External Support Agency (ESA) Questionnaire Introduction The Global Analysis and Assessment of Sanitation and Drinking-Water (GLAAS) is a UN-Water initiative implemented by the World Health Organization (WHO). GLAAS responds to the need for more information, as expressed by Member States, on the use of sanitation and drinking-water services, the nature of government policies and institutions and their impact, investments in terms of financial and human resources, the volume and targeting of foreign assistance and the relative influence of all these factors on performance. In 2008, UN-Water, working with the WHO and other partners, published a pilot report aimed at taking a comprehensive overview of the determining factors that are enabling or constraining progress towards meeting the MDG target for sanitation and drinking-water. The 2008 pilot report was followed by a more comprehensive data collection and analysis effort in 2009, leading to the first GLAAS report published on 21 April. Publication of the second report is planned for March 2012. GLASS provides sanitation and drinking-water policymakers and practitioners with a comprehensive evidence base. In addition, it informs political decision-making, particularly through its association with the Sanitation and Water for All (SWA) initiative. This initiative provides a global platform for discussion among SWA participating countries and donors. All countries and donors participating in the GLAAS surveys, whether the country or the ESA survey will be encouraged to attend the SWA High Level Meeting in April 2012. The GLAAS report assesses data from several different sources, including global data on sanitation and drinking-water coverage, ODA flows, economic and development indicators, health indicator data, and data from regional sector and multi-sector assessments. GLAAS gathers data at the level of both recipient countries and ESA's to fill key knowledge gaps. As the implementing agency, WHO is working in collaboration with the OECD to make the best use of existing data, as the aid flows of many ESA's are reported to the OECD-DAC. In addition to reported aid flows, data on donor priorities, future planning and alignment, are also being considered in this questionnaire. If your agency already reports to the OECD-DAC (CRS), please skip questions 6 and 7 in this questionnaire. The questionnaire comes with a separate guidance document in Adobe PDF (GLAAS_ESA_GuidanceNote.pdf). Please refer to these notes first, before answering the questions (furthermore, references to relevant information in the guidance notes and glossary can be found along the main text of this questionnaire). Support "hotline" for filling in this questionnaire Email: glaas@who.int Staff from the IRC International Water and Sanitation Center can provide further support by telephone or e-mail in French, Portuguese, Spanish, Dutch or English: Tel: +31(0)70 3044026 (Ms. Jeske Verhoeven or Mrs. Catarina Fonseca). Some of the e-mail enquiries received on glass@who.int will be forwarded to the IRC support team. THANK YOU for your participation in this survey. The completed questionnaire should be sent by email to: Email: glaas@who.int Page 1
General Information Please type your answers in the light yellow coloured areas/boxes only. If your organisation responded to the 2009 GLAAS survey, previous responses are shown in the gray-coloured boxes Please fill in the following information before completing the questionnaire Name of organisation, bilateral or multilateral agency Name of respondent Email address Telephone number (inc luding country code) Designation/Title Department Postal address Date of response Name and title of 2009 respondent(s), if applicable. To meet the objectives of the Global Annual Assessment of Sanitation and Drinking-water (GLAAS), this questionnaire focuses on three key sections: A) Aid policy and implementation for the Water, Sanitation and Hygiene sector (WASH) - Questions 1 to 4 B) Aid flows for WASH - Questions 5 to 9 C) Alignment, harmonisation and accountability (following the Paris Declaration principles) - Questions 10 to 12 Page 2
