(Re-)Building an Institutional
Framework
Michael Kropac, seecon international
Building an Institutional Framework
1
Find this presentation and more on: www.sswm.info.
Copyright & Disclaimer
Copy it, adapt it, use it – but acknowledge the source!
Copyright
Included in the SSWM Toolbox are materials from various organisations and sources. Those materials are open source. Following the opensource concept for capacity building and non-profit use, copying and adapting is allowed provided proper acknowledgement of the source
is made (see below). The publication of these materials in the SSWM Toolbox does not alter any existing copyrights. Material published in
the SSWM Toolbox for the first time follows the same open-source concept, with all rights remaining with the original authors or producing
organisations.
To view an official copy of the the Creative Commons Attribution Works 3.0 Unported License we build upon, visit
http://creativecommons.org/licenses/by/3.0. This agreement officially states that:
You are free to:
• Share - to copy, distribute and transmit this document
• Remix - to adapt this document. We would appreciate receiving a copy of any changes that you have made to improve this
document.
Under the following conditions:
• Attribution: You must always give the original authors or publishing agencies credit for the document or picture you are using.
Disclaimer
The contents of the SSWM Toolbox reflect the opinions of the respective authors and not necessarily the official opinion of the funding or
supporting partner organisations.
Depending on the initial situations and respective local circumstances, there is no guarantee that single measures described in the toolbox
will make the local water and sanitation system more sustainable. The main aim of the SSWM Toolbox is to be a reference tool to provide
ideas for improving the local water and sanitation situation in a sustainable manner. Results depend largely on the respective situation
and the implementation and combination of the measures described. An in-depth analysis of respective advantages and disadvantages and
the suitability of the measure is necessary in every single case. We do not assume any responsibility for and make no warranty with
respect to the results that may be obtained from the use of the information provided.
Building an Institutional Framework
Find this presentation and more on: www.sswm.info.
Contents
1. Concept
2. How it can optimize SSWM
3. Design Principles
4. Ensuring Sustainability
5. Applicability
6. Advantages and Disadvantages
7. References
Building an Institutional Framework
3
Find this presentation and more on: www.sswm.info.
1. Concept
Source: http://www.wsp.org/index.cfm?page=page_disp&pid=10820
“Water is not scarce but simply managed badly?"
A sound institutional framework is the base for a sustainable water
and sanitation management strategy …
Building an Institutional Framework
4
Find this presentation and more on: www.sswm.info.
1. Concept
Institutional Framework
An institutional framework for SSWM consists of a range of different
organisations that are in place (or need to be in place) to develop and
manage water resources and the delivery of water and sanitation
services, at different levels of society. (GWP 2008)
Policy
Formulation
Flood Control
and Risk
Mitigation
Allocation and
Supply of Water
Education and
Awareness
Raising
Networking,
Information
Exchange
Conservation
and Protection
SSWM
Regulation,
Control and
Enforcement
Surveillance
and Monitoring
Building an Institutional Framework
Adjudication
Water
Treatment and
Reuse
Pollution
Control
Wastewater
Collection
5
Find this presentation and more on: www.sswm.info.
2. How it can optimize SSWM
Example: Regulatory Bodies and Enforcement Agencies (GWP 2008)
Extremely important role in establishing and ensuring the
effective application of other tools. Functions include:
Allocation of water rights, ensuring water quality,
monitoring, etc.
Setting prices and performance standards for service
providers
Tools for enforcement: Fines, taxes, penalties, withdrawal
of permits and licences etc.
The legitimacy of the regulatory body is critical in ensuring
compliance.
Building an Institutional Framework
Source: Clip
Art
Find this presentation and more on: www.sswm.info.
2. How it can optimize SSWM
Example: Bundling and Unbundling of Functions
Crucial importance in establishing and ensuring the effective
application of other tools.
Faces distribution and disposition of functions, activities and
processes
Clear definition of roles and responsibilities within an organisation
and between different organisations
 No more overlapping of functions leads to more efficient planning
and implementation of other tools
 Clear definition of roles and responsibilities leads to specialism and
more expert knowledge
Building an Institutional Framework
7
Find this presentation and more on: www.sswm.info.
