to access through a different program. Implementation Stage 3 Chapter 5 Chapter 5 Implementation PIR __________________________________________________________________________ __________________________________________________________________________ 59 The policy, institutions, and regulatory (PIR) changes » Program design and goal consensus. The magnitude required to achieve the proposed objectives for the of changes and the extent of goal consensus among sewerage connection program can take considerable stakeholders involved in implementation (service time. Ideally, these changes occur in advance of program providers, contractors, communities, and households) implementation. PIR determinants of effective program can determine the program’s success. Overly ambitious implementation are highlighted below. changes or complex interventions may stymie a program, but incremental changes can improve it and PIR Determinants of Effective facilitate success. Other determining factors include Program Implementation the intensity of government support and commitment » Capacity of implementing authorities. Factors such (in addition to support from other key stakeholders), as poorly trained staff, insufficient information, lack the source of program design (top down versus bottom of financial resources, and unrealistic time constraints up), and program scope. » Financial resources. Governments and service can affect the implementing agency’s capacity. The effectiveness of the program design hinges upon the providers should make sure that a sewer connection following factors: program has adequate financial resources to facilitate • The strength of the implementing entity’s internal its implementation. These resources may be direct organization, including its resources, processes, and in nature (for example, the government pays the full Implementation organizational norms cost associated with connection), or they may come • The quality of the implementing entity’s leadership from subsidies or other forms of financial assistance to and the leadership of other sector stakeholders (the specific parts of the connection program. In addition Stage 3 regulator, the parent ministry, and so on). Are their to public funding, governments and service providers intrinsic incentives aligned for or against the program? should encourage private sources of finance whenever • Prior experience of the institution in implementing possible because investment needs will often outweigh similar programs available public funds. Thus, a range of funding sources • The general capacity of the implementing agency to and mechanisms can help scale up programs. » Data and monitoring. The lack of data and meet the program’s objectives. » Political economy and social norms. The design information leads to increased costs of enforcement and implementation of connection programs occur and implementation, thus disincentivizing program amid differing cultural, social, political, and economic implementation. conditions, all of which can influence a program’s Based on lessons learned from case studies, outcomes. For instance, cultural attitudes and beliefs implementation requires specific considerations. of sector stakeholders determine whether residents perceive high risks associated with current sanitation practices. Programs that recognize context will Chapter 5 accommodate the particular conditions of areas for implementation. Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks __________________________________________________________________________ __________________________________________________________________________ Good collaboration Create a dedicated and coordination implementation unit with all stakeholders B R A ZI L VI ETN AM I N D ON ES I A 60 __________________________________________________________________________ __________________________________________________________________________ To ensure satisfactory implementation and efficient Creating a dedicated implementation unit—which can operation, it is essential to have collaboration be embedded within the service provider but also have and coordination among stakeholders, including representation from other key stakeholders—helps service providers; entities that enforce building and ensure sustainability of the approach, even beyond an construction standards; entities that enforce public initial implementation period. health standards; planning authorities; and city and BRAZIL municipal governments, including agencies that govern In Espírito Santo, Brazil, the “Se liga na rede” (Connect environmental health and protection and agencies to the Network) program was first implemented by a responsible for complementary services, such as solid dedicated project implementation unit, but after two waste management and stormwater drainage. years of operations, the program became part of the day-to-day functioning of the water supply and sanitation utility administered by a committee of representatives from its different departments. The utility’s regular staff implemented the program (World Bank 2017a; see appendix C: case study 1). VIETNAM AND INDONESIA Implementation In Da Lat, Vietnam, and in Yogyakarta and Denpasar, Indonesia, utilities achieved high connections rates by establishing dedicated utility teams to interact with the Stage 3 community and with customers. The teams implemented a proactive plan for increasing connections (WSP 2015). Chapter 5 Chapter 5 Implementation __________________________________________________________________________ The use of legal instruments to enforce household connections TECHNICAL BR A Z I L __________________________________________________________________________ __________________________________________________________________________ 61 Fully enforcing requirements for households to See below for determinants of effective technical connect to a sewerage network will be possible only implementation. According to lessons learned from if appropriate legal instruments oblige households the case studies, the technical aspects of a sewerage to connect. If such legal instruments exist before connection program require special considerations. conception of the connection program, organizers should identify, review, test, and strengthen them, Determinants of Effective Technical Implementation as appropriate, during the design phase. If the legal » Results. Connections established through the program instruments do not exist, they will need to be created to target “feasible” and “potential” connections. support successful implementation of the program. » Communication. Customers understand the technical BRAZIL and individual requirements (if any, including specific In Espírito Santo, Brazil, a state law allowed a fee to be operation and maintenance requirements), thanks to charged to those households not connected to a sewer, clear, well-aligned communication during the program’s despite having one running in front of their homes. The law implementation period. » Robust solutions. Consideration of situational also authorized the state utility to connect properties to a network without the express permission of owners (see constraints and cultural requirements and provision of appendix C: case study 1). appropriate solutions demonstrate that the program accommodates realities of the local context. Implementation » Quality assurance. Based on the agreed technical standards, the new household connections align with mandated standards for quality, and the service provider Stage 3 or a third party has verified that the work meets the standards. There are minimal postconstruction issues. » Complementary service needs. The program has worked on or with other entities to improve complementary services that directly affect the functionality of the sewerage connections and the sewer network. Such complementary services include water supply, graywater management, stormwater management, road access, and solid waste management. Chapter 5 Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks __________________________________________________________________________ Ongoing communication is key M OR O CCO EC UAD OR B R A ZI L 62 __________________________________________________________________________ __________________________________________________________________________ » Downstream sewer network. Any necessary It is important for communication and outreach enhancements to the existing sewer network, including efforts to continue during implementation and pumping stations and wastewater treatment plants, have afterward: outreach efforts should align with the transpired to complement the sewer connection program. associated technical intervention. Using construction » Capacity. The program has strengthened support for workers as part of the social mobilization team can technical capacity, for example, by training staff and be advantageous, and in some programs, the works developing standards and guidelines. contractors have been responsible for the social » Data and monitoring. Georeferenced “as-built mobilization, the design of household connections, and drawings” have been developed for each new for constructing the connections. household connection; photographic evidence of MOROCCO the new connections is also advantageous. The In Morocco, these dimensions aligned as part of network use of technology, as appropriate, helps streamline expansion contracts. Social teams alerted technical teams implementation processes (such as contract to go into a neighborhood when they had achieved a management, procurement of materials and equipment, pre-set percentage adherence by the households; they communications, and so on). signed agreements with the utility and consequently would be charged the connection fee through the utility bill. Implementation Connections were part of the network expansion contracts, which included flexibility provisions to add amendments, depending on the number of new connections the firm was Stage 3 able to install (Chauvot de Beauchene 2009). ECUADOR In Guayaquil, Ecuador, postconstruction monitoring was renamed “social co-responsibility.” When the connection rate reaches more than 90 percent of the targeted community, each user is asked to sign a “connection certificate,” which outlines the responsibility of the user for the management of the system and the payment of the tariff (World Bank 2017a; see appendix C: case study 4). Chapter 5 Chapter 5 Implementation __________________________________________________________________________ __________________________________________________________________________ Align subwork programs and their timelines B R A ZI L COLOM B I A __________________________________________________________________________ __________________________________________________________________________ 63 BRAZIL The period between undertaking social mobilization In Salvador, Brazil, the utility created a social mobilization and getting households to sign “connection contracts” unit with its own team of community workers, most of should align with the execution of associated civil works, whom had formal training in social work. In addition, the and the latter should occur shortly after the former. If utility required all the construction firms involved in the this does not happen, customers may begin to mistrust program to hire community workers to accompany their those affiliated with the program. Customers will be interventions. This approach greatly aided the direct dissatisfied with the program outcomes if they have to interaction with and feedback from the community. The wait for the household connections that they signed up mobilization team had less contact with the communities for and, in some cases, paid for upfront. postconstruction, a situation that had implications for the BRAZIL AND COLOMBIA sewerage operation and maintenance (O&M). Households In Espírito Santo, Brazil, engineers were responsible asked the utility to undertake these maintenance for making connections within 15 days of agreements. functions instead of performing these tasks themselves In Colombia, about two months are given for physical as the program originally envisioned. (The program gave execution of works and final approval (see appendix C: residents the option of doing O&M in exchange for lower case studies 1 and 3). tariffs.) This situation led to unforeseen costs for the utility but also weakened the sense of ownership of the Implementation system by the community, which is important for ensuring that it stays in good order, protected from misuse postconstruction (see appendix C: case study 8). Stage 3 Chapter 5 Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks __________________________________________________________________________ __________________________________________________________________________ Have robust Have the works supervision of contractor focus construction quality on the end user and and standards the “connection experience” BRAZIL COLOMB I A EC UAD OR 64 __________________________________________________________________________ __________________________________________________________________________ The quality of household connections require For the majority of programs, households will verification. The service provider or a contracted third interact most with the civil works contractor during party can supervise the work to verify construction implementation of the connection program, particularly quality and standards. during the technical design and construction stages. Because these workers represent the “front line” of BRAZIL AND COLOMBIA the implementing agency, the workers should focus In some cases in Colombia and São Paulo, Brazil, program on ensuring a positive household user experience workers took georeferenced photographic evidence of throughout their engagement. This is critical to the the house before and after undertaking the connection overall success of the program. works to avoid any potential conflicts and to satisfy ex-post verification requirements established by the ECUADOR programs. These programs also required the landlord or In Guayaquil, Ecuador, the civil works contractors were tenant to sign a certificate of conformity once the works obliged to establish “customer service centers” to handle had been completed and before the contractors left the complaints and to provide the public with information and neighborhood to provide additional household verification news about the program and the work in progress (see (World Bank 2017a; see appendix C: case studies 2 and 3). appendix C: case study 4). Implementation Stage 3 Chapter 5 Chapter 5 Implementation __________________________________________________________________________ __________________________________________________________________________ Be aware of, Monitoring and and adaptable contact with customers to, unforeseen should continue externalities postconstruction in a bid to sustain benefits BR A Z I L B R A ZI L __________________________________________________________________________ __________________________________________________________________________ 65 When undertaking a connection program, the This provides an opportunity for continued support and implementing agency must accept unforeseen interaction with households. Technical monitoring of the circumstances and adapt to them. Fluctuations in water sewerage networks can occur simultaneously. supply, problems with solid waste management, and BRAZIL extreme climate events (drought or flooding) could all In Salvador, Brazil, the mobilization team had less contact potentially have direct and even long-term effects on the with the communities postconstruction, a situation that implementation and success of the connection program. had implications for the sewerage O&M. Households BRAZIL asked the utility to undertake these maintenance In Espírito Santo, the Brazil water crisis of 2014–15 functions instead of performing these tasks themselves slowed down the sewerage connection program because as the program originally envisioned. The program gave during this crisis, the connection program was given a residents the option of doing O&M in exchange for lower lower priority (see appendix C: case study 1). tariffs. This situation led to unforeseen costs for the utility but also weakened the sense of ownership of the system by the community, which is important for ensuring that it stays in good order, protected from misuse postconstruction (see appendix C: case study 8). Implementation Stage 3 Chapter 5 Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks STAGE 4 Monitoring and Evaluation Monitoring and evaluation (M&E) track the success of a sewerage connection program. Design of an M&E framework should begin at the beginning of the project cycle. Robust evaluation can demonstrate the effects of new household sewerage connections on health and the environment. >> 66 Monitoring and Evaluation Stage 4 Chapter 6 Chapter 6 Monitoring and Evaluation __________________________________________________________________________ __________________________________________________________________________ __________________________________________________________________________ __________________________________________________________________________ Although M&E is described as the final stage in the During the design stage (stage 2) stakeholder project cycle, creating the foundation for the M&E discussions can define and agree upon key objectives, system should begin earlier, during the program’s outcomes, and outputs. Also useful at this stage design stage, and the implementing entity should use are a theory of change (see appendix A) and an this system. M&E throughout implementation or during accompanying results framework and M&E plan 67 set stages of implementation can indicate whether the (example provided in table 6.1). They can help articulate proposed approach is producing the desired outcomes, the overarching objectives and outputs of the sewerage identify any possible weaknesses, and determine connection program and map how the program will improvements. Ultimately, these ideas for improvements monitor and achieve them. Key stakeholders may need can lead to modifications or redesign of the program a presentation about the importance of collecting and (defined as formative M&E). During the final stages of analyzing relevant data and information for them to program implementation, evaluations can provide details appreciate the role M&E can have in strengthening about the outcomes and effects of the program and program implementation, overall success, and the Monitoring and Evaluation create a learning agenda for future connection programs design delivery of future programs. (defined as summative M&E). Elements of a robust M&E system may already exist. However, it’s good practice for Depending on the information gathered during the the service provider or implementing entity to assess assessment of the situation (stage 1), tracking could periodically the value of the M&E system, notably its include qualitative and quantitative indicators based on indicators, theory of change, and its guidelines for data the four dimensions—social; financial; policy, institutions, capture and compilation. A robust M&E system yields and regulation (PIR); and technical. Those responsible Stage 4 useful insights to achieve outlined outcomes. for designing the connection program should review other M&E systems from within their city and from other cities to incorporate good practices as appropriate. Chapter 6 Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks table 6.1 / Example Results Framework and M&E Plan Indicator Sewerage Connection New household sewer connections constructed under the Name Strategy and Plan program (number). developed and implemented (yes/no). Definition Preperation of a Total number of people who benefited from safely connection promotion managed sanitation services through new household sewer strategy and plan to connections as a result of program interventions. Safely implement to maximize managed sanitation facilities include use of improved connections to sewers. facilities which are not shared with other households and where excreta are safely collected, transported and treated off-site to comply with country’s discharge standards. Frequency Once Quarterly 68 Data Administrative data Administrative data from service provider and private Source operator Methodology Household survey on Household connection database maintained within the for Data project information billing collection system and record of wastewater Monitoring and Evaluation Collection conducted by third-party collected and treated at Treatment Plant. communication agency. Responsibility Third-Party Agency Project Implementers for Data Stage 4 Collection Baseline No 0 End Target Yes 10,000 Note: M&E = monitoring and evaluation Chapter 6 Chapter 6 Monitoring and Evaluation __________________________________________________________________________ __________________________________________________________________________ Develop an M&E framework as early as possible in program design B R A ZI L __________________________________________________________________________ __________________________________________________________________________ Another key consideration focuses on identifying and Often no standard M&E system systematically tracks allocating adequate resources for M&E up front. For outcomes of a sewerage connection program, and cases involving detailed and long-term M&E studies (for M&E activities consist of just counting the number example, to study environmental or health outcomes), of new connections realized. A robust M&E system it is important to define and align timelines of the includes protocols for collecting relevant data about 69 connection programs and the M&E study timelines to infrastructure assets, household profiles, customer set up appropriately timed data collections. satisfaction, financing, and other parameters, and it provides clarity on roles and responsibilities for all The financial resources for undertaking evaluations M&E aspects. For example, sector regulators could may be limited, so the implementing organization could develop targets and indicators for sewerage connection, investigate alternative arrangements to make the collect data directly or through service providers, evaluations feasible. One possibility is to find partner analyze it (through benchmarking and other avenues), organizations, including universities, to develop a and disclose information to the public. Without the collaborative research approach. Monitoring and Evaluation indicators, data, and related protocols, it would be During the implementation stage (stage 3), difficult to assess progress and to course correct when incorporating learning and feedback loops into a needed throughout the life cycle of the sewerage connection program can increase the efficiency with connection program. which the implementing agency establishes new BRAZIL connections and maintains existing ones. Learning In Espírito Santo, Brazil, a geographic information system and feedback loops help program staff process new Stage 4 (GIS) that shows all of the sewerage networks and the information and changes that affect the program. connections realized over time facilitates M&E and cross- Learning plays an important role in scaling up the analysis with other factors (environment, health, poverty). sewerage connection program and understanding the (See appendix C: case study 1.) inflection points of increasing connection rates under the program. Feedback loops help staff reexamine program implementation strategies in general. What worked? What did not work? What changes had the greatest return on connection rates? Throughout implementation and conclusively during the M&E stage, it is useful to reflect on potential learning questions from the connection program to help frame a learning agenda for future programs. Based on lessons learned from case studies, the M&E Chapter 6 of sewerage connection programs benefit from several considerations. Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks __________________________________________________________________________ __________________________________________________________________________ Have a digital record Maintain of property conditions accountability before program of the lead entity implementation BRAZIL __________________________________________________________________________ __________________________________________________________________________ Keeping an accurate digital record before, during, and Monitoring results and maintaining a grievance redress after interventions at target households is a robust and mechanism, even after the end of construction, can transparent way of capturing results of a connection enhance beneficiary satisfaction and also contribute to program. Such an approach can help with quality the accountability of the entity leading the connection 70 control, with monitoring the works contractors, and with program. For instance, a regulator or other public addressing any complaints and grievances that may authority could help keep the implementation agency arise from the works. accountable by tracking its progress against targets and indicators related to the sewerage connection program. BRAZIL In Espírito Santo, Brazil, digital photography facilitated the inspection and control of executed works and the resolution of conflicts between contractors and owners (World Bank 2017a; see appendix C: case study 1). Monitoring and Evaluation In São Paulo, Brazil, contractors take photographs of properties before and after work to demonstrate the completed activities before a formal inspection takes place. Photographs also provide contractors with evidence about the conditions of properties before works commenced in case of any claims or complaints by owners or tenants. Upon completion of the works, tenants Stage 4 or owners sign a note stating whether they accept the completed works and are satisfied with the quality. Owners or tenants raise complaints directly with the utility (see appendix C: case study 2). Chapter 6 Chapter 6 Monitoring and Evaluation __________________________________________________________________________ __________________________________________________________________________ Conducting accurate and credible M&E studies can help elevate and publicize long-term and wide-reaching effects of the program on society BR A Z I L __________________________________________________________________________ __________________________________________________________________________ Using external credible partners in M&E activities can help verify and elevate project results. BRAZIL In Salvador, Brazil, two main studies used the program’s 71 financial resources. The first analyzed prevalence of water diseases before and after the connection program. Researchers from the Institute of Collective Health of the Federal University of Bahia conducted this study for the duration of the connection program. Students prepared several master’s theses with information from this scientific work. The significant results appeared in a published book from the university. The second study evaluated environmental effects of the depollution of Monitoring and Evaluation waters of the Bay of All Saints; for example, researchers monitored ability to bathe in the waters. This work led to the creation of a georeferenced database that guides pollution control and environmental management (see appendix C: case study 8). Stage 4 Chapter 6 Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks Conclusions This guide draws on a selection of successful and less- 72 than-successful sewerage connection programs from across the globe to identify and share key lessons and approaches. These programs provide useful material for designing new connection programs; in fact, they can help maximizing the effectiveness of new connections to sewerage networks. >> Conclusions Chapter 7 Chapter 7 Conclusions __________________________________________________________________________ __________________________________________________________________________ The guide outlines considerations for the four Although the guide’s four steps are important, the case stages of a typical project cycle (assessing, planning, studies clearly demonstrate that community engagement implementing, and monitoring and evaluating). It is the core of an effective connection program. It is also identifies four key dimensions to be considered important to initiate community engagement as early during each stage (social; financial; policy, institutions, as possible in the project cycle to facilitate customer and regulation [PIR]; and technical) and correlates acceptance of and buy-in to the program and to 73 recommendations with these dimensions to guide maximize the possibility that households will connect. those designing a new sewerage connection program. Figure 7.1 summarizes the four-stage approach that practitioners can use to address the key dimensions deemed central to designing and implementing a successful sewerage connection program. figure 7. 1 / Process to Connect the Unconnected Assessment Design Implementation M&E ............................................ ............................................ ............................................ ............................................ Outline and clarify the Identify intervention, Pilot program and Record; document; track current sanitation situation based on behavioral learn from pilot; indicators; report and within the social, financial, insights, financial continue sensitization; compile results of PIR, and technical incentives, and regulatory secure funds; ensure program. Conclusions dimensions. Identify changes while weighing collaboration and Stage 4 gaps and challenges its simplicity, cost- coordination; and and understand how the effectiveness, and document lessons from current situation can scalability. program implemenation. affect success. 4 KEY D I M ENS I ONS Social Financial PIR Chapter 7 Technical Note: M&E = monitoring and evaluation; PIR = policy, institutions, and regulation. Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks __________________________________________________________________________ __________________________________________________________________________ 74 __________________________________________________________________________ __________________________________________________________________________ Early community and household engagement is Community engagement and interaction are also critical particularly important. This engagement will prove elements of a successful sewerage connection program. beneficial in many capacities: They should continue throughout program implementation and even after the official program has concluded to » By involving potential customers in the decision-making ensure satisfactory operation and maintenance as well as process, organizers establish a sense of trust from the protection of the connection from misuse. outset between households and the service provider. » Customers can understand the benefits of a sewerage The case studies reviewed in the guide also show that connection to the household and to the community from cities and service providers often have limited resources a social, environmental, technical, and, when relevant, and numerous constraints and that they struggle to cope financial perspective. with rapid and unplanned urbanization. These challenges » Customers gain understanding of technical requirements make the management of wastewater increasingly difficult. and available connection options as early as possible in This guide consequently emphasizes the importance of the project cycle. They can make necessary decisions, designing technical and service delivery solutions that are including those about the following issues: context appropriate. See appendix C for more details on • Siting of sewerage connection boxes the case studies. • Layout of the connection pipeline. Will this disrupt the household? • Need to either build a new toilet or retrofit the Conclusions existing one • Type of toilet facilities to be constructed (whether to include shower and laundry facilities, for example) • Provision of a new water supply system. Will this be provided? » Customers can understand their obligations and the roles and responsibilities of both households and the service provider regarding such issues as financing of household connections, payment schedules, connection procedures, any legal requirements, operation and maintenance of the sewer and household connection, and so on. » The service provider can better understand current drivers of household behavior (that is, why customers behave in a certain way). The provider can look for barriers, triggers, and motivators and adapt the program Chapter 7 to maximize connection rates. Chapter 7 Conclusions __________________________________________________________________________ __________________________________________________________________________ 75 __________________________________________________________________________ __________________________________________________________________________ Although a more traditional approach to the design and No matter whether a retroactive or a proactive sewerage implementation of sewerage networks may work in some connection program is being implemented, an adaptive settings, traditional sewers can be prohibitively costly or learning approach can help increase efficiency and inappropriate in others. In such contexts, “condominial effectiveness by incorporating feedback from each stage sewers” or other forms of simplified sewerage merit of the project cycle. Designing and implementing sewerage investigation. Regardless of whether organizers are connection programs for both existing and new networks considering conventional or simplified approaches to can seem daunting, but the steps outlined in this guide can sewerage design and implementation, this guide can help implementing agencies draw on global experiences help those involved in conceiving sewerage connection throughout the project cycle to design programs that can programs to think about household connections and successfully connect the unconnected. how to achieve them, whether it is retroactively, after installation of a sewer, or proactively, when a sewerage project is being conceived, thereby ensuring that the project integrates household connections from the outset. This guide and its case studies highlight the importance of designing a connection program that considers contextual challenges and opportunities with the overall objective of maximizing household connections. The steps Conclusions outlined in the guide consider the heterogeneity among Stage 4 and within cities across the social, financial, PIR, and technical dimensions of a connection program. It outlines a pragmatic approach to support the design of such programs, striving to maximize connections to either new sewerage networks or existing networks. Chapter 7 Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks APPENDIX A Theory of Change PR O B L E MS AC T I V I T I ES » Develop social marketing plan and Social >> strategy for implementation. .............................................................. » Customer orientation and 76 citizen engagement need strengthening. » Prepare a model to assess financial Financial >> viability of any new program and decide .............................................................. on alternate financial mechanisms (RBF, » Utility has constraints because revolving funds, OBA), if necessary. » Develop an incentives program, of large capital investment. taking into consideration any existing » Tariffs setting requires or planned subsidies. reassessment. » Set tariffs and establish appropriate connection fee. » Design institutional interventions that PIR >> align with incentives and provide capacity Theory of Change .............................................................. support to implementing agencies » Gaps in service exist because » Establish a coordination framework with other public agencies. of poor coordination. » There is a lack of institutional capacity for O&M. » Consider a range of connection Technical >> options that are fit for purpose, cost .............................................................. effective, and not overly complex. » Existing sewers are old and » Assess gaps in existing sewerage infrastructure and design appropriate dysfunctional. technical options to accommodate expected increase in wastewater flows. » Plan for technical training and for capacity building. Appendix A Note: OBA = output-based approaches; O&M = operation and maintenance; PIR = policy, institutions, and regulation; RBF = results-based financing. Appendix A Theory of Change I NT ERMEDIAT E R E SULT S » Public awareness about connecting to the sewerage network increased. » Customer satisfaction and service provider accountability 77 improved. » Financial model prepared and used to develop an investment program. » Tariff framework established and approved. OU T P U T S OU TCOM ES Public health, the Access to safely managed environment, and quality sanitation increased. of life improved. » Service provider’s capacity for Theory of Change O&M improved. » Customer orientation improved. » Connection program designed and implemented. » Coordination with other key stakeholders improved. » The number of connections and the amount of wastewater collected and treated at the sewage treatment plant increased. Appendix A Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks APPENDIX B List of Case Studies Reviewed CA SES FE ATURES REFERENCES Bolivia La Guardia: Successful connection programs in low- Bankaari et al. 2016 income areas, with microcredit World Bank 2017a 78 Brazil Espírito Santo: Successful citywide connection World Bank 2017a program working with several municipalities. Good (+ appendix C, case study 1) GIS-based M&E system. Program later incorporated into the utility (see appendix C, case study 1 ) Cameroon Example of failed sewerage systems Collingnon and Cheurfa 2019 Tanawa 2003 Colombia Case Studies Reviewed National sewerage connection program with World Bank 2017a pro-poor focus (see appendix C, case study 3) (+ appendix C, case study 3) Ecuador Guayaquil: Low-income community connection World Bank 2017a program with post-construction support (+ appendix C, case study 4) (see appendix C, case study 4) Egypt World Bank program with limited results for World Bank 2016d household connections to newly constructed centralized and decentralized sanitation systems. Key issues noted: high cost of connecting to the sewerage networks; limited community consultation; cluster-based project design (main focus on water quality so designed around water sheds rather than connecting all); difficulty in monitoring the number of household connections made and downstream main and wastewater treatment was incomplete. Appendix B India Sewerage schemes from Tamil Nadu WSP 2016 (see appendix C, case study 5) (+ appendix C, case study 5) Appendix B Case Studies Reviewed CA SES FE ATURES REFERENCES Indonesia Two studies focused on the motivations for Whittington 1997 households not connecting to sewerage systems. WSP 2015 Also an OBA approach implemented by AusAid (now known as Department of Foreign Affairs and Trade [DFAT]) that has low results in achieving household connections to sewerage. Kenya Upscaling Basic Sanitation for the Urban Poor http://www.waterfund.go.ke/safisan/ (ex SafiSan) program: Demand-driven program Schrecongost 2016 implemented by utilities that were recently Schröder 2016 mandated with sanitation provision, with partial sewerage connections but interesting mechanisms to target landlords/tenants. ..................................................................................................... ....................................................................... Nairobi: Sanitation OBA Projects (P131512) and World Bank 2019a 79 (P162248) - subsidizing costs of connecting and (+ appendix C, case Study 6) increase connection rates to water and sanitation services for low-income households in Nairobi (see appendix C, case Study 6) Morocco Example of successful program to expand Chauvot de Beauchene 2009 sewerage access in several cities, including Casablanca; includes OBA initiative. Case Studies Reviewed Nicaragua Managua: Successful connection programs in World Bank 2017a low-income areas with microcredit and condominial sewerage Peru Sewerage connection program with branding of World Bank 2017a “Mi Baño” products to promote connections Philippines Pilot and scaled-up supply-driven, subsidized Information provided directly by sewerage connection program in Manila Maynilad Water Services Inc. (see appendix C, case Study 7) (+ appendix C, case Study 7) Senegal World Bank Long term Water sector Project IEG 2015 (Dakar, Saint Louis) (Loan no C3470) (2001–09) reaching more than pS-Eau 2003 150,000, followed by OBA scheme (2009–13). Successful sewerage connection program in Dakar and secondary urban areas. Success Appendix B also in peri-urban areas through connection to condominial systems. Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks CA SES FE ATURES REFERENCES South Africa Durban (eThekwini) and Cape Town: Examples Schrecongost 2016 of successful citywide programs to expand Macleod and Gounden 2018 sewerage access and access to other types of sanitation services. Tanzania Example of failed sewerage connection systems in Mhina et al. 2003 Moshi, Tanzania Uruguay National connection program that initially had World Bank 2017a problems linked to revolving funds and lack of subsidies. Vietnam • A 2015 WSP study provides findings on the Beauséjour 2008 80 institutional framework and on motivations behind WSP 2015 households not connecting to sewerage networks. World Bank 2015, 2020a, 2020b • Several World Bank interventions since 2015 with well documented findings on household connection programs: including revolving fund approach to financing and connection program managed by the women’s union with pro-poor criteria. Zambia Lusaka: Challenges of connection rate and operation World Bank 2016a and maintenance of condominial sewerage system in Case Studies Reviewed Kalingalina peri urban settlement. Note: GIS = geographic information system; M&E = monitoring and evaluation; OBA = output-based approach; WSP = Water and Sanitation Program. Appendix B Appendix C Case Studies APPENDIX C Case Studies 81 _____________________________________________________________ _____________________________________________________________ _____________________________________________________________ _____________________________________________________________ ESPÍRITO SANTO, SÃO PAULO, COLOMBIA GUAYAQUIL, BRAZIL BRAZIL ECUADOR Connecting 20,000 Connecting 192,000 More than 30,000 Improving the city’s properties to sewerage properties to sewerage connections resulting connection rate from 45 in 75 percent percent to 85 percent connection to sewers Case Studies _____________________________________________________________ _____________________________________________________________ _____________________________________________________________ _____________________________________________________________ TAMIL NADU, NAIROBI, MANILA, SALVADOR, INDIA KENYA PHILIPPINES BRAZIL Connecting 1,551,995 Output-based aid Connecting Connection to Appendix C households statewide program connecting 4,800 properties condominial sewerage 137, 243 people for 2.5 million people Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks ESPÍRITO SANTO, BRAZIL Connecting 20,000 properties to sewerage 82 TYPE Subsidized, supply-driven program to connect 20,000 FINANCIAL properties to new and existing sewers » Financing agreement between CESAN, the state of ES, and ESCALSA. IMPLEMENTING ENTITY » Subsidies for low-income families to build free sewerage Companhia Espírito Santense de Saneamento (CESAN), connections from households to inspection chambers. the Espírito Santo State Water and Sewerage Utility. INSTITUTIONAL TOTAL COST » Creation of a dedicated customer service department US$8.7 million (over three years of targeted program) within CESAN. » The use of digital photography-facilitated inspections, FINANCING Agreement between CESAN, the state of Espírito Santo, quality control of household connections constructed, and the regional utility, Espírito Santo Centrais Elétricas S. and resolutions of conflicts between contractors and A.1 (ESCALSA) owners. DURATION LEGAL » Application of legal mechanisms targeting commercial 2012–15, three years of targeted program buildings and households with the targeted offenders GEOGRAPHIC SCOPE being identified, notified, and sanctioned. Greater Vitória Metropolitan Region (GVMR) of the state » In 2016, a state law was passed allowing sanitation tariffs Espírito Santo, Brazil of Espírito Santo (ES) to be charged to households that were not connected, despite being in the vicinity of having access to the OVERVIEW sewerage network. The law also authorized CESAN to In 2012, Companhia Espírito Santense de Saneamento Case Study 1 connect properties to a network without the formal (CESAN) initiated a connectivity program called “Se liga permission of property owners. na rede” with the objective of accelerating the expansion » Emphasizing compliance with the national law that of sewerage network connections in the Greater Vitória required preparation of municipal plans for water supply Metropolitan Region (GVMR) of the state of Espírito and sanitation, the municipalities took advantage of Santo (ES). The state comprises nine cities, each with a the opportunity to align their multiyear plans with a population of 100,000 to 500,000; Vitória is the capital bay sanitation program (see below for more details) to city. CESAN serves more than 50 percent of the municipal promote network connections. jurisdictions of ES. The salient features of the program are described below. TECHNICAL » Application of a georeferenced database of sewerage SOCIAL connections and other basic services, which was linked » Extensive community mobilization efforts, an to CESAN’s database of customers and other municipal outstanding focus on customers, and an emphasis on databases. environmental education. Appendix C ____________________________________________ 1 The company changed its name to Espírito Santo Distribuição de Energia Elétrica S. A. (EDP) in March 2017. Appendix C Case Studies Background and Motivation The GVMR lies near an expansive bay that is home to tropical beaches, mountainous nature preserves, and a maritime port. Pollution in the bay was identified as one of the issues hampering regional economic development; consequently, cleaning up the bay became a political priority. Following an environmental diagnosis in 2011 83 that identified neighborhoods responsible for the bay pollution, CESAN initiated the “Se liga na rede” program to promote household connections to the sewerage system. Intervention Design The pilot program began in 2012, and, since then, 93 percent of the targeted population has connected to the network. The program’s evolutionary design depicted in figure C.1 demonstrates an effective method of institutionalizing connection programs. The program included distinctive features to promote connection: » Creation of a dedicated customer service department within CESAN » Construction contracts that included simultaneous installation of networks and home connections » Communications and marketing campaigns aimed at map C.1 / Espírito Santo, Brazil potential customers » Social rates for low-income clients » Mass mobilization and community education activities Overview » Door-to-door campaigns to persuade the population to Espírito Santo, Brazil Espírito Santo (ES) is a state in southeastern Brazil with connect to the network approximately four million inhabitants (map C.1). The state » Training of more than 130 private installers comprises nine cities, each with a population of 100,000 » Subsidies for low-income families to build free Case Study 1 to 500,000, Vitória being the capital. The state water and connection of internal plumbing from homes to sanitation services provider, Companhia Espírito Santense inspection chambers. de Saneamento (CESAN), serves more than 50 percent of the municipal jurisdictions of ES. In 2012, CESAN initiated The program was financed through an agreement between a connection program called “Se liga na rede” 2 with the CESAN, the state and the regional electricity utility. objective of accelerating the expansion of sewerage The agreement allowed CESAN to use a portion of its network connections in the Greater Vitória Metropolitan state energy consumption tax for two years (2012–14) Region (GVMR) of ES. The program was funded through for the installation of home sewerage connections, and a financing agreement between CESAN, the state of ES, for communication, social mobilization, and connection and the regional utility, Espírito Santo Centrais Eletricas promotion campaigns. As part of the agreement, CESAN Sa (ESCALSA). The most salient features of the program claimed about US$8.7 million in state energy consumption were the extensive efforts to mobilize the community, taxes and directed about 50 percent of these funds an outstanding focus on customers, and an emphasis on toward program initiatives, including sewerage connection environmental education. subsides to low-income families. Appendix C ____________________________________________ 2 Literally “connect to the network.” Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks Between 2012 and 2014, about 150,000 households Program Implementation connected to the network. Of these households, only Typical Steps to Connect (in Espírito Santo, Brazil) 10,000 qualified for the low-income subsidy, which provided a connection free of charge. The subsidy was STEP 1 available to households based on their classification under Technicians hired by CESAN verified the property’s a federal benefit program or their residence in Zones of sanitation situation and reported the results to CESAN. 84 Special Social Interest (ZEIS). STEP 2 The six municipal governments of the metropolitan region Technical and social contractors for CESAN visited introduced three main initiatives that were complementary unconnected properties with access to a network to to the financial mechanisms to increase network sensitize the owners and sign a connection agreement. connection: Social agents had an obligation to make up to three visits » Application of legal mechanisms targeting commercial to properties to obtain owners’ signatures. The cost of the buildings and households. Offenders were identified, social promotion component of CESAN was US$19 per notified, and sanctioned. In 2016 (after the main two- signed agreement. year program from 2012 to 2014) a state law was passed, STEP 3 allowing a fee to be charged to households that were not Engineers were then responsible for making the connected despite being in front of a sewerage network. connections within 15 days following signing of the The law also authorized CESAN to connect properties to agreement. CESAN did not charge the installation fee to a network without the express permission of their owners. the owner. The average cost to CESAN of connecting a » Emphasis on compliance with the national law property was US$220. that required preparation of municipal plans for water supply and sanitation. The municipalities took Figure C.2 shows the progress made in 2012–16 (during advantage of the opportunity to align their multiyear the two-year program and beyond) highlighting the high plans with the bay sanitation program to promote expansion rate for network access and the even higher network connections. rate of connection: the number of household sewerage » Application of a georeferenced database of connections rose from about 13,000 to about 33,000 connection to basic services. The georeferenced during that time. database was linked to CESAN’s database of customers and other municipal databases. These databases were Espírito Santo, Brazil critical to the application of new regulations and long- term planning for CESAN. Case Study 1 figure C. 1 / Evolutionary Implementation Design in Espírito Santo, Brazil Pilot was designed to stimulate sewer connections. It was 100 percent subsidized for qualified participants, and it incorporated new technical-social elements (e.g., communications and promotion). The endeavor was an intensive two-year program that implemented lessons learned during the pilot on a larger scale. After the two years of program implementation (starting in 2015), the company absorbed the program into its core operations, without subsidies for internal connections. However, it maintained the elements of community promotion, communication, and education, albeit with Appendix C less intensity because of the high visibility achieved during the previous two years (a result of intensive promotion of the program by social contractors and via media). Source: Information provided by CESAN. Appendix C Case Studies There were several challenges during implementation A primary challenges was the inability to collect sewerage of the program. For example, the initial work areas and fees from some customers connected through the program social work contracts were too large, which complicated (approximately 8.5 percent of customers, mostly from low- logistics and planning; as a result, organizers later divided income families). Despite the inability of these customers the work into smaller pieces. In some cases, contractors to pay, the utility could not discontinue services because of could not find owners (30 percent of visited properties), public health risks, causing a free-rider problem. and in other cases, owners refused to sign agreements 85 with contractors authorizing work. In such cases, CESAN Several setbacks materialized during and after notified the respective municipal governments. Each implementation of the program; they included GVMR municipality had its own procedure for dealing unacceptable quality of some facilities, poorly functioning with such cases. Typically, these procedures began with networks, excessive turnover of contracted personnel, and legal notices sent to owners warning them that if they did local leaders advocating nonpayment of tariffs. not complete the installations within a set period of time, they would be forced to pay fines. Owners who did not respond to the first warning or fine could be subject to a second warning and/or fine.3 figure C. 2 / Percentage of People Covered and Connected to the Sewerage Network in GVMR, 2012–16 Espírito Santo, Brazil Case Study 1 — — Coverage in Greater Vitoria Metropoliton Region (GVMR) Connection in Greater Vitoria Metropoliton Region (GVMR) Source: Data provided by CESAN. Appendix C ___________________________________________ 3 Application of financial and legal penalties was lax within the two-year program and beyond such that only 58 fines were issued between the years 2012 and 2016. Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks Monitoring and Evaluation » Capacity-building activities were another instrumental CESAN has not conducted any in-depth analysis of factor in the successful implementation of the program. the connection program that would explain customer Program contractors underwent a three-day training motivations, characterize program costs, and impartially course specifically focused on social mobilization and evaluate results. The “Se liga na rede” program is still how to interact with households, which was indispensable active, and it continues as part of CESAN’s technical for accurate performance of the required tasks. 86 and administrative units. It no longer has a separate » The ES experience suggests that connection program implementation unit with its own budget and staff. 4 designers should put in place sufficient legal and administrative methods to prevent or address the free- Lessons Learned rider problem (a situation in which some users do not pay The following lessons were learned. their sewerage fees) after installation of facilities. » In contrast to other countries and cities, the people in » Previous and relevant capabilities in program GVMR mostly complied with the municipal law requiring management and regional expertise accounting for mandatory connection to sewerage networks. Possible local legal, economic, and cultural idiosyncrasies can factors for legal compliance included citizens’ concern for significantly accelerate a connection initiative’s pace and the protection of the environment and satisfaction with increase its chances of success. the services provided by CESAN and local governments. » Based on this experience CESAN adapted its connection » CESAN’s willingness to modify the program management process to mainstream it during the construction of the model based on feedback and outcomes contributed to sewerage network, aiming at connecting about 60 to the program’s successful implementation. 70 percent of households as the sewerage network was » According to CESAN, a connection rate of more than 90 being built. This process also allowed them to better percent was achieved through the subsidized program, plan the sewerage system, and identify issues during suggesting that application of municipal regulations and investment execution, to avoid some of the issues they laws can work even in the absence of subsidies and other experienced while implementing the connection process economic and financial incentives. (e.g., household located at a lower level than the mains it » The use of digital photography facilitated the inspection needs to be connected). and control of executed works and the resolution of conflicts between the contractors and owners. Espírito Santo, Brazil Case Study 1 Photographs of Multiple Initiatives under the Household Connection Program Source: World Bank, 2017. Sanitation promotion in schools Installer training Technical checks Appendix C ____________________________________________ 4 Digital, B. (n.d.). Se liga na rede. Retrieved June 16, 2017, from http://www.cesan. com.br/seliganarede/index.php Appendix C Case Studies SÃO PAULO, BRAZIL Connecting 192,000 properties to sewerage 87 TYPE FINANCIAL Subsidized, supply-driven program to connect 192,000 » Connection and tariff subsidies are key to encouraging properties to new and existing sewers. low-income households to connect, particularly if repair costs of damaged floors are included. IMPLEMENTING ENTITY » Water and sewerage companies need to have sufficient Companhia de Saneamento Básico do Estado de São liquidity to pre-finance expenses of a connection Paulo (Sabesp), the São Paulo State Water and Sewerage program when governments only reimburse connection Utility, a water services utility majority-owned by the state costs upon completion. of São Paulo. » Average cost per connection is about US$780; this figure TOTAL COST includes the program’s administrative costs. Estimated budget—US$115 million (2012–18) INSTITUTIONAL » A regional (state) program depends on (and takes FINANCING 80 percent from state government; 20 percent from Sabesp advantage of) preexisting programs and requires effective government administrative systems and capacities. DURATION » There is a role for the private sector in program Active since 2012 implementation if installers are professional firms and if program managers ensure that private implementers GEOGRAPHIC SCOPE incorporate social elements. Western and southern parts of the São Paulo » The state government is responsible for monitoring the Metropolitan Region overall program, and quality control of completed work is São Paulo, Brazil OVERVIEW carried out by Sabesp. Case Study 2 In 2012, the state government of São Paulo initiated LEGAL a connection program to be implemented by the » Since 2002, the city of São Paulo made it mandatory to Companhia de Saneamento Básico do Estado de connect to a sewerage network, if available nearby. São Paulo (Sabesp). The program “Se liga na rede” was designed to achieve the objective of connecting TECHNICAL 192,000 properties to the sewerage system. Two types of connections were offered: » Type 1 : sewerage pipe connects to a network without SOCIAL entering adjacent properties. » The program’s successful promotion largely depends » Type 2 : sewerage pipe must pass through other on understanding clients’ needs, attitudes, and properties. This second type of connection assumes the socioeconomic situations. technical characteristics of a condominial sewer, passing » Hiring women for social promotion, and taking account through three or more properties before reaching a of the reality of participatory neighborhoods, reflects network. On average, this type costs 34 percent more the importance of flexibility in the program and the than the first type. creativity of Sabesp. Appendix C Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks Since early 2000, municipal governments of São Paulo State have started promoting environmental protection, especially for water quality in rivers. Sabesp’s interest in a household sewerage connection program stemmed from its desire to: (a) increase its client base and associated revenues, (b) display corporate social responsibility, and (c) 88 pursue the fundamental national goal of attaining universal access to water and sanitation services. Since 2002, it has been mandatory in the city of São Paulo to connect to a sewerage network if it is available.6 In 2003-04, with funds obtained from the Inter-American Development Bank (IDB), Sabesp implemented a pilot project to increase sewerage connections in the western and southern parts of the São Paulo Metropolitan Region. map C.2 / São Paulo, Brazil Of the 9,087 feasible connections (that is, properties with closer access to the network), 3,323 properties were connected, which corresponded to a success rate of only 37 Overview percent. At that point, three main reasons were identified In 2012, the state government of São Paulo initiated by families for refusing to connect: a connection program to be implemented by the Companhia de Saneamento Básico do Estado de São 1. Lack of financial capacity to pay monthly sanitation Paulo (Sabesp) the water and sewerage utility majority- tariff; owned by state (see map C.2). The eight-year program, 2. Preference for their existing wastewater disposal called “Se liga na rede,” 5 was designed to connect system; and 192,000 households to the sewerage network. The 3. Difficulties in obtaining authorization of necessary program’s estimated budget was US$115 million (from easements. 2012-18). Eighty percent of the program’s financing came from the state government and the remaining 20 percent ​​ In 2012, the state government of São Paulo, in from Sabesp. The program is active. collaboration with Sabesp, created the connection program “Se liga na rede.” The eight-year program has Background and Motivation a goal of connecting about 192,000 properties to the São Paulo, Brazil The state of São Paulo in Brazil was home to more than 44 sewerage network with an estimated budget of US$115 million inhabitants in 2018. Most of the state’s population Case Study 2 million for the 2012-18 period. The state government is is served by the State Water and Sewerage Company, contributing 80 percent of the program financing and Sabesp, one of the largest water supply and sewerage Sabesp the remaining 20 percent. service providers in the world. Since the 1990s, the company has focused on accelerating the pace of connection to its Each year Sabesp makes more than 230,000 new sewerage systems. Sabesp has been pursuing the objective connections to its sewerage network. The number of of achieving 86 percent connection of its potable water participants in the program has been relatively low. From customers to the company’s sewerage system. 2012 to 2020, the program connected 35,637 properties. Because of the water crisis of 2014–15, the program was In 2018, Sabesp supplied water to 28.6 million people significantly reduced in scope, as depicted in figure C.3. (directly to 25.5 million) in the state of São Paulo and sewerage services to 22.8 million people. About 3 million Intervention Design people are still without sewerage services in the state. Based on the baseline survey and previous experiences, or- The exact number of people who do not connect, despite ganizers designed the program “Se liga na rede” to primar- having access to the network, is still unknown. ily address two key obstacles for potential clients: cost and Appendix C ____________________________________________ ____________________________________________ 5 Literally, “connect to the network.” 6 Law No. 13,369 of June 3, 2002, issued by the Municipality of São Paulo. Appendix C Case Studies lack of information. The program adopted four basic criteria and functionality of the internal plumbing systems. for a household or property to be eligible for a connection: Sabesp does not charge for connection of an owner’s » Income up to three times the minimum wage or residency first property. Low-income families pay less for monthly in areas officially classified as highly socially vulnerable fees, thanks to Sabesp’s water supply and sewerage tariff according to the Paulista Social Vulnerability Index (IPVS) consumption subsidies for these households. » Property that is compliant with technical requirements for connection (water connection must be made, internal To address the potential lack of information and 89 plumbing for the dwelling must be at a higher level than knowledge among customers, organizers emphasized the network) individual contact with customers. The program recruited, » Authorization of the owner trained, and deployed hundreds of social agents (all » Owner’s willingness to sign a participation agreement with women over the age of 50) to visit customers. the company. For properties with tenants, the agreement Sabesp oversees the promotion, execution, and must be signed by the client registered with Sabesp. administration of the connection program. Its specific Connections for families in groups four, five, and six of responsibilities include: » Mapping the socioeconomic status of potential clients; the IPVS or São Paulo’s Social Vulnerability Index 7 are » Identifying reasons for not connecting; subsidized. The subsidy for low-income families covers » Understanding residents’ perceptions of sanitation; and the total cost of connection, including installation of » Designing a program promotion plan based on collected internal connections to carry wastewater and graywater and analyzed information. to the grid, laying of pipes and fittings, construction of inspection chambers, establishment of the connection, The state government supervises Sabesp’s work through and replacement of damaged floors. Although the a review of periodically submitted reports and by directly program does not cover installation of sanitary appliances, contacting program beneficiaries via phone. it usually does allow minor repairs to ensure integrity figure C. 3 / Connections Made by the “Se Liga Na Rede” Program between 2012-20 (São Paulo, Brazil) São Paulo, Brazil Case Study 2 Appendix C Source: Sabesp 2020; 2019; 2018; 2017; 2016; 2015; 2014; 2013. ____________________________________________ 7 Assembleia Legislativa do Estado de São Paulo. (n.d.). Retrieved June 21, 2017, from http://indices-ilp.al.sp.gov.br/view/index.php?prodCod=2. Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks Construction contractors are trained and certified by the Nonetheless, development of trusted relationships and company before installing connection facilities. Sabesp mutual respect between promoters and clients has supervises its contractors by reviewing sample works. been verified so that interactions do not become purely commercial transactions. Program Implementation An overview of the program cycle is provided in figure Contractors take photographs of properties before and C.4. The state government informs Sabesp about the after execution of work to demonstrate completed activities 90 financing available for the year, and, based on the amount, prior to an inspection. Photographs also provide contractors municipalities prioritize neighborhoods. Based on collected with evidence of property conditions before starting work information, the company prepares bidding requests, and in case of any claims or complaints from owners or tenants. contractors submit their offers. The state government Upon completion of the work, tenants/owners sign a receipt reimburses Sabesp for executed works through quarterly acknowledging acceptance of the work and of its quality. In proceeds justified by reports prepared for each property case of complaints, owners or tenants raise them directly that was served. As a large and well-established company, with Sabesp. Reportedly, about 95 percent of participating Sabesp can prefinance the program with its own funds. households are satisfied with the outcomes. Sabesp reports that 78 percent of new customers pay their monthly water Sabesp carries out technical inspections and social and sewerage tariffs on time. promotion activities in identified neighborhoods. Next, the winning bidder evaluates the feasibility of each Sabesp indicated no problems with obtaining bidding potential connection before the execution of works by offers. Contractors, in turn, reported incidents of theft verifying that target properties meet the program’s and loss of contractors’ equipment and materials have eligibility criteria. The process involving technical been rare. One dependable technique used to prevent evaluation and initiation of works typically takes seven loss and theft is to hire guards from among members days, and construction itself takes a maximum of of the local community. The practice ensures safety of three days. Owners and tenants must sign a document workers, materials, vehicles, and contractor equipment. indicating their agreement to each of the outlined terms Although there is no program requirement to hire local and conditions for the execution of the works. labor, contractors often do hire local workers based on the recommendation of local leaders. Social promotors then visit potential clients and promote connections by highlighting multiple benefits, including During program implementation, the importance of using improved quality of life and health. Social promotors are technology to facilitate execution of technical work has paid after household acceptance, a condition that serves become evident. For example, contractors easily resolve São Paulo, Brazil as an incentive to “sell” connections to property owners. technical problems by circulating images and messages Case Study 2 figure C. 4 / Overview of the Program Cycle (in São Paulo, Brazil) Appendix C Appendix C Case Studies among workers, engineers, and inspectors. It also is more Lessons Learned efficient to order and ship materials with technology to São Paulo’s experiences with its connection program avoid sudden suspension of work. In addition, contractors, provide us with the following lessons: supervisors, and inspectors communicate decisions and » Connection subsidies and tariff consumption subsidies authorizations more fluidly, thereby avoiding problems with are key to encouraging low-income households to collecting worksheets or dealing with installation failures. connect, particularly if repair costs of damaged floors are included in the connection subsidy. 