Section A - Aid policy and prioritisation of sanitation, hygiene and drinking-water 1. Priority sectors for aid allocations 1.1 What were the top three aid priorities for your organization in? Priority sector/area #1 Priority sector/area #2 Priority sector/area #3 Other 1.2 If sanitation was not a top three aid priority for your organization, how would it best be characterized in terms of priority? (please place 'X' in applicable row) Top-third of all aid activities Middle-third of all aid activities Lowest-third of all aid activities 1.3 If drinking-water was not a top three aid priority for your organization in, how would it best be characterized in terms of priority? (please place 'X' in applicable row) Top-third of all aid activities Middle-third of all aid activities Lowest-third of all aid activities 1.4 Has your organisation used criteria to select priority sectors for aid allocations in? (if yes, please describe) and indicate in what way they refer, directly or indirectly, to sanitation and drinking-water. References and commentsplease enter additional comments or references that you feel would be useful to the analysis. Page 3
Section A - Aid policy and prioritisation of sanitation, hygiene and drinking-water 2. Criteria for aid allocation for sanitation, hygiene, and drinking-water in - 2.1 Has your organisation used specific criteria for selecting priority recipient countries/regions for sanitation, hygiene, and drinking-water aid in -? (yes/no) 2.2 If yes to Question 2.1 above, do these criteria include any of the following elements? (please indicate 'yes' or 'no') a) Countries or regions of greatest need (in terms of coverage/access figures) b) Countries or regions of greatest need (in terms of poverty figures) c) Established presence/relationships in-country or in-region d) Existence of strong national sector plans and budgets e) Strategic dialogue with countries f) Quality of governance or reform efforts g) Where a limited number of donors is working in the sector h) Relevance and significance of contribution, and/or catalytic opportunities i) Fragile or conflict-affected state j) Published targets for coverage or spending k) Presence of a human rights framework for sanitation and drinking-water l) Others (please indicate and add as many lines as needed) Page 4
Section A - Aid policy and prioritisation of sanitation, hygiene and drinking-water 3. Geographical focus of aid for WASH in - 3.1 Which were the priority countries/regions for sanitation & hygiene commitments in -? Please replace Country 1/ Region 1 with the country/region name and add rows as necessary for additional countries/regions (there is no limit to number of priority countries or regions) Country 1 Country 2 Region 1 Region 2 3.2 Which were the priority countries/regions for drinking-water commitments in -? Please replace Country 1/ Region 1 with the country/region name and add rows as necessary for additional countries/regions (there is no limit to number of priority countries or regions) Country 1 Country 2 Region 1 Region 2 References and commentsplease enter additional comments or references that you feel would be useful to the analysis. Page 5
Section A - Aid policy and prioritisation of sanitation, hygiene and drinking-water 4. Targets and future focus WASH 4.1 Does your organisation have specific targets for increasing access to water and sanitation services, in terms of numbers of people served over a specified time period or other types of targets for the sector? (For example: number of people trained, number of latrines constructed, amount of aid disbursed, ) 2008 4.2 If targets are specified in monetary allocations, please specify plans for the following five years. (If the amount of aid increase/decrease is known, please insert amount (and currency) or % increase (decrease). a) Sanitation b) Drinking-water c) Drinking-water and sanitation 2012 2013 2014 2015 4.3 Please describe briefly any plans or expectations your organisation may have for increasing or decreasing the focus of aid activities in 2012-2013 (e.g. targets, policies, changes to priority countries/regions, new approaches). Sanitation and hygiene Drinking-water Page 6
Section B - Aid flows for WASH 5. Funding channels for WASH 5.1 Do you have a specific report to Parliament or to a governing body which includes WASH aid delivered? Yes/no. Provide reference. 5.2 If yes to Question 5.1, what was the latest year reported and what was the amount of aid reported that is directed to the WASH sectors? 5.3 Do you provide general budget support to governments? Year and reported aid targeted to WASH sectors Yes/no. Amount 5.4 If yes to 5.3 have you analysed what is the % of this general budget support which is allocated to WASH? % of amount to general budget support/comment 5.5 Which funding channels were used for disbursement of aid for sanitation, hygiene, and drinking-water in? Main funding channel Sector budget support to governments (not targeted to specific projects) Programmes and projects via multilateral organisations Programmes and projects via NGOs (international or local) Academic and training institutes (international or local) Direct implementation (either own agency or consultancy agreements) Other (please specify) TOTAL Currency: Units: Currency: Units: (e.g. millions, thousands) Amount (or provide estimated %) Amount (or roughly estimated amount) Grants Loans Grants Loans (ODA) Loans (non- Concessional Page 7