2. How it can optimize SSWM
Example: Public Private Partnership for Water Supply
(SCD, SWISS RE, SECO 2005)
• A public private partnership is an agreement between the public
sector and a private sector entity.
• PPP arrangements typically involve a government agency contracting
with a private partner to renovate, construct, operate, maintain,
and manage a facility or system, that provides a public service.
Actors in a PPP
Source: (SCD, SWISS RE, SECO 2005)
Building an Institutional Framework
8
Find this presentation and more on: www.sswm.info.
2. How it can optimize SSWM
Example: Private Sector Participation in Bangladesh
(WATER AND SANITATION PROGRAMM 2000)
Twenty-five years ago, the private sector was almost completely
uninvolved in the provision of goods and services for rural water supply
and sanitation in Bangladesh.
Today, 65 per cent of the approximately four million handpump tube
wells have been privately installed.
The private sector has demonstrated clear advantages over the public
and NGO sectors in reducing production costs, and in the efficient
distribution of goods and services.
Whilst much of this success is undoubtedly due to the particular
conditions and circumstances found in Bangladesh, it is also clear that
some of the findings are general and should be replicable in other
countries.
Building an Institutional Framework
9
Find this presentation and more on: www.sswm.info.
3. Design Principles
Main Actors and Roles
(SCD, SWISS RE, SECO 2005)
• The national government: sets the policy and legal framework for SSWM, and
represents the interests of all citizens.
• The local government (regional, municipal as appropriate) ensures access to
basic services, has authority over user charges, and concludes service
delivery contracts.
• The consumer (in case of a public private partnership) becomes a legitimate
customer of the service provider and is responsible for paying the bills issued
on the basis of an agreed tariff.
• The regulator(s) monitor the performance of all parties, provide information
on the execution contracts, and act to balance the interests of governments,
service providers, and consumers.
• The service provider(s) are responsible for executing the contractual
agreements and for delivering services.
Building an Institutional Framework
10
Find this presentation and more on: www.sswm.info.
3. Design Principles
Example: Spheres of Influence
Water Service Provider
Water Trucker
NGOs
CBO
River Basin
Organisations
WHO
Law Enforcement
Agencies
Public Sector
Water Provider
Local
Government
Stand Pipe
Operator
Farmers
etc.
National Ministries
and Agencies
UN-Water
Sanitation Provider
etc.
etc.
Large Scale Water
Service Provider
World Bank
UNESCO
WSP
Building an Institutional Framework
etc.
WSSCC
11
Find this presentation and more on: www.sswm.info.
3. Design Principles
(Re-)Building Partnerships for SSWM
(GWP 2008)
Starting partnerships with:
• e.g. stakeholder analysis, gap analysis, development of common
goals, planning, program design, social capacity building, cooperative inquiry, supporting self-organisation and organisational
development, conferencing.
Important steps:
• Stakeholders need to meet each other, to understand and interpret
SSWM concepts in the same manner, and establish a common
‘language’
• Levelling of information, knowledge and expertise
• The partnership needs to develop its goals, outputs and actions based
on the will and motivation and collaboration of the partners.
Building an Institutional Framework
12
Find this presentation and more on: www.sswm.info.
3. Design Principles
• Balance between a fully integrated framework and a sectoral
approach.
• Regulation of service providers, both public and private, is a key
element and regulators must be independent and strong.
• Policy, regulatory and servicedelivery functions should be
strictly separated (accountability
and transparency). (GWP 2008)
• Raising awareness, sharing
information and a participatory
approach are key elements of
building an institutional
framework.
Building an Institutional Framework
Source:
http://www.wsp.org/index.cfm?page=page_di
sp&pid=10820
13
Find this presentation and more on: www.sswm.info.
