Kenya Country Impact Study

8/12/2019 Kenya Country Impact Study

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IMPACT STUDYKENYA COUNTRY


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United Nations Human Settlements Programme

Nairobi 2011

KENYA COUNTRYIMPACT STUDY02

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Water and Sanitation Trust Fund Imp a ct Study Series Kenya Country Impact Study

First published in Nairobi in 2011 by UN-HABITAT.Copyright United Nations Human Settlements Programme 2011All rights reserved

United Nations Human Settlements Programme (UN-HABITAT)P. O. Box 30030, 00100 Nairobi GPO KENYATel: 254-020-7623120 (Central Ofce)www.unhabitat.org

HS/010/11EISBN (Series): 978-92-1-132035-0ISBN (Volume): 978-92-1-132305-4

Disclaimer

The designations employed and the presentation of the material in this publication do not imply theexpression of any opinion whatsoever on the part of the Secretariat of the United Nations concerning thelegal status of any country, territory, city or area or of its authorities, or concerning the delimitation of itsfrontiers of boundaries.

Views expressed in this publication do not necessarily reect those of the United Nations Human Settle-ments Programme, the United Nations, or its Member States.

Excerpts may be reproduced without authorization, on condition that the source is indicated.

Photos UN-HABITAT

Acknowledgements

Authors: Lotta Nycander, Piers Cross,Torbjon Damhaug

Editors: Dominic OReilly and James OhayoDesign and Layout: Andrew Ondoo


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Acronyms

AfDB African Development BankAWSB Athi Water Services BoardCA Co-operation AgreementsEIB European Investment BankENOF Enhanced Normative and Operational FrameworkJMP Joint Monitoring Program (UNICEF and WHO)KENSUP Kenya Slum Upgrading Program

KfW German Development BankKibera WATSAN Kibera Integrated Water, Sanitation and Waste Management ProjectGoK Government of KenyaLFA-RBM Result-Based Management and Logical Framework ApproachLVWATSAN Lake Victoria Region Water and Sanitation InitiativeMDGs Millennium Development GoalsMnU Maji na UfanisiMSF Multi-Stakeholder ForumMTEF Medium Term Expenditure FrameworkMTSIP Mid-Term Strategy and Institutional Plan

MWI Ministry of Water and IrrigationNWSC National Water and Sewerage Company (Uganda)NCWSC Nairobi City Water and Sewerage CompanyO&M Operation and maintenanceRBM Results Based ManagementSWAp Sector-Wide ApproachVIP Ventilated Improved Pit latrines

WAB Water Appeal BoardWAC Water for African CitiesWARIS Water Regulatory Information System

WASREB Water Services Regulatory BoardWATSAN Water and sanitationWOP Water Operators PartnershipWRMA Water Resource Management AuthorityWSB Water Services BoardWSIB Water, Sanitation and Infrastructure BranchWSP Water Service ProviderWSS Water supply and sanitation

WSTF Water and Sanitation Trust Fund


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Executive Summary

T his document is an internal Kenyacountry impact study of initiativessupported by UN-HABITATsWater and Sanitation Trust Fund (WSTF)undertaken by a team of internationalconsultants. The objective of the WSTF,established in 2003, was to bring in newinvestment and ideas, expand servicecoverage for poor urban dwellers and helpbuild momentum for achieving the MDGs.

Its Strategic Plan for the 2008 2012envisions three key outcomes:

Increased institutional capacityin partner countries for pro-poorwater and sanitation initiatives andpolicies with focus on gender equity,renewable energy and efciency andenvironmental sustainability

Increased ow of investment intowater and sanitation sector catalysedby WSTF interventions

Improved MDG monitoringmechanisms in place in partner

countries, with improvedbenchmarking of water andsanitation service providers

The impact study reviewed WSTFsstrategic intentions, examined the Kenyacountry context and UN-HABITATscountry strategy and undertook animpact study of specic projects.

Information was gathered from reviewingproject documents, interviews with keystakeholders, including beneciaries andeld visits.

