[ Module 4] How to translate CSP into action?

How to use a CSP as a tool for urban development? –M4: How to translate CSP into action?

[Module 4]How to translate CSP into action?


Module 4: Basics 2

How to translate CSP into action?Approach for realization of

a CSP action plan

Service level benchmarks

Data management

Stakeholder / community participation

SLBs in the home towns of the participants

Concept for community partricipation

Compilation of apriority list


Module 4: Basics 3

Approach for realization of a CSP action plan

Key players and rolesDrivers CDP, CSP

and DPRPriority list of actions

Phasing of a CSP

Tendering process


Module 4: Basics 4

What drives the sanitation sector in the cities?

Conducive National and State Policies

Legal and regulatory framework

Environmental safeguards

Political will at all levels

Financial provisions

Capacities of decision makers, staff and stakeholders

Proactiveness decision makers, staff and stakeholders

Technology Options

Community engagement


Module 4: Basics 5

Key players & Roles

Government

Community

NGOs Private Players

R & D Institutes,

others

ULB


Module 4: Basics

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City Development Plan, City Sanitation Plan,and Detailed Project ReportWhat are the differences? please try to define …

CDP CSP DPR… is a complete document for investment decision-making, approval, and planning. DPR is the base document for planning and implementing the project. It includes: Examination of technological

parameters. Description of the technology

to be used. Broad technical specification. Evaluation of the existing

resources. Schedule plan. General layout. Volume of work

… is a vision document on sanitation with 20 to 25 years horizon with short term town level action plans for 3 - 5 years to achieve sanitation goals as per objectives of NUSP. Broad areas to be covered in CSP are: Awareness generation Sanitary and technical options Operation & maintenance Service delivery systems Institutional responsibilities Reaching the unserved and poor

households Legal and regulatory institutional

responsibilities Planning and financing Capacity building & training Implementation management Monitoring & evaluation, supervision. City reward schemes

… is both a perspective and a vision for the future development of a city. It includes: Analysis of the current

stage of development, directions of change, thrust areas for development, and alternative strategies, and interventions.

A framework and vision within which projects need to be identified and implemented.

A logical and consistent framework for evaluation of investment decisions


Module 4: Basics 7

CSP and DPR – various grade of detailing

CSP

Plan used to guide & prioritize interventionsCover all issues such as water supply, toilets, sewerage, septage, storm water, SWMPriorities and projects are identified

Broader investment plan & sources of finance identified

Broader stakeholder engagement

DPR

Prepared for an identified project/ component Contains details such as drawing, designs, capacities for identified project Limited stakeholder engagement


Module 4: Extras

Specific requirements of DPR Preparation

Pre DPR• Stakeholdes Analysis • Scoping study/ feasibility

study • Decision on source of

finance

DPR• Project background• Institutional aspects • Technical options• Financial (cost,

sustainability), • Population forecasts, • Phasing• O & M provisions• Sustainability aspects• Cost-benefit analysis

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Module 4: Basics 9

What are possible criteria to develop a priority list of actions

Priority list of action

Significance of adverse impacts

Control and influence through ULB

Investment requirements

Time requirements

Implementation


Module 4: Extras

What is creating the most significant adverse impacts on peoples health, economy?

Rampant open defecation and / or urination Bad / no O & M of existing infrastrctures like drains, or

toilets Lack of effective septage management Uncontrolled dumping of sewage into water bodies No storm water management system – flooding, pollution No treatment facilities available Lack of system for grey water management

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Module 4: Extras

What is under direct control of the ULB?

Education on hand washing & use of facilities Empowering communities to construct their own facilities Improve public sanitation facilities Improve O & M of existing facilities Establish effective septage management system Establish monitoring mechanisms Tariff revision Bye laws for user charges Involve private sector, communities in maintenance,

services provisions

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Module 4: Extras

What requires least investment?

Awareness raising and behaviour change communication Making use of existing facilities Improving O & M of existing facilities Establish septage managment Localized interventions - onsite and decentralized

infrastructure

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Module 4: Extras

What is doable within a short period?