91 At the beginning of the program two connection types were » A regional (state) program depends on (and takes applied: advantage of) preexisting programs and requires effective » Type 1: the sewerage pipe of the property connects to a government administrative systems and capacities. network without entering adjacent properties » Successful promotion of a program largely depends » Type 2: the sewerage pipe has to pass through other on understanding clients’ needs, attitudes, and properties. socioeconomic situations. » There is a role for the private sector in program The second type, on average, costs 34 percent more than the first (about US$800 versus US$625). Type implementation if installers are professional firms and if 2 connections assume technical characteristics of a program administrators ensure that private implementers condominial sewerage network passing through three or incorporate social elements. » Advances in communications and information systems more properties before reaching a network. The program also has used other types of connections, depending on positively influence efficiency and effectiveness of a the floors to be replaced (cemented areas versus those connection program, a situation that manifests itself with tiles or other fine materials.) In 2017, the average during planning, implementation, administration, and cost per connection was about US$780, a figure that monitoring of the program. » Hiring women over the age of 50 for the social promotion includes the administrative costs of the program. Since its inception, the program has operated in more than 110 work has proved very effective and, together with taking São Paulo municipalities in neighborhoods identified by account of the reality of participating neighborhoods, municipal governments. highlights the flexibility and creativity of Sabesp in implementing the program. Monitoring and Evaluation » Water and sewerage companies need sufficient liquidity The state government is responsible for random monitoring to prefinance expenses of a connection program when and quality control of executed work. The best indicators governments reimburse connection costs upon of a job well done are the approval of the owner, who signs completion. São Paulo, Brazil a form indicating acceptance of the finished work, and the » Situations, such as the São Paulo water crisis of 2014–15, Case Study 2 approval of Sabesp because it oversees post-completion can slow down connection programs unless they receive operations and maintenance of facilities. higher prioritization. The volume of subsidized work has been relatively low compared with the total number of The state government reimburses Sabesp through sewerage connections installed per year. In fact, even quarterly proceeds justified by reports prepared for during the program’s initiation period, it was evident that each property serviced. Before and after photographs, the program would not meet its numerical targets. acceptance forms signed by owners, and random inspections serve as control mechanisms for determining Sabesp went through a trial-and-error period but eventually physical execution and for assessing quality. Sabesp became highly efficient in program administration and believes that the connection program has reached a high management. Nevertheless, it has been noted that São efficiency level, and it proposes no modifications to the Paulo’s program would benefit from an external evaluation. program design. However, the company does intend to Such an analysis would address the need to increase the improve the monitoring system. Sabesp acknowledges that program’s annual scope of work and identify opportunities an external and independent evaluation of the program has to improve quality and efficiency; furthermore, it would not occurred. Initially, the program team met monthly to address reasons why the program is not meeting annual analyze results; however, the frequency fell to quarterly. goals and recommend ways to move forward. Appendix C Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks COLOMBIA More than 30,000 connections resulting in 75 percent connection to sewers 92 TYPE INSTITUTIONAL New sewerage connections benefiting 30,159 homes The program is financed with resources from the through a subsidized, supply-driven program Departmental Water Plan (PDA), from municipal entities or from International Cooperation, among others. IMPLEMENTING ENTITY Ministry of Housing, City, and Territory (Ministerio de SOCIAL Vivienda, Ciudad y Territorio MVCT) » Collaborates closely with Red Unidos (who represent the most vulnerable and needy households). TOTAL COST » Required time to build trust with population served. Many First phase—US$41 million; second phase—US$19 million people lack faith in the program until construction begins. » Maintained pro-poor approach. Concrete criteria ensured FINANCING Predominantly funded by the central government that subsidies reached the neediest. DURATION FINANCIAL » Funded mainly by the central government, which invested First phase (2012–14); second phase (2015–18) about US$41 million. The program installed sewerage GEOGRAPHIC SCOPE connections in 30,159 homes across 20 municipalities in 20 municipalities its first phase of implementation. » Authorized subsidies for household connections. OVERVIEW » The average subsidy for residential facilities was high Colombia’s National Development Plan (2011–14), (close to US$2,700), a factor that limited the number administered by the Ministry of Housing, City, and of beneficiaries. Territory (Ministerio de Vivienda, Ciudad y Territorio MVCT), initiated a connection program (Conexiones Case Study 3 LEGAL Colombia Intradomiciliarias) funded mainly by the central government » Government entities received permission to cover the full of Colombia. The initial goal of the program was to connect cost of household access to sewerage connections. 90,000 families with water and/or sewerage. During the » In 2012, regulations included in the national plan law period of 2012–14, the program invested approximately established the maximum subsidy values and set criteria US$41 million, installing sewerage connections in 30,159 for targeting the program to specific population groups. homes within 20 municipalities. The program resulted in 75 The financial limit of the subsidy was 10 times the percent of households gaining access to basic sanitation. legal minimum monthly salary (SMMLV), an amount of During the second phase (2015–18), the project aimed to approximately US$2,700. prioritize concentrated population centers in rural areas. » Potential participants were required to submit their The project ensured integration of social and technical deeds of ownership and sign participation commitments interventions into a single implementation contract. The authorizing access to the property during construction. introduction of legally binding criteria for subsidies ensured Tenants were cosignatories with owners. that they reached the neediest households, and the project was interdisciplinary in its design and execution. TECHNICAL » Integration of social and technical interventions into a Appendix C single implementation contract facilitated coordination between the two components of the process. » Use of low-water consumption equipment reflected a concern for the long-term integrity of the systems. Appendix C Case Studies Background and Motivation About 93 percent of the urban population of Colombia has access to sewerage services, according to the National Administrative Department of Statistics (DANE), with 78 percent of the poorest quintile connected to sewerage. In 2011, the government approved the National Development Plan, which authorized subsidies for household connections. 93 This led to the “connect-with-water program,” which aimed to provide subsidies to connect 90,000 of the poorest families to water supply and/or sewerage services. In addition to financial support from the central government, the program received resources from the Departmental Water Plans (PDA) for ongoing monitoring by MVCT. Funding also came from the Inter-American Development Bank (IDB), the Family Foundation, the Spanish Agency for International Development Cooperation (AECID), and the Foreign Ministry. During its second phase (2015–18), the program collaborated with the MVCT Neighborhood Improvement Program, and financial contributions were obtained from the departmental and municipal governments. The program collaborates closely with Red Unidos (representing the most vulnerable and needy households in the municipalities). Intervention Design The initial goal of the program was to connect 90,000 map C.3 / Colombia families with water and/or sewerage. In 2012, national regulations established the criteria for program targets Overview and for maximum subsidy values to households. The Colombia’s National Development Plan (2011–14), financial limit of the subsidy was 10 times the minimum administered by the Ministry of Housing, City, and Territory monthly legal salary (SMMLV), an amount of approximately (MVCT), initiated a connection program funded mainly by US$2,700. In the departments with the highest costs of Case Study 3 Colombia the central government. The initial goal of the program was living (Amazonas, Chocó, Guainía, Guaviare, Providencia, to connect 90,000 families with water and/or sewerage. Putumayo, San Andrés, Santa Catalina, Vaupés, and In 2012–14, the program invested about US$41 million, Vichada), the subsidy limit was set at 13.6 times the installing sewer connections in 30,159 homes across 20 SMMLV. The value of the subsidy underwent periodic municipalities (map C.3). The program resulted in 75 revisions and modifications, based on results obtained and percent of households gaining access to basic sanitation. the economic situation of the country. The project’s second phase (worth approximately US$20 million) spanned 2015–18 and aimed to prioritize population-concentrated centers in rural areas.. The project integrated social and technical interventions into a single implementation contract and introduced legally binding criteria to ensure that subsidies reached the neediest. Furthermore, the project was interdisciplinary in its design and execution. Appendix C Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks Annually, participating municipalities were prioritized Potential participants must have submitted their deeds according to several factors, including the following: of ownership and signed a participation commitment to » The number of people belonging to strata 1 and 2 authorize access to the property during construction. » Participation in the united network of the presidency of Tenants were cosignatories with the owners. Contractors the republic were responsible for the complete process of connection, » The Multidimensional Poverty Index in each urban area including social intervention, design, and execution of 94 » The management capacity of water companies, works. During execution of the project, regular meetings in accordance with the Single Information System of local committees occurred; a representative of MVCT administered by the superintendent of public sometimes attended, if necessary. Social interventions utilities (SSPD). focused on home visits to promote the project, and close coordination with neighborhood organizations identified all After identification of municipalities, participating neigh- potential participants. borhoods were selected, using criteria established jointly by the MVCT, the municipality, the local utility company, and After the completion of projects, the contractor tested a representative of Red Unidos. Priority went to neighbor- the water pressure and sewage flow in the presence of hoods with the highest percentage of people identified as an inspector. The program required that the installations stratum 1, or the most marginalized population. were in accordance with established regulations for the installation of water-saving equipment and appliances. After identification of municipalities and neighborhoods, the program developed in two phases: diagnosis and Program Implementation execution. The two stages typically required a year in total, The first phase of the program spanned 2012–14; the or six months per stage. Diagnosis is the verification and second phase, 2015–18. During implementation, several approval by an inspector of preliminary data on household successes and challenges became evident. The first phase needs prepared by local governments or water companies. (selection of municipalities/neighborhoods) faced multiple Once approved, preparation began for the bidding delays because of the large number of participants in the documents for execution of projects. At this stage, the process. It experienced additional complications because of households selected four of the following five program the inclusion of other donors or funders. intervention works: (a) hand basin and drain; (b) sanitary appliance, including facilities and faucets; (c) shower with Difficulties during execution included problems with siphon drain, and floor grate; (d) sink for washing up/ neighborhood stratification, which occurred upon household laundry, faucet, and drain; and (e) sink with drain and drain selection, and deficiencies in the quality and types of valve. Since 2012, the program has allowed the installation existing water and sewerage services, a situation that of the five works, provided the maximum value of the affected new construction. Contractors faced significant Case Study 3 subsidy is not exceeded. logistical challenges because of the large number of Colombia simultaneous projects. In addition, contractors tried to The second phase (execution) took another six months and complete the work as quickly as possible due to losses of included the following steps: stored construction materials. The program experimented » Socialization of the project, using contracted social with hiring local labor without great success because some communicators and local government staff (two months) workers did not receive adequate technical training. » Technical diagnosis of construction per household (this could be time-consuming depending on the existing As a result of the high subsidy allowance, almost all situation) identified beneficiaries participated in the program. This was » Physical execution of the works and their final approval a major success of the program. In some cases, the program (about two months) indirectly motivated homeowners or renters to invest their » Social Management Plan (PGS) under the lines of: own funds in their in-home facilities. However, it took time Communication, Training, and Community Participation, to build trust with the population, and many people were which were implemented in a transversal manner only convinced when the construction work began. throughout the execution phase Appendix C Appendix C Case Studies Monitoring and Evaluation » Define the actors and roles and responsibilities of each in During the pilot phase of the program, inadequate the implementation of the program. scheduling led to fewer-than-expected connections, » Ensure consistent knowledge sharing to each of the and costs exceeded proposed prices. It was noted that participating entities, thus avoiding setbacks in processes the program made important adjustments (during and loss of information. implementation) to improve performance in terms of » Provide continuous feedback and improvement to quality and cost, including: overcome obstacles that may arise. 95 » Reducing execution times It should be noted that the program, now in its third phase, » Improving estimates for the specific amount of work is still ongoing and has been consolidated as a State » Strengthening the quality of audits and inspections Strategy in the country. » Employing local labor when possible » Adapting designs to local conditions Lessons Learned It is important to mention that the central government cut The following are lessons learned from the project: » A national program depends on (and takes advantage of) financial support by about 50 percent due to the country’s deteriorating economy. However, thanks to the “Impact and preexisting programs and requires effective government Design Evaluation of the MVCT connections program” study administrative systems. » Program regulations included preestablished limits for carried out by the National Planning Department in 2014, identified the following impacts and effects of the program subsidies and administrative procedures necessary to in the beneficiary municipalities and households: meet legal requirements. » The ease of access to water services increased » The Colombia program established a pro-poor approach the opportunities for, and the effectiveness of, the and introduced concrete criteria to ensure that subsidies beneficiaries’ ease to access the sanitation services. reach the neediest people. » The program generated positive impacts on hygiene. » It is important to focus on internal plumbing fixtures Beneficiaries washed clothes more thoroughly and because benefits to health, privacy, and general well- washed their hands more frequently before preparing being depend less on the connection and more on food or after leaving the bathroom. internal facilities. » For children under 5 years of age, a 33 percent decrease » The average subsidy for residential facilities was very in the probability of suffering from diarrhea was found. high (close to US$2,000 for each household), which Additionally, in young people between 12 and 17 years limited the number of program beneficiaries. With old, the probability of suffering from diarrhea reduced the financial cut in the second phase, the number of by 1.5 percent. beneficiaries fell sharply. » The program positively reduced the transmission of » Specifications and installation of water-saving Case Study 3 equipment reflected a concern for the long-term Colombia acute diarrheal diseases through improved management of domestic wastewater and the reduction in the integrity of the systems. » Integrating social and technical interventions into a requirement for household water storage. » Beneficiaries reported that they bathe with more ease single implementation contract facilitated coordination (which frees up time for other things and improves self- between the two components. » Working in individual homes has technical and social esteem) and with privacy which reduces the probability of being victims of verbal harassment or any other type complications. Each home and each client is different, of harassment. and require individualized responses. At the beginning of the Colombia program, some facets of planning, Key efforts for the successful implementation of the logistics, coordination, hiring of laborers, and other connection program were to: components resulted in high costs and arrears at every » Regulate the program through a national standard. step. Over time the performance of contractors and » Establish a very clear scope for both design and administrators improved. implementation stages. » Design a social strategy that is linked to each of the Appendix C program’s execution stages. Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks GUAYAQUIL, ECUADOR Improving the city’s connection rate from 45 percent to 85 percent 96 TYPE FINANCIAL Subsidized, supply-driven sewerage connection program » About 31 percent of homeowners did not connect because benefiting 10,000 households of financial constraints, a situation that motivated the development of conditional cash transfers. IMPLEMENTING ENTITY » The standard costs are US$500-600 (household Private operator Interagua and the public municipal connection only) and US$1,750-2,000 (household enterprise la Empresa Municipal de Agua Potable y connection and network rehabilitation). Alcantarillado de Guayaquil (EMAPAG-EP) INSTITUTIONAL TOTAL COST » EMAPAG-EP was motivated to develop the connection US$146.5 million program to support the city’s Poverty Eradication Strategy and National Development Plan 2013–2017. FINANCING » The program was developed and implemented by a Combination of investments by Interagua and the public-private partnership (PPP) between the private Central Bank of Ecuador and revenue from a special vendor Interagua and the public municipal enterprise user tax, named the special enhancement contribution EMAPAG-EP. (contribución especial de mejoramiento (CEM)). » The program involved the National Water Secretariat of DURATION Ecuador (la Secretaría Nacional del Agua-SENAGUA). 