4. Ensuring Sustainability
(SCOTT et al. 2003 and WRC 2003)
Lack of sound instuitutional framework is the root cause of long-term
failures in service-delivery in sanitation and water provision, with
outcomes like:
- Declining services leading to poor coast recovery
- Ultimately failed investements that do not meet either current or
future demand
 A sound institutional framework is the pre-condition for the
implementation of many other tools and their sustainability.
With a clear institutional „home“ for planning and management, well
defined roles and responsibilities of actors etc., sanitation services
and water management are sustained beyond the implementation of
infrastructure projects and hardware tools.
Building an Institutional Framework
Find this presentation and more on: www.sswm.info.
5. Applicability
• The applicability of different
organisational arrangements
(e.g. public-private-partnership)
varies from case to case.
Building an Institutional Framework
Source:
http://www.wsp.org/index.cfm?page=page_di
sp&pid=10820
• The composition of institutions in any given country will depend on
the nation’s experience and needs. Institutional structures vary from
country to country. (GWP 2008)
• An institutional framework for SSWM can include organisations of all
levels (local, regional, national, international), the political and legal
complexity increases with each of the levels.
15
Find this presentation and more on: www.sswm.info.
6. Advantages and Disadvantages
Advantages:
Disadvantages:
• Necessary precondition for a
successful implementation of
the other tools
• Local authorities have limited
influence towards higher
governmental powers and could
be restricted on their actions
• Important role in ensuring the
effective application of tools
Essential!
Because you need a sound
framework to establish a
sustainable water and
sanitation system
Building an Institutional Framework
• Investment costs in long-term
capacity building and education
of qualified staff
• Friction between partners and
stakeholders over priorities and
means, lack of clarity about
roles and responsibilities often
result in high transaction costs
16
Find this presentation and more on: www.sswm.info.
7. References
DE GOOIJER, G. & NEWTON, J. (2009): Messages for Parliamentarians. The United Nations World Water
Development Report 3. Messages Series. Perugia: United Nations World Water Assessment Programme
(WWAP).
GWP (2008): Creating an organisational framework. URL:
http://www.gwptoolbox.org/index.php?option=com_tool&cat_id=7 [Accessed: 22.04.2010]
SCD, SWISS RE, SECO (2005): Public-Private Partnerships for Water Supply and Sanitation. Policy
Principles and Implementation Guidelines for Sustainable Services. URL:
http://www.partnershipsforwater.net/ [Accessed: 22.04.2010]
SCOTT, R., COTTON, A. and GOVINDAN, B.( 2003): Sanitation and the Poor. Leicestershire/ London/
Delft: Resource Centre for Water, Sanitation and Environmental Health (WELL). URL:
http://www.lboro.ac.uk/well/resources/well-studies/full-reports-pdf/satp.pdf [Accessed 21.09.2010]
VAN ITTERSUM, M. & VAN STEENBERGEN, F. (2003): Ideas for local action in water management.
Stockholm: The Global Water Partnership.
WATER AND SANITATION PROGRAMM (2000): The growth of private sector participation in rural water
supply and sanitation in Bangladesh. New Delhi: Water and Sanitation Programm South-Asia.
WRC (2003): Sanitation Research Strategy. Water Research Commission (WRC). URL:
http://africasanitation.softpagecms.com/files/802976930/library/DWAF_SanitationResearchStrategy_
DEC2003.pdf [Accessed 21.09.2010]
Building an Institutional Framework
17
Find this presentation and more on: www.sswm.info.
7. References
WATER AND SANITATION PROGRAMM (2000): The growth of private sector participation in rural water
supply and sanitation in Bangladesh. New Delhi: Water and Sanitation Programm South-Asia.
WRC (2003): Sanitation Research Strategy. Water Research Commission (WRC). URL:
http://africasanitation.softpagecms.com/files/802976930/library/DWAF_SanitationResearchStrat
egy_DEC2003.pdf [Accessed 21.09.2010]
Building an Institutional Framework
“Linking up Sustainable Sanitation,
Water Management & Agriculture”
SSWM is an initiative
supported by:
Compiled by:
Building an Institutional Framework
19