Septage managment Improving O & M of existing

facilities Awareness generation and

Behaviour Change Communication (BCC) leading to hand washing habits and adopting better sanitation

Ensuring use of existing

facilities

Preparations for mid (3-7) and long term (7-20 years) projects• Exploring various financial

options• Tendering and

procurement • Feasibility studies • Impact assessments• Clearances 13


Module 4: Basics 14

Immediate & short term – upto three years • Septage Management • Effective O & M of existing

facilities • Toilet construction,

awareness• Public sanitation facilities • Preparations for medium &

long term plans• Establish monitoring

mechanism• Improving budgetary

allocations• Data management

Medium term – beyond 3 years to 7 years • New sewerage system • New drainage system• Treatments facilities • Additional provision for

growing population• Integrating all aspects of

sanitation

Long term- beyond 7 to 20 years • Integrating all sanitation

infrastructure • Provision for growing

population• Sustainable infrastructure • Achieving benchmarks• Fully sanitized cities

Approach to develop a priority & initiate actions - Phasing of CSP

Capacity building and training as a continuous activity


Module 4: Extras 15

Approach to develop a priority & initiate actions- Non negotiables

- Focus on eradicating open defecation (all possible options at all levels)

- Start with least investment options - Improve use and O & M of existing infrastructures- Where applicable – establish septage

management - Use low investment options that are available

and workable


Module 4: Basics 16

The specific objectives of the CSP are understood and targeted in the ToR

Baseline data and information provided in CSP has to be used and considered in tendering process

Framework and action plan provided by the CSP have to be addressed by the ToR

Indicators to measure output and outcomes of the tendered project as expected in CSP have to be clearly defined

How to consider the CSP during tendering processes?


Module 4: Basics 17

How to utilize CSP for compiling the tendering documents?

Set the context of the project as per CSP:

Provide a wider view on the tendered work package as per CSP

Clearly define goals and objectives of the project in tender document as per CSP

Clearly define linkages with other projects and sectors

Set the project in clear relation to the framework, activities, institutional structures and capacity building and training as laid out in the CSP


Module 4: Extras 18

What else to include in tendering documents?

Consider tendering as integrated and inclusive packages

Clearly define the deliverables

Define a clear phasing plan for each activity and project

Plan each activity and project to ensure integration

Define approach and methods to integrate projects / activities

Define clearly role and responsibilities of regulator, implementor, etc

Define role of community and variables that may impacts performance

Suggest framework and methods to overcome obstacles


Module 4: Activities 19

Group work: Development of a priority list for an action plan

1. Participants form work groups of 5 – 7 persons;

2. Members of each group contribute 4 – 5 examples of actions related to sanitation which would be needed in their home towns to their group.

3. Group discusses the selected examples and ranks them according to the assessment scheme introduced in the presentation

4. As a result the group compiles an ranking sequence for the given activities and discusses pros and cons of the given ranking approach



Adverse impacts

Direct control through municipality

Investment required

Period of implementation

Total score

Remark

Example 1 Example 2 Example 3 Example 4 Example 5

• Execute the ranking • Compile a poster with the result. Best option is to use a matrix like below:

• Discuss scoring in the group and document reasons for • Rank according to total sum of scores and • Discuss whether a weighted scoring (e.g. doubling for investment)

might be more appropriate• Assign one participant as presenter• Every group presents its findings to the other groups

Group work: Development of a priority list for an action plan


Module 4: Basics 21

Monitoring and improvement of performance - Why SLBs are useful for ULBs?

SLBs help to institutionalise performance management

SLBs help ULBs to proof their performance as principal elected institution for city self-governance

Benchmarking with other cities facilitates competitive environment for continuous improvement

Performance data at sub-ULB level are useful for appropriate decisionsHelp local decision-makers identify gaps, plan and prioritise

improvement measuresMake it possible to link decision-making on financial allocations to

service outcomes

Provide framework that can underlie contracts/agreements with service providers

Enhance accountability to customers for service delivery levels

Enable identification and transfer of best practice


Module 4: Basics 22

establish system for performance management of their service delivery through use of SLBs

periodic reporting

SLBs provide reasonable indication of performance of ULBs

engage in examination and proposal for remedial actions enable state governments and ULBs in design and

implementation of performance management systems make use of SLBs in programmes supported by them examine SLBs in course of interaction with ULBs

most important for institutionalization of SLBs

establish system for performance management of service delivery through use of SLBs

examine performance of parastatal civic agencies involved at local level

lead in dissemination of SLBs building of acceptance further institutionalization through

JNNURM and other MoUD schemes support to establish SLB

measurement, analysis and reporting

foster performance of ULBs and related agencies periodical evaluation of SLBs using SLBs as input for:

decision making, resource allocation, chanelising of support, incentives and penalties, regulatory considerations

SLBs – roles of different stakeholders

State Governments

and their agencies

ULBs MoUD,

GoI

Bi- or multi-lateral Aid

Agencies and other

stakeholders

Citizens and civil society

Implemen-tation of

SLBs

other pareastatal agencies


Module 4: Basics 23

SLBs for Urban Sanitation

Sewage Management (Sewerage and

Santitation)