Section B - Aid flows for WASH 6. Commitments (or planned budget) to WASH per country/region signed in NOTE: Please skip to question 8 if your organization already provides this information to the OECD-DAC[1] 6.1 What is the proportion of commitments to WASH compared to all the commitments (or planned budget) of your organisation for all sectors? % 6.2 Please provide the level of commitments or planned budget (grants [2], ODA loans [3], and non-oda loans[4]) per country or region for sanitation & hygiene, and drinking water. (Note: One country may necessitate several rows of reporting depending upon the categories and types of aid provided -- please add rows where necessary) Currency: Year: Units: (e.g. thousand, millions) Place an 'X' in the applicable category (please check only one) Place an 'X' in the applicable type of aid (please check only one) Recipient Country or region (one line per category) Country 1 Country 2 14010 Water (or sanitation) sector policy and administration 14015 Water resources conservation 14020 Large systems (benefiting both water supply and sanitation 14021 Water supply - large systems 14022 Sanitation - large systems 14030 Basic systems (benefiting both water supply and sanitation 14031 Basic drinking water supply 14032 Basic sanitation 14050 Waste management/ disposal 14081 Education and training in water supply and sanitation Hygiene education and promotion (if not covered by other columns) Other WASH (if not covered by others) Grants Loans (ODA) Loans (non- ODA) Amount of commitment (in currency and units noted above) Region 1 Region 2 [1] {listing of OECD DAC contributors} [2] Only grants and loans have been considered in this questionnaire. Other in-kind assistance, such as technical assistance can be considered as a grant for the purposes of this survey. [3] {definition of ODA loan}-see guidance notes page 9 [4] {definition of non-oda loan}-see guidance notes page 9 [5] {OECD purpose codes}-see codes explained in guidance notes pages 6/7 Page 8
Section B - Aid flows for WASH 7. Disbursements (or expenditures) to WASH per country/region in NOTE: Please skip to question 8 if your organization already provides this information to the OECD-DAC[1] 7.1 What is the proportion of disbursements to WASH compared to all the disbursements (expenditures) of your organisation for all sectors? % 7.2 Please provide the level of disbursements (expenditures) (grants [2], ODA loans [3], and non-oda loans[4]) per country or region for sanitation & hygiene, and drinking water. (Note: One country may necessitate several rows of reporting depending upon the categories and types of aid provided -- please add rows where necessary) Currency: Year: Units: (e.g. thousand, millions) Place an 'X' in the applicable category (please check only one) Place an 'X' in the applicable type of aid (please check only one) Recipient Country or region (one line per category) Country 1 Country 2 14010 Water (or sanitation) sector policy and administration 14015 Water resources conservation 14020 Large systems (benefiting both water supply and sanitation 14021 Water supply - large systems 14022 Sanitation - large systems 14030 Basic systems (benefiting both water supply and sanitation 14031 Basic drinking water supply 14032 Basic sanitation 14050 Waste management/ disposal 14081 Education and training in water supply and sanitation Hygiene education and promotion (if not covered by other columns) WASH Emergency (humanitarian assistance) Other WASH (if not covered by others) Grants Loans (ODA) Loans (non- ODA) Amount of disbursementt (in currency and units noted above) Region 1 Region 2 [1] {listing of OECD DAC contributors} [2] Only grants and loans have been considered in this questionnaire. Other in-kind assistance, such as technical assistance can be considered as a grant for the purposes of this survey. [3] {definition of ODA loan}-see guidance notes page 9 [4] {definition of non-oda loan}-see guidance notes page 9 [5] {OECD purpose codes}-see codes explained in guidance notes pages 6/7 Page 9