The projects selected for review were:

1. Two complimentary projects inKibera focussing on improvingWSS services to the urban poorincluding infrastructure investments,strengthening of governance and

community management that can beapplied to other informal settlementsin Kenya


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2. The Kenyan projects of the RegionalLake Victoria Water and SanitationInitiative, with a specic focus onHoma Bay

3. The Maji Data Project

Collectively, these three sample projectswill represent a basis for the assessment

of the impacts of the three key outcomeareas of the WSTF Strategic Plan.

MAIN FINDINGS ON THEKENYA COUNTRY PROGRAMUN-HABITATs project activities on theground are making substantial strategicand direct impact from a relatively smallinvestment. There is a close linkagebetween Kenya project outcomes andplanned WSTF results.

The country programme focuses onsolutions to better serve the informalurban poor in cities and small townsand on improving sector information.These are widely recognised as criticallyimportant issues which can inuence avery substantial pipeline of investment.They are all issues at the heart of UN-HABITATs mission and comparativeadvantage. UN-HABITATs Kenya countryprojects have an impressive leverageeffect on follow-up and complementaryinvestments and are good value formoney.

Whilst the country programme has madesound strategic project choices, overall itdoes not have a clearly articulated countrystrategy, developed and discussed withkey sector stakeholders. UN-HABITATs

implementation approach insufcientlyreects or supports the main Kenya sectorreform process.

The reforms have put in place WSBs,WSPs and a regulator as the keyinstitutions inuencing sector investmentand improving sustainable serviceaccess by the poor. The three studiedUN-HABITAT projects are implementedby an NGO, a regional project unit andan externally-nanced Trust Fund all

marginal bodies to Kenyas key servicemanagement institutions serving theurban poor.

Scale is best achieved by supporting onecoherent system, rather than doing italone and appearing to perpetuate asector characterized by a vertical series ofagency initiatives .

UN-HABITATs country strategy inKenya might also focus more explicitlyon helping utilities to deliver on theirresponsibilities to serve the poor. Thiswould also complement UN-HABITATsregional support to the Water OperatorsPartnership (WOP) and help build impactand service sustainability.

Kenya has recently experienced asubstantial growth in urban sectorinvestment. Yet strategies to serve theurban poor are not clearly articulated and

there key areas such as sanitation requireconsiderable policy and strategy support.UN-HABITAT might consider alteringthe future balance of its Kenya countrystrategy to address these strategic areas ata high level, rather than primarily seekingto use WSTF funds to make direct impactsto service relatively small numbers of thepoor.


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MAIN PROJECT FINDINGSAND RECOMMENDATIONS

KIBERA

UN-HABITATs two complementaryKibera projects have made a signicant

contribution in one of the toughest ofdevelopment settings: improving servicesto the urban poor in one of Africasmost notorious slums. UN-HABITATscontribution is distinctive in that it hasput in place interventions that both makea signicant and direct impact on thepoor, and also provided a model with keyfeatures that could be replicated at scale.

UN-HABITATs Kibera initiative puts intopractice many of the key lessons learntin addressing water and sanitation ininformal settlements. The project isboth horizontally integrated in the urbanenvironment (addresses water, sanitation,solid waste disposal, roads, drainage, andhousing) and has some strong featuresof vertical integration (the Athi WaterServices Board -AWSB, the community,women and the youth). A key successfactor has been developing momentum incommunity-NGO-local authority and state

dialogue.The project has successfully managedto take the lessons of the pilot projectto a larger scale through the KiberaSupport Programme in cooperation withAfDB. It has a high leverage ratio onAfDB and GoK nance. Although there islittle data on direct project beneciariesand veriable impacts, and the numbersdirectly served with improved waterand sanitation services are rather small

compared with the scale of the problem,the project has the potential to make alarge impact on policy and overall strategyon Nairobis slums.

While the project is visionary, in itstotality it will need to mobilize substantialresources and this raises questions aboutthe overall sustainability and replicationviability of the approach. There is a longroad ahead, and the mobilization ofresources, from public sector, privatesector and user fees will be critical to

future success.On the basis of the lessons learned fromthe Kibera pilot, UN-HABITAT should placegreater emphasis on political advocacyand promotion of increased ow ofinvestments for the up scaling of theKibera interventions, and use less WSTFresources on further pilots. UN-HABITATshould begin an explicit programmeto mobilize investments from potentialinvestors such as KfW, EIB, The WorldBank.