2013–15 » The program involved the municipal governments, which are responsible for water supply and sanitation service Guayaquil, Ecuador GEOGRAPHIC SCOPE delivery within their areas of jurisdiction either directly or Economically disadvantaged districts of Guayaquil through delegation to a public company or community- based organizations. Case Study 4 OVERVIEW The connection program in Guayaquil increased access LEGAL to improved sanitation services and reduced wastewater » Land tenure issues associated with the city’s massive pollution in select areas of the city. The program focused and uncontrolled expansion over the past 40 on community participation, provided financial incentives, years (since the 1970s) resulted in the adoption of targeted low-income households, and applied legal appropriate administrative laws. mechanisms requiring households to connect to the » A critical executive decision by municipalities to buy sewerage network. The program’s success led to a US$461 land from original owners/occupants and sell it in million follow-up program starting in 2015. installments at a regulated price made it possible to SOCIAL address the land legalization issue. » Over 50 percent of the inhabitants in low-income » The creation of a municipal ordinance allowed public neighborhoods of the city lived below the national investment in private property. The recovery of investment poverty line. was subsidized at more than 85% and paid back to users » The program promoted the concept of “social co- over 15 years. This was recovered through the CEM. responsibility” through “connection certificates.” The Appendix C TECHNICAL program encouraged user responsibility toward system Technical impediments, such as houses being located at a management and payment of the tariff. lower level than the network, resulted in municipal ordinances imposing easements for all branches of the sewers. Appendix C Case Studies The program focused on community participation, providing financial incentives, targeting poor households, and applying legal mechanisms requiring households to connect to the network. The program was successful, and it led to a follow-up project in 2015 financed by the GoE, the World Bank, and the European Investment Bank (EIB) with investments totaling totaling US$461 million. The success 97 of the program allowed EMAPAG to institutionalize the importance of the household sewerage connections, and the current World Bank portfolio is supporting its scaling up, as are those of other donors such as EIB and AFD with approximately 40,000 new connections to be completed. Background and Motivation Since the late 2000s, the GoE has invested heavily in infrastructure and social sectors to stimulate growth, reduce inequality, and promote inclusion in urban centers. In line with such efforts, the GoE has prioritized improving water supply and sanitation (WSS) services as the foundation of its Poverty Eradication Strategy and its National Development Plan 2013-17. Environmental and community well-being benefits were also key motivators for the program described here and the current program. Connections to the sewerage network triggered a domino effect: removing pollution along the shores and riverbanks led to opportunities and projects for map C. 4 / Guayaquil, Ecuador the requalification of public spaces, which in turn improved community health as the exposure to excreta- and water- Overview related diseases decreased. The latter two improvements Guayaquil, Ecuador The connection program in Guayaquil, Ecuador (map encouraged the communities to start using/occupying C.4), increased access to improved sanitation services the safe riverbank public spaces. The contrast between and reduced wastewater pollution in select areas. Initiated one part of the city, where people on a riverbank were Case Study 4 in 2013, the program benefitted approximately 10,000 connected to the sewers, and the other river bank, where households in economically disadvantaged districts of they were not connected, was considerable. Guayaquil. The beneficiaries comprised 95 percent of the initially surveyed and targeted population. Private operator Interagua and the public municipal enterprise Empresa Municipal de Agua Potable y Alcantarillado de Guayaquil (EMAPAG-EP) developed and implemented the program, financed through investments by Interagua and the Government of Ecuador (GoE). Appendix C Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks At the time the program ended, Guayaquil was the most Intervention Design populated city in Ecuador (approximately 2.3 million The program’s target population lived in the poorest inhabitants and accounted for about 18 percent of neighborhoods, where the percentage of people below Ecuador’s gross domestic product (GDP).8 Compared to the poverty line ranged from 55 to 70 percent and where other cities in Ecuador, Guayaquil has very high poverty 18 to 32 percent of households lived in extreme poverty. levels, with more than 50 percent of the residents of poor Designers based the connection program on the results 98 neighborhoods living below the national poverty line.9 of a baseline survey, carried out by EMAPAG-EP, which Between 2007-17, national and municipal efforts expanded revealed high demand for and interest in connections to extend sewerage to Guayaquil’s slums to improve to sewerage networks. Forty percent of the households sanitary conditions and to reduce contamination of the interviewed considered connecting immediately, and 3 Guayas River and surrounding areas. percent were undecided. The survey also revealed that 31 percent of homeowners did not connect because of Before implementation of the program, the connection financial constraints and 17 percent because they had rate to the sewerage network in Guayaquil’s impoverished no knowledge of the procedures to connect. Additional areas was barely 45 percent. In 2008, EMAPAG-EP constraints preventing households from connecting to the adopted regulatory and community outreach measures sewerage network included technical impediments, such to increase the rate of connection in these areas. After as being located at a lower level than the network, and land implementation, the city’s sewerage coverage reached tenure issues following the city’s massive and uncontrolled approximately 80 percent, and its household connection expansion since the 1970s. rate approached 85 percent. The total cost of connection was estimated at US$500 Responsibilities and Institutional Framework per household (EMAPAG in reality uses a cost range of The Ecuadorian National Secretariat for Water (SENAGUA) US$ 500-600), a figure that included directing all the is responsible for developing and applying policies, drains away from the property to the sewer, building the standards, norms, and regulations for water resources and inspection chambers, making the physical connection water supply and sanitation. Municipal governments are to the network, cosigning, and sanitarily sealing the responsible for WSS service delivery within their areas of preexisting sanitation solution (latrine, septic tank, or jurisdiction, either directly or through delegation to a public direct outlet to the environment, and repair of broken company or community-based organizations.10 floors). If sewerage network rehabilitation is included, then the cost per connection was between US$1,750-2,000. Guayaquil, Ecuador In Guayaquil, the water supply and sanitation services are provided through a concession contract signed Accounting for the results of the baseline survey, the between EMAPAG-EP, a controlled and regulated connection program comprised two major components focusing on intensive promotion of the program to Case Study 4 company, and the private company Interagua, an integral concession for a period of 30 years that began in 2001. potential users and on establishment of conditional cash This arrangement applies to the entire city, all services transfers to households. (drinking water, sanitary sewerage, and storm drainage), Consequently, the program design incorporated financial and all areas (investment, operation, maintenance, and and social elements that reflected results of the baseline marketing of services). survey and encompassed complementary technical and legal elements to achieve the program’s strategic objective of expanding connections (figure C.5). ____________________________________________ 8 The World Bank Group (2015, February 27). Project Information Document (PID), Report No.: PIDA21815, EC Guayaquil Wastewater Management Project (P151439), from http://documents.worldbank.org/curated/en/645951468022137522/pdf/PID- Appraisal-Print-P151439-02-27-2015-1425062978530.pdf. 9 The World Bank. Connecting Latin America to Sanitary Sewerage (Rep.). (2017). Appendix C Washington, DC. 10 The World Bank Group (2015, February 27). Project Information Document (PID), Report No.: PIDA21815, EC Guayaquil Wastewater Management Project (P151439), from http://documents.worldbank.org/curated/en/645951468022137522/pdf/PID- Appraisal-Print-P151439-02-27-2015-1425062978530.pdf. Appendix C Case Studies figure C. 5 / Elements of the Connection Expansion Program, Guayaquil, Ecuador Special improvement 99 contributions Contribucion especial de mejoramiento, (CEM) was created to cover the total cost of connection, including promotion of connection installations, elimination of existing solutions (e.g., latrines and septic tanks), and ongoing opertion and maintenance of new facilities. Special tax rate and subsidie A special social tax rate was provided to families with limited incomes. In addition, low-income families received subsidies to connect drains in homes to inspection chambers for free. Pilot project A simplified sewerage pilot project allowed connections in areas previously without coverage and bypassed the technical Guayaquil, Ecuador challenge of connecting households located at lower levels of a conventional network. Case Study 4 Simultaneous coverage & connection Simultaneous installation of a new sewerage network and connection of households to the network occurred in areas previously without network coverage. Legal tools Laws, regulations, and municipal ordinances established the obligation to connect to the network wherever there was access. Appendix C Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks The cost of household connections was financed by the On the legal front, the municipal government addressed Interagua concessionaire (US$107.5 million), an annual issues of land regulation and legalization of land in illegal transfer to the city municipality from the Central Bank of settlements by adopting appropriate administrative laws. Ecuador (US$35 million), and a user tax, called special First, these laws made it possible to execute program improvement contributions (contribucion especial de activities in private properties with state funds. Second, mejoramiento (CEM); about US$4 million). executive decisions by municipalities to buy land from the 100 original owners or occupants and sell it in installments To effectively promote the program, cultivate at a regulated price made it possible to address the land accountability in citizens and customers, and nurture legalization issue. Last, municipal ordinances imposed informed and active participation by citizens, the program easements for all branches of condominial sewerage incorporated the following activities: network, thereby minimizing social conflicts during the » Community outreach. EMAPAG-EP and Interagua implementation of the piloted condominial sewerage established dedicated internal units to conduct project in certain neighborhoods. community development and social communication activities, including trainings, house visits, and Program Implementation educational events. Social intervention activities represented the largest » Citizens engagement . Contractors and inhabitants and most important aspect of the program’s strategic signed agreements outlining scope of work, allowing approach in promoting household connections. The social inhabitants to authorize the proposed project, assess intervention model applied in the program had several the quality of delivered outputs, and accept or reject main components (see figure C.6). the final product in writing. » Focus on end users. Contractors were obligated to Private construction companies executed the work establish customer service centers to handle complaints through public tenders issued by Interagua and and to provide the public with information and news EMAPAG-EP. The winners of public tenders received about the program and work in progress. initial census forms prepared by social facilitators from » Local capacity building. EMAPAG-EP and Interagua the communities. Once the construction contractors promoted training courses for community leaders to confirmed addresses and work to be done and once strengthen local capacity for self-management. owners signed authorization acts, the involved parties » Local workforce solicitation. The contractors gave agreed on installation dates. After completion of projects, priority to local skilled and unskilled laborers from the owners needed to sign acceptance forms and third-party Guayaquil, Ecuador targeted areas and sought local service providers to inspectors needed to review work completed before provide domestic economic opportunities. contractors received payment. Community development Case Study 4 figure C. 6 / Social Intervention Model in Guayaquil, Ecuador » Assessment of the locality Community Development » Meetings with leaders and residents » Identification of local stakeholders Social Organization » Strengthening of the existing community social structure » Promotion of program benefits Communication Plan » Communicating the service management model to citizens Appendix C » Trainings Local Capacity Development » Social participation activities Appendix C Case Studies agents coordinated activities and handled advocacy, Lessons Learned training, and conflict resolution through separate The connection program in Guayaquil, Ecuador, offers contracts. This separation of construction contracts and the following lessons: the work of community development agents ensured » Implementation of social communication and equitable participation by residents, socially audited the community development activities can contribute to program, and served as a monitoring mechanism. The program success by attaining stakeholder cooperation practice of hiring local labor provided an added benefit by and participation in addition to enhancing local self- 101 boosting economic growth in the community. management capacities. » Creation of social management and communication Monitoring and Evaluation units increases the importance and visibility of social The program applied post-construction monitoring interventions within institutions historically led by called “social co-responsibility.” Once the connection technical personnel. rate reached more than 90 percent of the targeted » Both public and private entities can successfully community, each connected household was asked to sign execute connection programs in various areas, a “connection certificate” outlining responsibilities of the including poor neighborhoods and slums. household toward the management of the system and » A connection initiative can encourage homeowners tariff payment. The details of the certificate helped ensure and renters to invest their own resources in improving that the community benefited from better environmental their sanitation facilities and to take advantage of free and health conditions in addition to enjoying improved installations as part of a program. quality of life. This approach placed responsibility for » Efforts to monitor the performance and results of monitoring and evaluation (M&E) on the community the connection program are pending; results of the rather than on the utility. The post-construction M&E monitoring may suggest modifications that would framework strengthened the local capacities of poorer improve the program’s efficiency and effectiveness. communities and aimed to create responsible consumer » The success of this program led to a follow-up project markets. The framework endeavored to help residents in 2015 with investments totaling US$480 million of lower-income communities learn to exercise their primarily from the government of Ecuador, the World rights and improve their decision-making skills, and it Bank, and the European Investment Bank. The success encouraged their active participation in the sustainability of the program allowed EMAPAG to institutionalize of services through voluntary compliance with ongoing the importance of the intradomiciliary sewerage operation and maintenance responsibilities. Guayaquil, Ecuador connection program, with investors supporting its scaling up, with approximately 40,000 new connections to be completed. Case Study 4 Appendix C Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks TAMIL NADU, INDIA Connecting 1,551,995 households statewide 102 TYPE SOCIAL Statewide sewerage development with connection » Program championed and driven by the state component supported by World Bank-financed Third Tamil government with effective participation and support of Nadu Urban Development Project. elected officials. » Extensive outreach and public engagement campaign. IMPLEMENTING ENTITY: Tamil Nadu’s Municipal Administration and Water Supply FINANCIAL Department » Households within 100 meters of sewerage required to pay for all sewerage schemes in the form of a one-time TOTAL COST non-refundable deposit, which helped meet a portion of US$1.5 billion committed for implementation of sewerage the capital cost (20 percent to 30 percent). projects in the state. National and state government » Users required to pay a charge to cover the costs of (centrally sponsored schemes) contributed US$734 operation and maintenance. million, World Bank US$187 million, KfW US$82 million, and » In Chennai, projects also included energy recovery and ADB US$500 million. sale of treated wastewater to industries. FINANCING » Connection and user charges related to the size of Blend of loans, grants from national and state » the property to address issues of equity with larger plots government, urban local bodies funds, and public deposits paying a greater charge than smaller plots. » Even after public deposit contribution, if a city is not DURATION able to meet its project cost, the gap is met by either Ongoing since 1997. World Bank project 2005–14. Tamil Nadu, India contribution from the urban local bodies or additional grants from the state. GEOGRAPHIC SCOPE Case Study 5 Tamil Nadu, a southeastern state of India. The city of INSTITUTIONAL Chennai’s population exceeds 5 million. » Multiple national, municipal, and local entities with clear roles and responsibilities for policies, financing, OVERVIEW and development of urban water supply and In 1997, the government of Tamil Nadu (GoTN) committed sanitation programs. to safely managing sanitation in dense areas of the state. » State Pollution Control Board is responsible for It began implementing sewerage schemes in seven standard setting and monitoring. cities through internal and external funding. In 2005, the Third Tamil Nadu Urban Development Project (TNUDP LEGAL III) funded by the World Bank (US$187 million) began » Regulatory provisions in Tamil Nadu (TN) mandate that a working on sewerage systems in 25 towns, which served house service connection be made when a sewerage line as district headquarters. The principles and approaches is laid and available within 100 meters from a household. for service connections and user charges developed » This provides the legal framework for urban local bodies under this project established the framework for sewerage to push households to connect to sewers. interventions in the state. TECHNICAL Appendix C » Flexibility and allowing contractors to adapt to ground realities are key. Appendix C Case Studies had been adequately informed about the project, signalled their willingness to participate in the equity of the project and to connect to sewers as construction progressed. The GoTN has adopted this approach as the norm for all sewerage projects in the state. Considerable efforts to make people aware of the need for such schemes and to show them that their deposits ensure sustainability of 103 the project proved to be critical to the program’s success. Flexibility and allowing contractors to adapt to contextual realities also contributed to the project’s success. Background and Motivation Tamil Nadu is the most urbanized major Indian state. About 48 percent of its population (35 million people) resides in urban areas, compared with the national average of 31 percent. By the late 1990s, when 75 percent of Tamil Nadu’s urban population had access to an onsite system (septic tank or pit latrine), the state capital, Chennai, had a partial sewerage network serving about one-fifth of its population. In 1997, the GoTN identified seven areas adjacent to Chennai for further investigation related to sewerage schemes. The overall objective of the sewerage interventions was to safely manage human excreta and wastewater through a sewerage network, and sewage treatment in phases in cities and towns. Rapid urbanization, demand for urban services, pollution map C.5 / Tamil Nadu, India of waterways, and elected officials who saw merit in supporting sewerage services were all motivation factors for sewerage interventions in major cities. The Overview approach had three phases: Tamil Nadu, India I n 1997, the government of Tamil Nadu (GoTN) formally » Densely populated suburban towns adjacent to proclaimed its commitment to providing safe sanitation in Chennai (1997–2003). Two sewerage projects out Case Study 5 seven urban areas adjacent to Chennai (shown in map C.5). of seven became reality in this phase. One of these Subsequent policy announcements and five-year plans sewerage projects was in Alandur, which set the precedent have reinforced the commitment to safe sanitation in more for public-private partnerships (PPPs) in the sanitation densely populated areas of the state, funded by a range sector and for collecting public deposits toward meeting of internal and external funding. In 2005, 24 urban local the capital expenditure for the sewerage system. bodies (ULBs) serving as district headquarters began the » Cities and towns along rivers (2002–06). Building implementation process under the Third Tamil Nadu Urban on the successful implementation of these first city- Development Project (TNUDP III) funded by the World level projects, sewerage schemes became a reality in Bank (US$209.7 million). The principles and approaches seven river cities, with financing from the National River for house service connections and user charges developed Conservation Plan (NRCP) of the government of India under this project provided the framework for sewerage (GoI) with participatory funding from GoTN and ULBs. interventions in the state. The project required a public » District headquarters, cities with more than 100,000 deposit from households within 100 meters of the people, and heritage and towns of religious importance sewerage network (and allowed payments in installments) (2005–14). Sewerage projects were implemented in to meet the capital cost of the schemes. Households were 24 ULBs identified as district headquarters or growth also required to pay a user charge to cover the costs of Appendix C hubs, under TNUDP III. operation and maintenance of the sewerage network and sewerage treatment. This contribution from the users, who Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks In addition are GoI’s centrally sponsored schemes—the In 2005, the World Bank financed TNUDP III (US$187 Jawaharlal Nehru National Urban Renewal Mission million). The project provided a fillip to sewerage systems (JNNURM) and the Urban Infrastructure Development in the state by financing 1,800 kilometers of sewers and Scheme for Small and Medium Towns (UIDSSMT) from 270 million liters per day of sewage treatment plants in 2005–14 and the Atal Mission for Rejuvenation and 24 ULBs. The principles and approaches for household Urban Transformation (AMRUT) from 2015–19 financed service connections and user charges developed under 104 sewerage infrastructure. JNNURM and UIDSSMT this project laid the framework for sewerage interventions financed sewerage projects in cities or towns, and in the state. Many teams from several states regularly visit AMRUT financed sewerage projects in 10 ULBs. Since Tamil Nadu to learn and replicate their efforts. 