Section B - Aid flows for WASH 8. Disaggregation of disbursements to WASH infrastructure in 8.1 Please provide the best estimate on the disaggregation of disbursements to the following activities to sanitation, hygiene, and drinking-waterwater Categorization of aid disbursements Sanitation Currency: Units: (e.g. millions, thousands) Estimated % Amount (or roughly estimated amount) Grants Loans Grants Loans (ODA) Loans (non- Concessional New services [1] Maintaining existing services [2] Improving service levels [3] TOTAL 100% 100% 100% New services [1} Drinking-water Maintaining existing services [2] Improving service levels [3] TOTAL 100% 100% 100% [1] New services: Providing access to sanitation and/or drinking-water services where there were previously no improved services [2] Maintaining existing services: Conducting major repairs, rehabilitation, replacement and maintenance which allow existing service to function as they had been previously [3] Improving service levels: "Enhancing existing services either for the customer or the environment" See more details and examples in the guidance notes. Expected number of beneficiaires Page 10
Section B - Aid flows for WASH 9. Disaggregation of disbursements to WASH in 9.1 If it is possible to categorize development aid projects or programmes as benefiting certain demographic areas, please provide the best estimate of percentages (or amounts) of disbursements to urban and rural areas. Categorization of aid disbursements Sanitation Drinking-water Currency: Units: (e.g. millions, thousands) Amount (or roughly estimated amount) Grants Loans (ODA) Loans (non- Concessional Urban [1] Rural [2] Both urban and rural TOTAL 100% 100% 100% Urban [1] Rural [2] Both urban and rural TOTAL 100% 100% 100% Expected number of beneficiaires [1] Urban (http://unstats.un.org/unsd/demographic/products/dyb/dyb2008/notestab06.pdf)- see guidance notes pages 11-13 [2] Rural (http://unstats.un.org/unsd/demographic/sconcerns/densurb/densurbmethods.htm#b)- see guidance notes pages 11-13 Page 11
Section C - Alignment, harmonisation and accountability 10. In country donor/organisation coordination in 10.1 How much of your organisation's WASH aid is coordinated with recipient country programmes? Please estimate the proportion of coordinated WASH aid vs. total WASH aid as a % of disbursements % 10.2 Which are the countries where your organisation/your grantees are active in national coordination/harmonisation platforms for the sanitation and hygiene sub-sector 2008 (list countries) 10.3 In which of the countries mentioned in 10.2 was your organisation taking a leading role in? (list countries) 10.4 Which are the countries where your organisation/your grantees are active in national coordination/harmonisation platforms for the drinking-water sub-sector 2008 (list countries) 10.5 In which of the countries mentioned in 10.4 was your organisation taking a leading role in? (list countries) Page 12
Section C - Alignment, harmonisation and accountability 11. Predictability and procurement systems 11.1 What proportion of your sanitation & hygiene commitments (in volume) is allocated to short/longterm programmes? Similarly, what is the proportion allocation for drinking-water? Length of support Sanitation Drinking-water Percentage of commitments (or planned budget) Less than 3 years 3 years to less than 5 years 5 years or more TOTAL 100% Less than 3 years 3 years to less than 5 years 5 years or more TOTAL 100% 11.2 Does your organisation use partner countries' procurement systems for WASH? (please list countries where your organization works and place an 'X' in the appropriate column -- please add rows as necessary). Country Use country procurement system? (place 'X' in appropriate column) Yes No Unknown Yes No Unknown Page 13
Section C - Alignment, harmonisation and accountability 12. Achievements and obstacles to alignment, harmonisation and accountability 12.1 Please indicate 1 to 3 achievements for your organization or your WASH programs over the past 3 years towards increased alignments, harmonisation, and accountability. Sanitation and hygiene Drinking-water 12.2 Please indicate 1 to 3 obstacles for your organization or your WASH programs over the past 3 years towards increased alignments, harmonisation, and accountability. Sanitation and hygiene Drinking-water Page 14
Final comments and feedback 13. Final comments and feedback Question 13.1 Do you feel this questionnaire can adequately describe the WASH aid flows from your organisation? 13.2 How much time was needed to fill out the questionnaire? (Full Time Equivalent or hours) 13.3 How many people were involved in filling out the questionnaire? 13.4 What added value can this type of assessment bring to your organization? 13.5 What suggestions do you have to improve this data collection exercise? 13.6 What other suggestions specifically on this questionnaire or for GLAAS broadly? Page 15