Water Supply Services

Storm Water Drainage

Solid Waste Management


Module 4: Basics 24

Indicator Benchmark(1) Coverage of water supply connections 100%(2) Per capita supply of water 135 lpcd(3) Extent of metering of water connections 100%(4) Extent of non-revenue water (NRW) 20%(5) Continuity of water supply 24 hrs(6) Quality of water supplied 100%(7) Efficiency in redressal of customer

complaints80%

(8) Cost recovery in water supply services 100%(9) Efficiency in collection of water-supply

related charges90%

SLBs for Water Supply Services


Module 4: Basics 25

Indicator Benchmark

SLBs for Sewage Management (Sewerage and Sanitation)

(1) Coverage of toilets 100%(2) Coverage of sewage network services 100%(3) Collection efficiency of the sewage

network100%

(4) Adequacy of sewage treatment capacity 100%(5) Quality of sewage treatment 100%(6) Extent of reuse and recycling of sewage 20%(7) Efficiency in redressal of customer

complaints80%

(8) Extent of cost recovery in sewage management

100%

(9) Efficiency in collection of sewage charges 90%


Module 4: Basics 26

Indicator Benchmark(1) Coverage of storm water drainage

network100%

(2) Incidence of water logging / flooding 0

SLBs for Storm Water Drainage


Module 4: Basics 27

Indicator Benchmark(1) Household level coverage of solid waste

management services 100%

(2) Efficiency of collection of municipal solid waste

100%

(3) Extent of segregation of municipal solid waste

100%

(4) Extent of municipal solid waste recovered

80%

(5) Extent of scientific disposal of municipal solid waste

100%

(6) Efficiency in redressal of customer complaints

80%

(7) Extent of cost recovery in SWM services 100%(8) Efficiency in collection of SWM charges 90%

SLBs for Solid Waste Management


Module 4: Extras 28

Performance Management System


Module 4: Extras 29

Monitoring process – how to make SLBs operational and valuable?


Module 4: Basics 30

Information and data management

There is a common rule in management: ‘If you want to

manage, measure’!

Why?

(1) You have to know what is happening at any time(2) You need to recognize and address deficiencies(3) You need to have an idea on future requirements(4) You must be able to answer questions of stakeholders and

supervisors


Module 4: Basics 31

Information and data management - basics• clearly define data to be collected

regularlaly• define basic data to be collected in any

case• define add on data• define data formats

Data• standardized method• regular intervals• check reliability• follow-up and supervise

Collection• ensure accessibility• ensure standardized storage • ensure regular updating• consider IT solutions

Storage

• consider IT solutions• follow-up and superviseProcessing


Module 4: Extras 32

Sewage Management (Sewerage and

Santitation)

Water Supply Services

Storm Water Drainage

Solid Waste Management

City Sanitation Management Information System

Base line data

periodical collection required


Module 4: Extras 33

City Sanitation Management Information System – Base line dataGeneral City Wards

Total length of road network total length of drains covered / uncovered drainsStorm

water management

Financial aspects Staff positionsManagement

Total no. of households

Pipe network Production facilities

No. of direct / metered service connections

No. of public standpostsWater supply

No. of inhabitants / service area

Sewage No. of properties with / without access to toilets

No. of properties in service areas

No. of properties with direct connection to

sewage network

No. of properties with sanitary on-site facilities

Treatment plant capacity

Flood prone points

Total length of road networkSolid waste

management

Total no. of other generators


Module 4: Extras 34

Management Information System – water supply

Quality / Complaints

No. of HH with direct WS

connection

Monthly metered consumption of

water

No. of water supply related

complaints

No. of redressed complaints

operation and production costs

operation revenue

Cost efficiency

No. of samples meeting / not meeting

the standards

daily quantity supplied from

production level

revenue billed / collected

total quantity of water sold /

metered

average duration of pressurized water

supply / service area

Service time

Quantitative data


Module 4: Extras 35

Management Information System – sewage management


No. of sewage related

complaints


operation costs

operation revenue

Cost efficiency

No. of samples meeting / not meeting the

treatment standards

revenue billed / collected

total quantity of water supplied

Quantitative data

estimated water use from other

sources

waste water collected

no. of vehicles licensed for

septage collection

Quantum of septage

disposed safely

Waste water received at STPs

Waste water reused of recycled

after treatment


Module 4: Extras 36

Management Information System –storm water drainage

Quantitative data

number of flooding / water logging events


Module 4: Extras 37

Management Information System – solid waste management

Quantitative data

No. of HH and establishments

with daily collection

total waste generated

quantum of waste processed

or recycled

quantum of waste disposed in all

landfils / compliant landfils

quantum of waste

segregated

total quantum of waste collected


No. of MSW related

complaints


operation costs

operation revenue

Cost efficiency revenue billed / collected



Group work on SLBs in the home towns of the participants

SLBs are an important tool for improvement of Urban Sanitation. They require a broad database and regular updating of relevant data. Reflect the situation in the home towns of the participants and collect ideas for improvement of the database.