2015, the World Bank is supporting sewerage projects in two towns, KfW is supporting interventions in five towns Institutional Arrangements and ADB in eight towns. The Municipal Administration and Water Supply Department is responsible for policy, financing, and The urban sanitation policy landscape in India has evolved development of statewide urban water supply and since 2008, and it has been complemented by national sanitation programs. The Corporation of Chennai, the flagship programs. The National Urban Sanitation Policy Commissionerate of Municipal Administration, and the (2008) brought to the fore the need to safely manage Directorate of Town Panchayats are integral parts of human excreta and to look at the full cycle of sanitation. this department. The Commissionerate of Municipal In 2017, the National Urban Fecal Sludge and Septage Administration is responsible for implementing water Management Policy (2017) provided necessary guidance supply and sanitation programs in 135 cities (15 for cities dependent on onsite sanitation. Sanitation corporations and 121 municipalities), and the Directorate received national priority with the launch of the Swachh of Town Panchayats is responsible for water supply Bharat (Clean India) Mission (SBM) in 2014 for rural and and sanitation programs in 528 small towns. The urban areas. The SBM Urban (SBMU) provides funding for Chennai Metropolitan Water Supply and Sewerage household, community, and public toilets to eliminate open Board (CMWSSB) and the Tamil Nadu Water Supply defecation in urban India. Annual surveys and ranking of and Drainage Board (TWAD Board) are parastatals urban areas have added momentum to states’ and cities’ responsible for the provision of water supply and efforts to better manage their wastes and to have cities sanitation systems. The Tamil Nadu Urban Development that are clean, green, and free from open defecation. Fund (TNUDF) and the Tamil Nadu Urban Finance In 2015, the launch of the AMRUT provided dedicated and Infrastructure Development Corporation Limited funding to urban infrastructure and services delivery Tamil Nadu, India (TUFIDCO) are financial intermediary pioneers in the in India’s larger cities, including funding for sewerage. field of urban infrastructure financing. These financial The Smart Cities Program also potentially provides for intermediaries guide ULBs to develop urban infrastructure Case Study 5 resources to be invested in waste management systems. projects, assess their financial viability, and coordinate Investments under the National Mission for Clean Ganga in channeling funds from different sources to implement (NMCG) provide infrastructure support to cities in the them. The State Pollution Control Board is responsible Ganges River basin to manage their liquid wastes and to for standard setting and monitoring. The ULBs are prevent pollution of the river. Priority goes to cities that responsible for the sewerage connection programs. The have sewerage networks at risk of being ineffective due to state’s administration arrangements for urban areas of households not being connected. Tamil Nadu appear in figure C.7. Municipal bylaws in ULBs mandate that all households within 100 meters of a sewerage network to connect to sewers. This provides the legal framework for urban local bodies to push households to connect to sewers. Close monitoring by Commissionerate of Municipal Administration ensures that projects achieve/maximize house service connections. Appendix C Appendix C Case Studies Design Residents requiring a conventional household sewerage Under this project, a sewerage connection meant that the connection must pay a service connection fee or deposit pipe was brought up to the compound wall of the house and do the necessary internal plumbing to connect and that the user was responsible for internal plumbing to the sewerage network. All households (households to connect to the sewer. This led to delays in HSC; hence, paying property taxes and those on the ULB database) based on learnings from this project, the GoTN has in the project area are targeted for household sewerage modified its approach to include internal plumbing as part connections. Only households where sewers are proposed of the sewerage contract, so the cost is included as part of 105 pay a connection deposit. However no city in the state household charges for obtaining a sewerage connection. except for Chennai is fully sewered. Regulatory provisions in Tamil Nadu mandate that a household sewerage Connection charges based on property size help address connection (HSC) is compulsory when a sewerage line issues of equity, with households on larger plots paying a is laid and available within 100 meters from a household. higher charge than smaller ones. Public deposits not only Although similar provisions exist in many other urban contribute toward the total project cost, but they also areas of India, achieving high levels of HSC to sewerage ensure sustainability of the investment. Households are networks has proven to be a challenge. Typical deposits also required to pay a user charge to cover the costs of and plumbing costs appear in table C.1. operation and maintenance of the sewerage network and figure C.7 / State Administration Arrangements for Urban Areas in Tamil Nadu Tamil Nadu, India Case Study 5 Appendix C Source: Municipal Administration and Water Supply Department, Govt. of Tamil Nadu Note: CMWSSB = Chennai Metropolitan Water Supply and Sewerage Board; GoTN = Government of Tamil Nadu; MA & WS = Municipal Administration and Water Supply Department; TNUIFSL = Tamil Nadu Urban Infrastructure Financial Services Limited; TUFIDCO = Tamil Nadu Urban Finance and Infrastructure Development Corporation Limited; TWAD = Tamil Nadu Water Supply and Drainage. Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks sewage treatment. The user charge was approved by government, ULB funds, and public deposits. The approach the municipal council and communicated to households for determining the share of sources has three parts: through elected officials (ward councilors) and display » Determine the number of HSCs. boards at the city or town office. User fees ranged from » Determine the borrowing capacity of the city to estimate Rs. 120 to 150 (equivalent US$1.6–2)11 per household the amount of loan that can be taken. per month. In Chennai, projects also included an energy » Determine the gap to meet the total capital cost of 106 recovery component, which has helped meet 60 percent UGDS. to 80 percent of plant energy needs and the sale of » This gap is then divided by the total number of HSCs treated wastewater to industries, which helped defray to determine the public deposit contribution of each operation and maintenance costs. All projects prepare a household. A grant component for each scheme is also detailed project report, which includes design information, factored into the calculation, reducing the overall costs extent of sewerage network, number of HSCs, sewage for the household. treatment plants, capital, operating costs, and options to meet operations costs. Even after the public deposit contribution, if a city is not able to meet its project cost, the gap is met either by The GoTN collects a public deposit: a one-time contributions from the ULB or by additional grant money nonrefundable fee from the household that goes toward from the state government available as gap funding. meeting the capital cost of the underground drainage The ULB makes considerable efforts to educate people system (UGDS). Payments signify that users have received on the need for the UGDS schemes. These efforts adequate information, are willing to participate in the include awareness campaigns; meetings at ward level equity of the project, and will connect to the sewerage as with active involvement of elected representatives, ULB construction progresses. The total project cost comes from staff, and other influencers; issuing pamphlets; engaging a composite of loans and grants from national and state nongovernment organizations for facilitation; and so on. table C.1 / Typical Sewerage Connection Fees and Plumbing Costs for Tamil Nadu, India Tamil Nadu, India PLOT RESIDENTIAL COMMERCIAL DISTANCE FROM MATERIAL, LABOR, SIZES CONNECTION CONNECTION PROPERTY TO AND SUPERVISION Case Study 5 (Sq. ft.) FEE (Indian Rupees) FEE (Indian Rupees) SEWERAGE NETWORK (Indian Rupees) < 500 3000 6000 0-3m 1949 3-6m 2543 500-1200 5000 15000 6-9m 3127 1200-2400 7000 21000 9-12m 3711 > 2400 9000 45000 12-15m 4305 Appendix C Source: Commissionerate of Municipal Administration, Govt. of Tamil Nadu. Note: Indian Currency – I Rs = 0.014 US $ (Currency exchange as on Oct 16, 2020). ____________________________________________ 1 1 Indian Currency – I Rs = 0.014 US$ (Currency exchange as on Oct 16, 2020) Appendix C Case Studies Program Implementation Monitoring and Evaluation During implementation there were several technical ULBs and CMA regularly monitor and track progress of challenges to overcome. These included laying sewers in house service connections. This information is collated narrow lanes and the need for extra effort to lay sewerage and reported monthly to the government. A review of networks when dealing with hard rock, high water table, UGDS systems implemented with financial support from or loose earth. For example, baling was required to pump NRCP and TNUSDP III determined relative success in groundwater and shoring needed to prevent collapse ensuring household connections. An analysis of completed 107 of trenches. The presence of other utility lines required HSC schemes showed that on average, HSC schemes’ precautions to avoid damaging those while laying the effectiveness ranged from 50 percent to 90 percent in sewers. In many cases, this meant going below the existing getting households to connect to the sewerage network. utility lines while not unduly affecting the gradient. The complex construction led to some delays. Lessons Learned The following key lessons became apparent during Residents and city officials closely monitored the progress, development of this program. which kept pressure on contractors to complete the work. » Having the program championed and driven by the state Other factors also contribute to the project’s success. government with participation and support from elected Getting the council on board and getting its approval officials made it successful. or endorsement were crucial. Ward-level meetings with » The development of a concept, its testing and refining, residents and elected and city officials were helpful for and mainstreaming the approach. allowed it to be explaining the project, timelines, and expectations and for successful at scale. clearing up any misgivings. » Challenges of ground realities created the need to innovate to overcome issues encountered during The projects were financed by the national government implementation. For example, in narrow lanes, because (centrally sponsored schemes such as NRCP, JNNURM, of space constraints, contractors connected gray and UIDSSMT, and AMRUT) and state government and by black wastewaters from households directly to manholes loans from multilateral development banks (World Bank, or improvised inspection chambers to suit the available Asian Development Bank, and KfW). Of the US$1512 million spaces by connecting more than one household to committed for implementation of sewerage projects in the inspection chambers. By giving freedom to contractors to state, national and state government (centrally sponsored innovate, this helped overcome challenges and complete schemes) contributed US$734 million, World Bank US$187 projects on time. Connection fees based on property size million, KfW US$82 million, and ADB US$500 million. Tamil Nadu, India and allowing applicants to pay in installments helped low- Of 121 cities under the Commissionerate of Municipal income households connect. » Because of delays in households charged with modifying Case Study 5 Administration (CMA), sewerage projects have become reality in 35 cities, work is progressing in 20 cities, and or doing the internal plumbing to connect to the projects are in the preparation stage in five cities. Of the sewerage network, sewerage contractors were made 2,613,189 properties (households assessed and paying responsible for HSCs, including the internal plumbing, property taxes) in these 35 cities, 1,691,869—or 65 percent which speeded up project implementation. of the households—have paid the HSC fees, and about » Households’ ability to pay the connection charges was 40 percent of these households are connected to the also perceived as a bottleneck to increasing connectivity. sewerage network (completed internal plumbing and GoTN now gives households the option of paying for connected to the sewerage network) with 639,104 HSCs the HSC in 10 installments, further helping low-income as of December 2018. Between 1 percent and 2 percent households. This approach, which is unique in India to of the project cost goes toward information, education, Tamil Nadu, has the added advantage of reducing the and communication activities in all sewerage projects cost of debt to the ULB. implemented (World Bank–funded projects, government- funded projects, or both). Appendix C Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks NAIROBI, KENYA Output-based aid program connecting 137,243 people 108 TYPE » Engaged the county public health department to Demand-driven output-based aid (OBA) program support a communication campaign to build awareness subsidizing costs of connecting low income households to about subsidies, new services, loans, and the use of existing sewers new technologies. IMPLEMENTING ENTITY: FINANCIAL Nairobi City Water and Sewerage Company (NCWSC) » GPRBA provided co-financing (partial output-based subsidy) to NCWSC, conditional on: (i) NCWSC securing TOTAL COST commercial financing; (ii) connecting target households; US$10.55 million and (iii) providing sustainable service. » The GPRBA subsidy to NCWSC reduced the cost of FINANCING Global Partnership for Results-Based Approaches a sewer connection for customers by 65% to US$270; (GPRBA, formerly GPOBA), the World Bank, NCWSC NCWSC obtained the Ksh equivalent of US$6 million through a commercial loan from the Co-operative Bank of commercial credit, allowing the utility to offer on- Kenya, and households lending to customers with the option to repay this US$270 through monthly repayments of US$4.50 per DURATION month for 60 months. 2012–18 » Issues with the billing system, loan repayments, and their enforcement meant that customer repayment rates were GEOGRAPHIC SCOPE lower than expected, adding financial risk to the utility. Six informal settlements in Nairobi INSTITUTIONAL Nairobi, Kenya OVERVIEW » NCWSC established a robust billing system and Case Study 6 Nairobi’s Sanitation Output-Based Aid (OBA) Program provided extensive community sensitization on all (2012–18), administered by the Nairobi City Water and aspects of the program, which ultimately resulted in Sewerage Company (NCWSC), developed an OBA improved customer payments. connection program using commercial finance combined with a grant from the Global Partnership for Results- LEGAL Based Approaches (GPRBA). From 2012–18, the program » A balanced more lenient approach to nonrepayment of invested US$4.92 million to subsidize the cost of water the loan required working with customers and community and sewerage connections for low-income households leaders to address repayment problems and to develop and provide a catalyst for NCWSC to secure commercial repayment plans. financing that could amortize the remaining costs of these connections through on-lending to customers. TECHNICAL » The program provided a comprehensive water and The targeted program areas were able to achieve high connection rates, and the program reached 137, 243 sanitation package to each multi-household compound people, through the provision of 9,843 household which included: (i) a piped household water supply; sewerage connections and 7,683 water connections. and (ii) latrine upgrading or construction of two pour- flush toilets connected to the sewerage system, a Appendix C SOCIAL handwashing basin and a 400 litre water tank to help » NCWSC’s sociologists mobilized community leaders manage water supply rationing. and health workers to support implementation. Appendix C Case Studies Background and Motivation From 2007–19, the US$427 million World Bank Water and Sanitation Services Improvement Project (WaSSIP) invested in bulk infrastructure with the aim to increase access to reliable, affordable, and sustainable water supply and sanitation services, including services within informal settlements. This project did not finance the cost of the 109 final length of the sewerage connection to households. In Nairobi’s informal settlements—in which the majority of Kenya’s urban poor live— this final length of sewerage connection cost as much as US$1,170 per connection (including decommissions/adapting existing pit latrines), which was significantly higher than the assessed willingness to pay. A complementary program financed through the Global Partnership for Results-Based map C.6 / Nairobi, Kenya Approaches (GPRBA)12 was developed to help tackle the high connection costs that households were expected Overview to pay. The project enabled low-income households to With support of World Bank financing, significant connect to main infrastructure, increasing utilization and investments had been made in trunk infrastructure supporting the government’s poverty alleviation goals. for Nairobi’s low-income settlements, but high last mile connection costs inhibited demand for sewerage Intervention Design connections. In 2012, a US$4.92 million output-based The program provided financing to the NCWSC aid (OBA) program allowed the utility—the Nairobi City conditional on achieving connection targets as a way to Water and Sewerage Company (NCWSC)—to expand incentivize expansion of sewerage services in informal water and sanitation services for low-income households settlements, which were seen as high-risk, low-return in Nairobi (map C.6) through two channels: First, the investments for the utility. The main elements of the funds helped directly subsidize the cost of last mile program included the following: connections for low-income households; and second, » NCWSC received a grant of US$670 per verified the program helped the utility secure a commercial loan sewerage connection to cover 50% of the cost of to provide on-lending to customers, tapping into latent connecting a household. As securing commercial loan Nairobi, Kenya demand by releasing credit constraints. The project finance was a key output of the project, an initial sum equivalent to 10 percent of the total grant was paid to Case Study 6 reached 137,243 people through the provision of 9,843 household sewerage connections and 7,683 water NCWSC for securing a commercial loan of US$6million connections. The project worked across six informal to finance the project. The second subsidy installment settlements located in Nairobi’s low-income areas. (65 percent) was paid on actual connections verified by the independent verification agent (IVA). The final The program intervention areas experienced high subsidy installment (25 percent) was paid against connection rates, indicating that it had successfully evidence that consumers had received services for at addressed the upfront cost constraints to increasing least three months per billing records. service coverage. The sustainability and scalability of this approach depended on households continuing to make loan repayments to allow NCWSC to meet its commercial loan obligations from project revenues. Appendix C ____________________________________________ 12 The GPRBA grant was funded through a contribution from the UK Department for International Development (DFID) and the Netherlands Directorate-General for International Cooperation (DGIS) Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks • The typical residential property in the targeted • A sanitation intervention in a compound under the settlements consisted of several families, each with its project included the following: the upgrading of own single room, living together in a larger compound any existing latrines to connection-ready status, a that had shared toilet facilities. The compounds were process that included filling pit latrines and building mostly owned by a landlord who was also the NCWSC superstructures where needed; the installation of a customer account holder and who typically rented hand-wash basin; the installation of a 400-liter water 110 out rooms. For billing purposes, there was only one tank to store graywater for when piped water for NCWSC account per compound, and a connection flushing the toilet was temporarily unavailable; and the subsidy was applied at the compound level. physical connection of the new latrine to the newly built • Existing toilets were characterized as either “Type A” sewerage network. The landlords were the customers or “Type B.” Type A facilities were pour-flush systems, and they were required to invest in a subsidized water typically discharging into a septic tank, while Type connection as a precondition for getting the sanitation B facilities were pit latrines. There was a significant upgrade if they had not yet done so. cost difference between upgrading and connecting » Technical support was provided by the World Bank to Type A facilities to the sewerage system (US$388 per NCWSC in securing a commercial loan at market rates facility/connection) compared with Type B (US$1,170 to pre-finance the cost of infrastructure. Repayment for per facility/connection), but it was decided that all this loan was the responsibility of the utility, with a loan compounds would have the same connection fee and tenor of 10 years. loan repayment conditions regardless of the original toilet types. figure C.8 / Project Funds Flow (Nairobi, Kenya) Nairobi, Kenya Case Study 6 Appendix C Source: World Bank 2019b. Note: GPRBA (formerly GPOBA) = Global Partnership for Results-Based Approaches, MoF = Ministry of Finance, HHs = households. Appendix C Case Studies » Repayment of the commercial loan occurred through The project also supported various activities, such as revenue from newly connected customers, who were community engagement, customer awareness building, charged US$286 (US$16 upfront and US$270 in loan assistance for NCWSC to access a commercial loan, repayments) for sewerage connections. While the and support for commercial processes and for the landlords were the customers and were obligated to implementation of social marketing and hygiene promotion repay the loans, the renters benefited from the services activities. The focus group discussions with potential and in most cases, the room rent included an additional customers which were carried out before the contractor 111 amount to cover the combined water and sewer bill. entered the areas of intervention helped to increase » By obtaining commercial credit, the utility could offer community ownership and engagement with the project new customers the option to repay their US$27013 loans and to identify and address any potential conflicts that through monthly repayments of US$4.50 per month for might arise within the settlements. 60 months, together with an upfront application fee of US$16. Through a blended finance model, the project Monitoring and Evaluation was able to effectively reduce the upfront charges that a The IVA, with some technical support from the World customer would need to pay by US$940, or 98 percent. Bank team, established a baseline, which was the basis of the project’s M&E system. The data collected during By providing the output-based subsidy, the program implementation helped with course correction and aimed to lower the effective cost per connection while project adaptation. also reducing the financial risk and improving the terms on which a commercial bank would provide financing to For example, the socio-economic data from tenants and NCWSC (see figure C.8). landlords helped understand the ex-ante living conditions and helped assess the ability of landlords and tenants to Program Implementation pay for services, either directly or as part of the rent. This Program implementation occurred between May 2014 data informed project restructuring and ensured that the and June 2018. The total cost of the project was US$10.55 revised project elements correlated with a comprehensive million, of which US$4.92 million was covered by the understanding of the settlement, the landlord, and the OBA grant, US$5.35 million by NCWSC, and US$0.28 compound characteristics. million by households. The project experienced delays for multiple reasons. One reason for delay was the time The constant monitoring of connection and repayment needed to sensitize residents and secure buy-in from the data took place because the IVA was commissioned to communities—although this took time, it ultimately helped collect detailed records of each connection and because the project respond directly to the needs of residents NCWSC allowed a research team to use the utility billing Nairobi, Kenya e.g. designing a system to respond to the reality of water data to assess repayment patterns. Since connection Case Study 6 supply rationing, and securing buy-in from large numbers of and repayment rates were the main elements needed to targeted households. The program eventually had so much calculate the OBA subsidies, this detailed information demand that NCWSC continued it beyond the life of the helped NCWSC keep track of project goals while also OBA grant using its own resources. generating lessons for future implementation. Appendix C ____________________________________________ 13 The US$270 included interest of 19 percent per year. In effect, by charging US$4.50 per month, it was implicitly assumed that customers would pay instalments regularly since there was no additional interest applied if payments were delayed. Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks By project close, the IVA determined that only 43 percent Lessons Learned of customers (landlords) had made their payments The project has shown that by using a blended finance against three months of billing; hence, NCWSC received model to provide a combination of subsidies and credit only part of the final subsidy payment, related to those to customers, challenges to provision of household customers who had been provided with services for the infrastructure could be significantly mitigated. The agreed post-connection period. Up until September use of commercial credit is particularly important as 112 2018, NCWSC experienced difficulties in billing clients a potential tool for expanding sanitation access given due to teething problems with its jisomee mita self- that it does not rely on stretched government budgets. reading billing system, including failure to include However, the focus on increasing household sewerage household sewerage connection loans. While this connections by overcoming the barrier of upfront fixed resulted in a lower subsidy payment to NCWSC due to costs solved one problem but presented a new challenge. the strict disbursement criteria, NCWSC did eventually The utility’s commercial loan was intended to be repaid fix its billing issues and this, coupled with extensive through customer contributions over time, but low sensitization, resulted in improved customer payments. repayment rates increased the financial risk to the utility. The success of the connection program depended on Although NCWSC received additional technical support achieving a balance between expanding services through from the World Bank on M&E, the company also put in reducing upfront connection costs and ensuring that place its own quality control and monitoring system to revenue collection efforts were robust enough to support ensure the sustainable use of the monitoring tools. The the financial sustainability of the expansion after the NWSC system includes oversight of the construction connections were made. of project infrastructure by locally-based NCWSC staff and the inspection of finalized infrastructure by an independent engineer (the IVA) hired by NCWSC, which underpinned subsidy payments. The IVA also confirmed the eligibility of payments to the contractors through interim payment certificates, which are also used to draw down tranches of the commercial loan. NCWSC’s customer billing data were used to review and monitor the number of customers who had made a connection fee payment against their combined water and sewer bills over a three-month period. Nairobi, Kenya Through the implementation of this project, NCWSC has Case Study 6 significantly increased the knowledge and developed the skills required to implement sustainable water and sanitation solutions in informal settlements. This experience can inform the implementation of Kenya’s Social Connection Policy more widely and guide the design and implementation of future projects in challenging urban areas. Appendix C Appendix C Case Studies MANILA, THE PHILIPPINES Connecting 4,800 properties 113 TYPE SOCIAL Pilot and scaled up demand-driven, subsidized sewerage » Individually connecting households within the vicinity connection program of the river to the sewerage network. » Training residents to be part of the “River Warriors” IMPLEMENTING ENTITY to ensure sustainability of the clean-up and Pasig River Rehabilitation Commission (PRRC) beautification efforts. » Resettling affected families and providing livelihood TOTAL COST Estimated budget was US$115 million programs. » Providing an STP for the public market near the river. FINANCING Government funding with several private companies that INSTITUTIONAL » The Metropolitan Waterworks and Sewerage System participated and provided additional funds for the project. Maynilad Water Services Inc., alone, invested about US$2.1 (MWSS) was mandated primarily by Republic Act 6234. » The MWSS area of responsibility was divided into two, million for the construction of interceptor pipes and a small sewerage treatment plant (STP). the west and the east zones of Metro Manila, after MWSS entered into public-private partnerships in 1997. DURATION » A specially created regulatory office monitors 2009–13 performance of the two concessionaires. Manila, The Philippines » Maynilad is the concessionaire responsible for operations, GEOGRAPHIC SCOPE maintenance, and expansion of water and sewerage Estero de Paco, a river in Manila with an area of 2.3 square coverage in the West Zone, which includes the city of kilometers Manila. The other concessionaire is Manila Water. » The mandate of the local government unit (LGU) Case Study 7 OVERVIEW Estero de Paco in the capital city of Manila was crowded includes the implementation of existing laws that with informal settlements that occupied land near the pertain to sanitation. main estuary, blocking the natural flow of the water. Solid » PRRC coordinates all activities with all concerned waste and wastewater from these settlements were directly government agencies and the private sector. discharged to the estuary. Several government agencies, LEGAL notably the local government of Manila, embarked on » Reclamation or clearing of the easements of Estero piloting a program to prove that rehabilitation of a receiving de Paco. body of water could occur. To gain community buy-in, the Pasig River Rehabilitation Commission (PRRC) began TECHNICAL several community consultations to explain the project » Dredging of Estero de Paco. and its importance to the residents while encouraging and » Installation of interceptor pipes to collect wastewater and supporting the community’s role in the clean-up effort. divert it to the nearest sewerage network. » Construction of linear park and beautification of the FINANCIAL cleared easement. » The community maintains the stormwater drainage Appendix C » Construction of a STP to intercept and treat wastewater network. from communities that cannot access the existing » Maynilad operates and maintains all sewerage facilities. sewerage network. Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks Background and Motivation Between 1902 and 1907, the US government built a separate sewerage system in the city of Manila. With increased urbanization in the city of Manila, informal settlements developed near the estuary, resulting in households directly discharging their wastewater into 114 the waterbody. To ensure that the city’s waterway (Pasig River system) maintained its historically pristine condition conducive to fish and other aquatic resources and to continue to be used for transport, recreation, and tourism, the Pasig River Rehabilitation Commission (PRRC) was created, thanks to Executive Order (EO) No. 54 (series of 1999).15 The order provided PRRC with the authority to approve, plan, supervise, monitor, coordinate, and implement programs, projects, and activities toward the rehabilitation of the Pasig River system. Prompted by the Supreme Court’s continuing mandamus decision to expedite cleanup of Manila Bay, Maynilad executed a memorandum of understanding with PRRC to align the company’s sewerage projects with the Estero Improvement Program. Maynilad has the responsibility of providing water and sewerage services, and the local government has the responsibility of maintaining the health and sanitation of the community. The Pasig River is one of the primary rivers discharging into Manila Bay. The continuing deterioration of environmental map C.7 / Metro Manila, Philippines conditions affecting the health and sanitation of the Manila, The Philippines community catalyzed the creation and launch of the sewer Overview connection project. Another major motivating factor was Estero de Paco in the capital city of Manila (map C.7) was an overarching desire to improve the condition of the crowded with informal settlements that occupied land receiving body of water. near the main estuary, blocking the natural flow of the Case Study 7 water. Solid waste and wastewater from the settlements Intervention Design were directly discharged to the estuary. Several The concept of a combined sewage-drainage system was government agencies, notably the local government of used in almost all cases in the project area. The objective of Manila, piloted a program to prove that rehabilitation the intervention was to target both the informal settlements of a receiving body of water can be successful. To and residents near Estero de Paco, occupying approximately gain community buy-in, the Pasig River Rehabilitation 2.3 square kilometers. The objectives were the following: Commission (PRRC) began several community » Objective 1. Relocate families occupying the consultations to explain the project and its importance easement of the estero and blocking the flow of water to the residents while encouraging and supporting the into the estero with special attention to extremely community’s role in the clean-up effort. “Although the low-income households. total investment in the program is not known (estimated » Objective 2. Improve health and sanitation conditions to be US$115 million), for Maynilad alone14 the connection in the area by cleaning or dredging the estero and by P 110M (about US$2 million) for collection, project totaled = constructing a linear park along the easement. individual household sewerage connections, and STPs. Appendix C ____________________________________________ ____________________________________________ 14 Maynilad Water Services, Inc. is the concessionaire responsible for operations, 15 As amended by EO No.65 (series of 1999) maintenance, and expansion of water and sewerage coverage in the West Zone of the city of Manila. Appendix C Case Studies Although a sewerage network existed near the program Responsibilities and Institutional Framework 16 area—except for an area near the Pasig River—Maynilad The connection project clearly delineated roles and designed a network of collector pipes and an STP to serve responsibilities from the outset (see figure C.9). Maynilad the area. To assess the situation, Maynilad conducted a was responsible for the household connection project; census of individual families to determine the wastewater it closely coordinated with government offices and the generated in the project area, which served as the basis LGU on necessary permits. As the project proponent, for the design of interceptor pipes, lift stations, and PRRC ensured the collaboration of all government 115 STP. For customers found within the vicinity near the agencies and the private sector to make the project existing sewerage line, Maynilad planned and ultimately successful. It obtained individual agency commitments, provided individual household connections. By the end of consolidated them, and monitored implementation. PRRC, the project, all of the identified families were connected in collaboration with the LGU of Manila, conducted several individually, or they had connections through the public forums to discuss the importance of the project and interceptor pipes. to solicit cooperation regarding project implementation. This improved community engagement in the project. In the area farthest from the existing system, Maynilad During the project implementation, PRRC acted as an constructed an STP and sewerage network to collect arm of the national department overseeing the over-all from the pipes intercepting the existing drainage system aspects of the project. Maynilad found that it was not technically feasible to make individual connections due to the extremely small and narrow alleys. For households that were not relocated and opted to remain in the area, all wastewater flows were intercepted using interceptor pipes to divert flow to the nearest sewerage line in the area. figure C.9 / Institutional Set Up for Sewerage in Manila, Philippines Manila, The Philippines Case Study 7 ____________________________________________ Appendix C 16 The Republic Act states the basic goals of the system. Its major policy is the proper operation and maintenance of the waterworks system to ensure an uninterrupted and adequate supply and distribution of potable water for domestic and other purposes. This includes the proper operation and maintenance of sewerage systems in its service area, specifically the entire Metro Manila area, and parts of Cavite and Rizal. Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks For general urban sanitation services, Maynilad plays Monitoring and Evaluation a critical role. Maynilad is responsible for providing After the project, 4,800 households were either directly continuous potable water, as well as for the operations, connected or had their wastewater discharges diverted maintenance, and expansion of sewerage and sanitation to an interceptor pipe connected to the existing facilities. Maynilad provides individual connections to sewerage system. customers in areas with separate sewerage systems, constructs and maintains combined sewerage systems, As part of its preventive network maintenance program, 116 and desludges individual septic tanks. Maynilad regularly cleans and checks the system. Maynilad also has dedicated teams that respond to sewerage- From a legal perspective, if a customer is within related complaints from the community. Because of the a sewerage area, households and commercial success of the Maynilad program, PRRC is replicating establishments should connect to the system, as the approach in all the esteros targeted for cleaning and mandated in the existing Sanitation and Plumbing rehabilitation. Moving forward, Maynilad and PRRC have codes of the Philippines. The Department of Health, a memorandum of understanding to ensure that Maynilad the Department of Environment and Natural Resources will align its sewerage connection efforts in the city of (DENR), and LGUSs are the implementing agencies for Manila with PRRC projects. the legal framework. The DENR and local governments ensure compliance with the connection mandates. Furthermore, DENR launched an Adapt-an-Estero Program that uses the same concept. This program Program Implementation encourages participation by other private sector entities Program implementation provided an opportunity to in the drive to clean up receiving bodies of water in capture valuable lessons to later replicate the project collaboration with all concerned government agencies. as part of the ongoing activities of PRRC. The project Not only do the private sector entities share in the faced several challenges, including nonuniform elevation funding of the project, but they also have shared their of discharge points or drainage systems, soft condition technical expertise and innovative ideas to help in cleanup of the soil (mixed with garbage), limited excavation and rehabilitation activities and to ensure sustainability of space, delays in relocating families occupying the the benefits derived from the program. easement, and a delay in demolition of structures occupying the easement. Nevertheless, the approaches Lessons Learned Manila, The Philippines and tools employed by Maynilad helped to maintain the The Estero de Paco program provides the following lessons: » Political will of the head of implementing agency is program’s momentum and reach completion. The political leadership of the PRRC Chairman was instrumental critical to success. » The most critical and challenging issue to address is the in completing the project, coupled with the effective Case Study 7 community collaboration and participation of the private social aspect of the problem. » Public-private partnerships can work for sewerage sector. Maynilad used its existing technical personnel to directly address the challenges as they arose, connection programs. » Empowerment of community leaders is also critical for making adjustments in terms of project prioritization to align with the requirements of the program. program success. » Training of River Warriors and community members Overall, underscoring the program’s approach was the effective communication, education, and awareness ensured effective project implementation and tools used. Distribution of operation and maintenance sustainability of benefits after project completion. » The pilot tested the concept, and lessons were learned responsibilities also contributed to the success of the program. For example, the community maintains the during its implementation such that the program was stormwater drainage lines, while Maynilad operates and further enhanced before large-scale implementation. » Mobilization activities, including an annual fun run maintains all sewerage facilities. See below for before and after construction photos. during project implementation, increased public awareness of the importance of the project and raised additional funds. Appendix C Appendix C Case Studies Before and After Construction of the Maynilad Sewerage Facility 117 During construction of sewerage network Maynilad awareness campaign Manila, The Philippines Case Study 7 Source: Maynilad water The estuary after the program Appendix C Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks SALVADOR, BRAZIL Connection to condominial sewerage for 2.5 million people 118 TYPE » More than 10,000 community meetings occurred during Large scale condominial sewerage program benefiting 2.5 implementation. million people with a focus on low-income households. » Household sign-up forms served as contracts between households and Embasa; a sign-up contract rate of 80 IMPLEMENTING ENTITY percent was set for each community. Empresa Baiana de Águas e Saneamento S.A. (Embasa), the Bahia State Water and Sewerage Utility. FINANCIAL » Households paid no connection charges; a sewerage TOTAL COST maintenance fee was charged, equal to 45 percent of the US$450 million went toward sewerage. water bill when households performed the maintenance FINANCING and 80 percent when Embasa did it. Channeled through three different projects under the INSTITUTIONAL “Bahia Azul” (Blue Bahia) umbrella program and financed » Embasa created an internal management unit to oversee by loans from a mixture of international and national the program’s technical projects and financial resources. sources and matching funds from the state government. » The government unified management within the DURATION relative departments: Secretariats of Water Resources, 1995–2004 Sanitation, and Housing. GEOGRAPHIC SCOPE LEGAL Salvador Metropolitan Region, Bahia state, northeast Brazil » State law 7,307 of January 23, 1998, followed by State Decree 7765 of May 8, 2000 obliges households to Salvador, Brazil OVERVIEW connect to a network within 90 days of its completion. Case Study 8 The Bahia Azul program was implemented by Embasa, the After this period, the company charged the sewerage public water and sanitation company of the state of Bahia. tariff regardless of whether the property had connected. The program included the state’s capital city of Salvador and 11 other cities near the “Baía de Todos los Santos” TECHNICAL (Bay of All Saints). The main goal of the program was to » The Embasa Sewerage Master Plan for Salvador and depollute the bay and improve the quality of life of people. Metropolitan Area served as a starting point. The program was designed to improve not only sewerage » None of the residences covered by Bahia Azul had but also water and solid waste solutions, and it targeted the sewerage systems. The utility’s georeferenced system entire urban population, with specific solutions provided identified users of the water distribution system that for those living in low-income informal settlements where could be targeted for sewerage connections. conventional sanitation solutions could not be applied. » Initial piloting and rolling out of the successful condominial sewerage program overcame physical, SOCIAL topographical, and social constraints of low-income » Embasa created a social mobilization unit responsible areas while achieving a high level of service. for planning and managing work with the communities » The first phase concentrated on neighborhoods and alongside the construction work. communities where it was technically easier to extend Appendix C » The utility required contractors to make community hires. sewerage coverage. This work provided experience for » Mobilization activities to secure community buy-in to the more technically complex areas. condominial approach usually began before construction. » Operation and maintenance requirements existed for households with this technical approach. Appendix C Case Studies The sewerage intervention targeted low-income neighborhoods in Salvador and relied on the condominial sewerage approach. By 2008, the program had 252,416 household sewerage connections across all 12 cities that surround the Bay of all Saints. The most salient features of the program included the use of condominial sewerage to overcome challenges of providing sanitation in irregular, 119 difficult to reach low-income areas, while ensuring the same level of service to these communities as was provided to the formal areas of the city; creation of a utility-embedded social mobilization unit and extensive community mobilization efforts; technical assistance from Embasa and even financing (paid back up to 36 months) for household connections; establishment of sewerage charge options; and interlinked maintenance requirements. map C. 8 / Salvador, Brazil Background and Motivations Overview In the 1970s, Salvador had a metropolitan population Salvador is the capital city of Bahia state, located in of about 1 million people, with a sewerage system that northeast Brazil, and it has a population of more than 2.9 covered only 26% of households. During the following million (map C.8). The city sits on a bay seen as a strategic decades, Salvador underwent intensive urbanization. This tourism asset. Salvador’s sociopolitical context is broadly resulted in chaotic and unplanned occupation of its urban representative of the region, characterized by high levels spaces. The existing sewerage system, which was already of poverty and inequality (average per capita income very limited, could not keep up with this growth, a situation of the city in 2003 was R$4,624 [US$1,500]). The low- that increased environmental degradation, characterized income population lives primarily in high-density informal by pollution of beaches and the bay, and the resultant settlements on steep hillsides and along waterbodies. negative public health effects. The Bahia state utility Empresa Baiana de Águas e During the 1980s, various municipalities in Brazil were Saneamento S.A. (Embasa) implemented the Bahia beginning to establish sanitation programs that enhanced Azul program between 1995 and 2004 in the Salvador their reputation as tourist destinations. In 1991, the Metropolitan Region. To manage the technical projects and governor of Bahia made a decision (that was supported Salvador, Brazil financial resources of the Bahia Azul program, the company by the people) to prioritize and invest in sanitation, Case Study 8 formed an internal management unit. The program came given the importance attached to the beaches on both to fruition in the urban area of Salvador and in 11 other sides of the city, which lies between the Atlantic Ocean cities near the other cities in the watershed of the “Baía and the celebrated Bay of All Saints. Negotiations with de Todos los Santos” (Bay of All Saints). The program’s international funding institutions began, leading to stated aim was to depollute the bay and improve the financing of the Bahia Azul program. quality of life of people living in urban centers surrounding the bay. The program was designed to improve not only sewerage services but also water supply services and solid waste disposal. The final design of the program had seven components: sewerage, water supply, solid waste, repaving, environmental protection, health, and environmental education and institutional strengthening. Appendix C Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks Above-Ground Condominial Sewerage Pipes 120 Source: Ivan Paiva. Intervention Design To define the scope of the program, many studies and The program was conceived initially by the State projects occurred. The Embasa Sewerage Master Plan for Secretariat for Urban Development (SEDUR), but Salvador and Metropolitan Area was revised, and it served Salvador, Brazil soon a program management unit came into being. as a starting point to define and format the program. The Case Study 8 Called Unidade Executora do Programa (UEP), it was sanitation investment program that was to become Bahia the management nucleus responsible for both relating Azul was initially designed to use conventional sewerage. to donors and for coordinating implementation of the It initially made no allowance for adopting specific pro- program. The UEP consisted of representatives of poor approaches or technical solutions appropriate for state government, SEDUR, Embasa, the environmental the high-density informal settlements located on steep regulatory agency (CRA), CONDER (the state urban hillsides and along watercourses. The results of the first development company), and the governments of the tranche of sewerage network expansion works contracted municipalities included in the program. The program by Embasa were unsatisfactory, with complaints focusing management unit was established within Embasa. This both on the reportedly poor quality of the work and on institutional strengthening component trained Embasa’s the unsuitability of conventional sewerage systems for professionals, purchased equipment for operation and the poorer communities, which contained the bulk of the maintenance, and developed its overall management unmet demand for sanitation services in Salvador. These efficiency. It’s important to note that throughout the 10 communities were usually built on illegally occupied land, years of program implementation, the program enjoyed often in areas designated for environmental protection, significant political and administrative continuity, both in having sprung up in a process of unplanned urbanization. Appendix C the state government and in Embasa. Connecting them to the main sewerage system was a physical and topographical challenge—and a social one— since conventional sewerage pipes would have had to pass Appendix C Case Studies under people’s houses. In 1994, Embasa received support As part of the implementation process, Embasa created a to design and implement a condominial sewerage system social mobilization unit that was responsible for planning project for some of the areas covered by Bahia Azul to and managing work with the communities alongside the address these technical constraints (see above photo). construction work. In addition to establishing its own team Program financing amounted to US$600 million, of community workers (most of whom had formal training channeled through three projects under the “Bahia in social work), Embasa also required all the construction Azul” umbrella and financed by loans from international firms involved in the program to hire community workers to 121 and national sources and by matching funds from state accompany their projects. government. The international sources included the Inter-American Development Bank (IDB), the Japan Social mobilization activities usually began before Bank for International Cooperation (JBIC), and the World construction started to secure community buy-in. Bank. In Brazil, loans came from Caixa Economica Federal These activities focused on reaching agreement among (CAIXA) and the National Bank for Economic and Social residents about organization of the condominiums (groups Development (BNDES). In total, US$450 million of the of households that shared a condominial sewerage total loan amount went toward sewerage systems. All branch connection) and choosing the condominium resources were concentrated in the program’s common representatives who would take responsibility for the fund, and they were used both for the urban upgrading of maintenance of the sewerage network and represent low-income areas and the condominial sewerage systems; their neighbours in negotiations with Embasa. The therefore, no specific amount that was allocated to mobilization program also included explaining the condominial sewers can be ascertained. workings of the condominial sewerage system and the different tariff rates that the condominiums could choose Program Implementation (a lower sanitation tariff for community-managed branch Bahia Azul came to fruition in phases. The city was connections and a higher tariff if Embasa managed the divided into catchment basins and microbasins, and each branch). Mobilization work focused on securing consent phase included tranches of contracted construction and then managing relations between communities work that focused on linking communities to the main and construction companies as installation of sewerage sewers. The first phase of the program concentrated on systems occurred with comparatively less attention paid neighborhoods and communities where it was technically to follow-up for operation and maintenance. It should be easier to extend sewerage system coverage. As Embasa noted that 10,000 community meetings were held during and contracted construction companies gained experience implementation of the condominial program and 2.5 putting in condominial sewerage systems, they gradually million people took part in the educational sanitation and Salvador, Brazil incorporated more technically complex areas. environmental programs. There was a household sign-up form, and both parties signed contracts (the household Case Study 8 A key characteristic of condominial sewerage systems and Embasa); however, these were not legally binding and (unlike conventional sewerage systems) is the need to not witnessed by a notary, but they became established as mobilize communities to both negotiate the use of private a precondition for system installation to proceed. spaces for physical construction of the network and agree on responsibilities for its maintenance. Moreover, involving Embasa set a target 80 percent sign-up rate for community the community is seen as a necessary part of overcoming involvement. Another important aspect of the program was reluctance to connect to the sewerage system because environmental education, involving public organizations, connection requires residents to pay an additional monthly schools, and communities, to get the wider public and cost (via a sanitation surcharge on their water bills). Some inhabitants of the city participating and committed to the resistance occurred because some residents had existing goals of the program. sanitation solutions and were reluctant to use a new system. Once residents saw the positive effects of the program in the first areas of implementation, reluctance decreased over time. Appendix C Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks The Bahia state law 7307 of January 23, 1998 (followed Embasa provided technical assistance for the connection by State Decree 7765 of May 8, 2000), which obliges of the internal plumbing facilities to the condominium households to connect to the sewerage system, only branches, and if the resident did not have financial became a reality three years after the beginning of the resources, Embasa carried out the interconnection work program. At that time the law only applied to higher- including internal household plumbing. The household was income populations. The law was necessary for these areas then charged up to 36 monthly installments on the water 122 because the argument for improving health and quality of bill to cover the costs of the internal plumbing. To simplify life had limited effect on these customers, who already had the budget, the charge for interconnection work was worked sanitation infrastructure available. Low-income populations out on an amount per meter between the toilet tubing learned about the law, but the program focused on raising and the condominium branch, although there were works awareness about the advantages for public health, using as to connect other equipment (kitchen sinks, laundry sinks, an example the significant improvement in the quality of life shower drains, and so on). There was no connection charge of the neighborhoods already benefiting from the program for the households; however, there was a specific sewerage (the disappearance of sewerage in the streets). In 2007 a system maintenance charge, set at 45 percent of the water national law was passed (obliging connection to sewerage), bill if maintenance was carried out by the household and 80 but the state of Bahia already had its own law. percent if maintenance was carried out by Embasa. The engineering design process for the sewers was the Results responsibility of Embasa with preliminary designs prepared When Bahia Azul started in 1995, only 26 percent of by outside companies under contract to Embasa. In the the population of Salvador had access to sewerage case of the preliminary designs, no options were given for systems. By the time the program officially ended in the location of the condominial sewerage branch because 2004, coverage had increased to 60 percent, and it has these branches are sited wherever they fit, given the land since risen to almost 85 percent in the city itself (though occupation and use patterns in target areas. However, it remains significantly lower in other municipalities of the subsequent detailed engineering designs for the the metropolitan region). Over the same period the condominial branches were undertaken in the communities main sewerage network was extended from about 530 themselves as part of the mobilization process. kilometers to 2,667 kilometers. The program directly Implementation was carried out by construction companies, benefited a population of 2.5 million people, mainly with oversight from contracted works supervision firms, low-income informal households, providing sewerage both under contract to Embasa. There was no option for connections for 252,416 households. At the beginning direct community construction with Embasa having the of the program, the condominial sewerage approach Salvador, Brazil sole responsibility for carrying out work via contracted was only used for low-income informal areas; however, construction firms. with its success the model was adopted for all areas of Case Study 8 the city. Today, Embasa does not differentiate between The condominial sewerage approach allows for flexibility conventional or condominial sewerage technology, but it is in the location of the sewerage branches and for location presented as the sewerage system. of inspection boxes as close as possible to the internal facilities of residences. The social process of community The program’s positive environmental impact in Salvador is mobilization ensured that these branches were able to evident. Twenty-three out of 25 of the city’s most popular be placed in private areas without the need for any kind beaches were classified as unsafe for bathing in 1995, but of compensation. The proximity between the connection by 2005 only two were still regularly classified as unsafe. site (the so-called box of the condominial branch) and Monitoring of the water quality of the beaches occurred the internal facilities significantly reduced the cost of as a result of the program, and results became part of interconnecting internal facilities to the condominium a georeferenced information system for the whole bay. branches. This information system serves to monitor environmental pollution and its effects on the health of the bay. Appendix C Appendix C Case Studies Positive health effects attributable to Bahia Azul’s Azul” has been officially replaced by other sources of investment in sewerage services have also been investment for sewerage programs in Salvador. The demonstrated by a high-quality epidemiological technical approach to condominial sewerage has also monitoring study conducted by the Instituto de Saúde expanded to include hundreds of other cities in the state. Coletiva (Institute of Collective Health [ISC]) of the With the success of the program, Embasa commonly Federal University of Bahia, together with the London receives national and international delegations to visit and School of Hygiene and Tropical Medicine. The ISC study learn more about the approach. 123 revealed a significant reduction in incidence of excreta- related diseases in areas that lacked sanitation services The main challenges that were overcome to make the before the program’s investments. The publication of program a success included the following: » Getting buy-in from the water company that sanitation the ISC findings in respected Brazilian and international should be provided to low-income areas, which until the journals has significantly enhanced the credibility of the program began had been excluded. claims for positive health effects made by the Bahia » Breaking down barriers and opposition of engineers state government. who were not willing to design unconventional At the beginning of the program, no law stipulated that solutions and change their working methods (including households must connect to sewerage, but a political ensuring the involvement of populations in defining buy-in was created that such a program should commence the solutions). and the need for a law was identified. Three years after the » Training technical teams (internal for utility and program began, the state government created law 7307 of construction companies) on the condominial sewerage 1998 to mandate households to connect to sewerage even approach, social mobilization requirements, and before the federal government made this decision. That is, execution of works in extreme environments. the state of Bahia already had its own law. » Convincing contractors (often large-scale contractors) to construct condominial branches, which have The program’s implementation model has largely remained characteristics close to artisan works with more intensive in place. In particular, the mainstreaming of condominial use of labor and less equipment. sewerage systems (for both informal settlement and » Training operation and maintenance teams to use areas with regular land occupation patterns) and the appropriate techniques for services within these urban associated use of community workers for negotiation blocks. The training covered social aspects and learning and mobilization activities that was pioneered by the to relate to residents. program have continued in the latest phase of sewerage investments in Salvador. Embasa continues to maintain Salvador, Brazil a social mobilization unit, and its overall implementation Case Study 8 approach remains largely unchanged, even though “Bahia Before and After Pictures of the Bay in Salvador, Brazil Source: Embasa Appendix C Before program implementation After program implementation Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks Monitoring and Evaluation Lessons Learned Embasa created a computerized system to record and The Salvador program offered many lessons: follow up on problems that occurred in the condominium » Embasa’s adoption of the condominial approach for Bahia sewerage program. Problems fell into categories, for Azul sewerage investments in low-income communities in example, community grievance, construction issue, or Salvador secured some impressive results and stimulated external factors (such as absence of a rainwater drainage institutional innovation within the utility. 124 system). Embasa uses a mobile phone application that » Embasa initially faced a high level of reluctance to allows users to request a service or to lodge a complaint. engage with the program on the part of the low-income The information is registered in Google Maps, and the population. Credibility of public services was not high, user can send photos of the problem. and low-income communities either did not want to connect or thought that the service should be provided The mobilization team had less contact with communities free of charge. Many people living in these communities after construction; this led to ramifications for operations were suspicious of the state, and they were reluctant to and maintenance (which were envisioned as mainly have outsiders doing construction work not only inside being the responsibilities of condominium members their communities but actually inside their homes and on themselves). With Embasa’s responding to callout their property. requests without charging, calling the utility rather than » The dedication of community mobilizers in organizing mobilizing neighbors often became the default response neighborhood meetings and in pursuing individual to a problem in the condominial sewerage branch. This households to ensure their adherence succeeded in led to unforeseen costs for Embasa and also weakened creating the condominiums and paving the way for the sense of ownership of the system, which is important construction. Embasa’s community organizers developed in ensuring that it is kept in good order and protected a level of trust with communities that allowed them to from misuse post-construction. As a result, Embasa act effectively as conflict mediators. This was reinforced has reviewed its tariff policy, and although it still installs by the voluntary work that many of them did over and condominial-type sewerage systems, they do not bear above their formal roles mobilizing residents to adhere the formal label of “condominial” and the utility no longer to the condominial sewerage systems. The community offers the option of choosing to take responsibility mobilizers used their positions to help community leaders for maintenance in exchange for lower tariffs. Embasa gain access to other branches of the state and municipal still acknowledges the need to reinforce social and governments to pursue their demands for support to educational work in the areas that present the greatest upgrade neighborhoods. operation and maintenance problems. Salvador, Brazil Case Study 8 Appendix C Appendix C Case Studies » The utility’s mainstreaming and formal establishment » The lack of time and resources for follow-up of community of a relatively well-resourced social mobilization mobilizers meant that little ongoing contact occurred department proved essential to the program’s success. with community or individual condominium members. The mobilization department has continued to operate This had implications for operation and maintenance even after the formal conclusion of the Bahia Azul because the absence of engagement once construction program. During the program, the utility also required was complete reduced the incentives to comply with the all construction companies that won program tenders agreements whereby condominium members themselves 125 to hire their own social mobilization and community maintained the system in exchange for tariff reductions. relations staff. Because Embasa (whose own procedures had not been » Flexibility in locating condominial branches allowed the fully adapted to allow for the condominial system) inspection boxes to be located as close as possible to the responded to callout requests without charging, calling internal facilities of the residences. The social process the utility rather than mobilizing neighbors often became of community mobilization ensured that these branches the default response to a problem in the condominial were executed in private areas without the need for branch. (It is important to note that delays in responses any kind of compensation for the use of private areas to callout requests resulted in many residents continuing to implement the networks. The proximity between the to carry out low-complexity maintenance themselves.) connection site (the box of the condominial branch) and Answering so many requests for service not only led to the internal facilities significantly reduced the cost of the unforeseen costs for Embasa, but it also weakened the interconnection work from the internal facilities to the community’s sense of ownership of the system, which condominium branches. is important in ensuring that it is kept in good order and » The communities that received Bahia Azul investments protected from misuse. As a result, Embasa has reviewed said the program triggered greater accessibility to other its tariff policy, and although it still puts in condominial- service providers, not only of water supply and sanitation type sewerage systems, these are not given the formal (Embasa) but also electricity and garbage collection. 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Bibliography wsp.org/sites/wsp/files/publications/Approaches%20to%20 World Bank. 2017a. “Conectando America Latina al Capital%20Financing%20and%20Cost%20Recovery%20in%20 Alcantarillado Sanitario” Draft Report. World Bank, Sewerage%20Scheme.pdf. Washington, DC. Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks Acknowledgments Ruth Kennedy-Walker led the preparation of this guide Mario Garcia, Ravikumar Joseph, Upneet Singh, Christine with the support and guidance of Seema Thomas, Nishtha Ochieng, Aidan Coville, Jessica Anne Lopez, Rajesh K. Mehta, and Martin Gambrill. Advani, Nahason Muguna, Lilian Pena Pereira Weiss, Ma Fiorella Delos Reyes Fabella, Christopher C. Ancheta, This guide was based on case study research conducted by Antonio Garcia, Ivan Paiva, and Julio Cesar Rocha Mota Joseph Narkevic and Meleesa Naughton, led by Zael Sanz on different sewerage connection programs, references to Uriarte. These case studies were selected from a literature which appear throughout the guide and in appendix C. review and from information provided by colleagues working in the urban and environmental sanitation sector The authors are also grateful to numerous colleagues both inside and outside the World Bank. The authors and peer reviewers from inside and outside the World want to thank many people for sharing recommendations, Bank for their valuable comments and support during the 128 documents, and advice, including members of the preparation of this report, including Jean-Martin Brault, Sustainable Sanitation Alliance who contributed to an Zael Sanz Uriarte, Alex Bakalian, Kamila Galeza, Osama initial conversation on this topic. Hamad, Yitbarek Tessema, Maria-Angelica Sotomayor, Richard Damania, Gustavo Saltiel, Nandita Ajay Kotwal, The guide benefited from contributions of relevant Pratibha Mistry, Catalina Ramirez, Rebecca Gilsdorf, literature, the sharing of experiences, and the provision Dambudzo Muzenda, Christophe Le Jallé, Mutsa Prudence of feedback from many people at different stages of its Mambo, Gustavo Heredia, Neil Macleod, Neil Jeffrey, Bill development. We are grateful for contributions and insights Kingdom, Julie Perkins, Corinne Trommsdorff, George from Lizmara Kirchner, Juliana Menezes Garrido, Angela Joseph, and Kevin Tayler. Finally, we want to thank Erin Maria Domingues Biancolin, Karen Navarro, Jose Manuel Barrett for helping us finalize and publish this guide. del Castillo, Jean-Martin Brault, Carlo Alberto Amadei, Acknowledgments Connecting the Unconnected Approaches for Getting Households to Connect to Sewerage Networks 132 SKU W19057