• Working groups discuss 2 to 4 SLBs out of one of the fields relevant for Urban Sanitation

• Each group answers the questions listed in the table on next slide

• Discuss with your colleagues from other towns and compare the situations in the towns represented in your work group.



Group work on SLBs in the home towns of the participants

SLB A SLB B SLB C SLB DSLB checked? Y/N Mode of data collection / calculation;If not checked regularly, which data would be available?

Reliability of data Options to improve reliability of data.

What would be required for improvement in terms of resources and working processes/ mechanisms?

Conclusions from discussion


Module 4: Basics 40

Importance of community participation

Legal background

Guiding principles

Extent of participation

Community participation

Tools for participation

Example: Innovative community

involvement in Alnadur, Tamil Nadu

Example: Behaviour change objectives in CSP

Cochi


Module 4: Basics

Community participation – Legal background

(1) MoUD drafted a Community Participation Law under JNNURM(2) Decision making shall be decentralized to ward committees and even below

(area sabha)(3) Area sabha is the platform for citizen participation below the level of the ward

creating a political space for the citizen to participate in the city’s decision making process.

(4) Every ward will have a ward committee comprising of representatives from each area sabha and representatives from the institutions in the ward jurisdiction.

(5) Ward committee will prepare a meeting calendar, annual ward plans and ward budget


Module 4: Basics

Inclusion of stakeholders / community participation – Why is it important?(1) Sanitation is a shared responsibility

(2) Behaviour change will be required in several fields to ensure efficient sanitation

(3) Participation creates ownership and means shared responsibility for the strategy and its joint undertaking

(4) Stakeholders / communities bring information for the strategy, ensuring that it is based on a common understanding of purpose, problems and solutions

(5) Participation is the most effective way of communicating information on which the strategy is based, its goals and tasks to be undertaken;

(6) Participation by stakeholder groups is critical for decision making. The result will be a realistic strategy with a broad base of knowledge, understanding and commitment from the groups involved

(7) Participation shall strengthen civil society and democracy, mobilize people for active involvement in governance.

(8) Participation shall increase the effectiveness and efficiency of investments


Module 4: Basics 43

Stakeholder participation

Guiding principles

(1) Build confidence – take partners serious, ensure two way communication and collaboration, establish rules and respect norms, respect each other, don’t play games, respect other interests, and opinions

(2) Ensure to reach the community – ensure that all relevant stakeholders / actors are reached and included; make the project attractive; make added value visible; motivate reluctant parties to participate

(3) Involve stakeholders actively in problem identification and solution - involve partners in problem analysis, visioning, priority setting, solution identification, strategy development, implementation and monitoring; avoid the feeling of only being decoration

(4) Include stakeholders in implementation and success stories – make success in pilot projects visible to other areas, let the stakeholders participate in success stories

(5) Public Information, Education and Communication – ensure sufficient outreach and visibility, offer various measures to build the required awareness and capacities

https://kce.fgov.be/sites/default/files/imagecache/content_page_image_doublecolumn/R_174.jpg


Module 4: Extras

Extent of participation

Passive Only for incentives

Consultations

Functional participati

on

Interactive participati

on

Self Mobilizatio

n

•spectator •no own initiative

•participate only if there is some kind of gain

•engagement onlyon particular topic

•not proactive•answering questions

•proactive• functional engagement

•supportive efforts

•ability to influence decisions

•suggest / demand for alternate options

•willingness to contribute resources

•highly empowered to take up activities

•decision making

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Module 4: Extras

Tools to organize and manage participation – stakeholder analysis1) stakeholder landscape2) analyse interests of

stakeholders:are they in line with the project or controversial ?

3) possible impacts of dissonances, differences in interests

4) develop strategy for management of stakeholders according to their role / influence, interest and potential conflicts

https://www.wbginvestmentclimate.org/toolkits/public-policy-toolkit/images/sample-stakeholder-matrix_1.JPG

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Module 4: Extras

Tools to organize and manage participation – how to deal with conflicts?

Options to deal with conflicts:a) ignoreb) livec) find options to achieve win-win

situation

Avoid:a) naivetyb) neutral poses when you are notc) underestimating potential for

violenced) to be the do-goodere) to be the megaphone

http://t1.gstatic.com/images?q=tbn:ANd9GcQhLbwVzBwBK7oViaKQEHvGNcTP9W39SIHm53RnvZi013JYhMhO

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Module 4: Extras

Tools to organize and manage participation - examples (1)

Group meeting After an opening presentation, the group is broken into smaller groups to discuss an issue or complete a specific task. Summaries of small group discussions and an open comment period may follow.

Focus group discussion

Small discussion group led by a facilitator who draws out in-depth stakeholder input on specific questions. Normally, several focus groups are held, and participants can be chosen randomly or to approximate a subset of the community.

Interview Face-to-face or telephone interaction with stakeholders conducted by the agency or by a third-party representative.

Field trip Trip to specific location organized so that participants can match their mental images to real, on-the-ground conditions. Participants may be asked to express their reactions verbally or in writing.

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Module 4: Extras

Tools to organize and manage participation - examples (2)

Open house Event in which the public is invited to drop in at any time during an announced period. Event includes staffed booths or stations on specific topics and may precede a public meeting.

Public hearing Formal, single meeting where stakeholders present official statements and positions, and those ideas are recorded into a formal record for delivery to the agency.

Poll or survey Written or oral lists of questions to solicit community impressions about issues at a specific moment in time. Polls and surveys can be administered in person, or via the telephone or Internet.

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Module 4: Extras 49

Innovative community involvement in Alandur, Tamil Nadu (1)

Need for sewerage system

Lack of financial resources

Innovative public-private financing

approach

(1) Survey on willingness to pay and development of a financing proposal

(2) Raising public awareness explaining benefits, costs and tariff system

(3) Collection of charges and one-time connection fee; establishment of collection centers

(4) Full transparency

Citizens contribute to construction and

operation costs via fees

Setting Involved partners

Tamil Nadu Urban Infrastructure

Financial Services

State Government

USAID FIRE Project

Municipality of Chennai

Municipality of Alandur

Results

(1) First sanitation related PPP project in India(2) Public contributed almost a third of the project

costs for sewerage and STP(3) 120 km of branch and main underground

sewers(4) BOT operated STP (5) Reduction of contamination of storm water

drains through septic tanks(6) reduction of breeding grounds for mosquitos


Module 4: Extras 50

Innovative community involvement in Alandur, Tamil Nadu (2)

(1) Health and hygiene(2) Environment and natural resources(3) Technology and operation(4) Financial and economic issues(5) Socio-cultural and institutional aspects

Sustainability Lessons learned(1) PPP approach led to a sustainable improvement of

sanitation(2) Approach reduced the recurring costs for septic

tank management and(3) pollution of ground water trough uncontrolled

discharge from septic tanks(4) Sensitizing and convincing citizens was the most

challenging part of the action, particularly because of lack of best practice success stories

(5) Involvement of stakeholders has been key success factor

(6) High level political commitment has been key success factor

(7) Innovative financing approach bringing together public and private finances helped to meet the financial requirements

(8) Effective leadership, transparent procedures, political will, effective sensitization, motivation and information, partnerships with CBOs, inter-departmental coordination, active involvement, and collective efforts have been decisive

• Replication in other cities

• Municipality has to take responsibility after expiry of the management contract


Module 4: Extras

Part

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atio

n an

d aw

aren

ess

cam

paig

ns h

ave

to

be g

eare

d to

ach

ieve

the

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Example: behaviour change objectives as formulated in the CSP for Cochi



Group work: Concept for community participation

1. Participants form work groups of 5 – 7 persons;

2. Design a public participation approach for establishing community / public toilets in

a) a poor ward with high OD prevalence and

b) in a commercial area with high floating population.

3. Elaborate the following steps and document the result on a poster:

(1) Describe the specificities of both scenarios

(2) Identify key stakeholders and stakeholders of less importance. How would you approach and include the various groups?

(3) Which tools and approaches would you select and why? Set focus on creation of ownership and required behaviour change of the stakeholder groups

(4) Assign one participant as presenter.


Module 4: Basics

Indo-German Environment Programme (IGEP)Deutsche Gesellschaft fürInternationale Zusammenarbeit (GIZ) GmbH

Sustainable Urban HabitatB-5/2, First Floor, Safdurjung Encalve, New Delhi-110029, Tel: +91-11-49495300/01/02

Thank you very much

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[ Module 4] How to translate CSP into action?

Documents

urban development

city development plan

future development

city sanitation plan

current stage of development

vision document

sanitation goals

sanitation sector