A design component which might beaddressed in future projects is the greaterinvolvement of the NCWSC and AWSBat the outset of the project. Developinga strategic relationship with NCWSC isalso critical for the next steps in waterservice development in Nairobi and forconceiving of and implementing successfulapproaches to sanitation and solid waste

disposal for poor urban communities.

LAKE VICTORIA

The LVWATSAN has introduced effectiveapproaches for accelerating theachievements of the WSS MDGs thatwill serve as model-setting approachesfor up-scaling WSS development in theLake Victoria Region and elsewhere. TheLWATSAN Kenya projects in Homa Bay,Kisii and Bondo have achieved tangibleresults on the ground. The Quick ImpactApproach with its combined and rapid


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efforts of undertaking immediately neededrepair works with limited investments andestablishing the Multi-Stakeholder Forum(MSF) and institutional strengthening, isa signicant but under-communicatedachievement of the LVWATSANinterventions. The provision of micro-creditfor construction of private latrines is also

an important instrument for pro-poorsanitation development, even if furtherefforts will be needed to broaden thebenets to the poorer citizens of thetowns.

The achievements and lessons learnedfrom the LVWATSAN projects will providea valuable platform for UN-HABITAT tocontinue and upgrade its involvement inother WSS initiatives in the Lake Victoriaregion and elsewhere. Continued regionalmanagement however does detract fromlocal ownership and support to Kenyasector reforms.

MAJI DATA

The verication of the actual impactsof the Maji Data project needs to waituntil the system starts disseminating theinformation and data products. MajiData is however an excellently conceived

initiative, strategically important andexecution by UN-HABITAT through WSTFbrings great added value. Through thisproject UN-HABITAT is generating strongleverage on WSTF and the anticipatedlarge pipeline of investment in futureurban sector investment.

The project start omitted a key step ofprocessing test data and testing out thedatabase and project products beforecommissioning the main data collectionexercise. This has introduced a signicantrisk that the information products do notmatch the requirements or expectations of

users of the data. It is also recommendedthat steps be taken to ensure that baselinedata contains key gender indicators sothat gender impacts can be tracked.

With its focus on low-income andinformal urban settlements Maji Data is animportant contribution to the overall WSS

sector monitoring and information systems(Figure 2-1). A signicant issue that hasnot been resolved is the future hosting ofMaji Data and responsibilities for updatingand maintaining the data base. The MajiData base is being developed and hostedby the secretariat of the WSTF, whichbeing an externally-funded entity, may bean institution of limited longevity.

A common opinion was that the WaterServices Regulatory Board (WASREB)

would be the most appropriate hostinstitution for future management of MajiData. Key arguments are that WASREB hasthe most to gain from an updated sectorinformation system on urban poor WSSservices and that WASREB has regulatorypowers which can be used as an incentivefor service providers to provide requireddata.

The issue about the future host institutionand maintainance of the Maji Data systemshould be claried soon and the transitionof the system, including start-up supportand future strategies to nance datamaintenance, should be part of the projectactivities.


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1.1 BACKGROUND

T he goal of the UN-HABITAT Waterand Sanitation Programme is tocontribute to the achievementof the internationally-agreed goalsrelated to water and sanitation inhuman settlements, with particular

focus on the urban poor in order tofacilitate an equitable social, economicand environmental development. Thedevelopment objective is to supportdeveloping countries in expandingaccess to environmentally sound basicinfrastructure and services with a specialfocus on the un-served and under-servedpopulations.

In 2003, to give a greater focus to thechallenge of improving access for the

urban poor to water supply and sanitation,UN-HABITAT reorganized its water andsanitation activities into a comprehensive

programme under the aegis of a Waterand Sanitation Trust Fund (WSTF)supported by a number of donors. Theobjective of the Trust Fund was to bring innew investment and ideas, expand servicecoverage for poor urban dwellers and helpbuild momentum for achieving the MDGs.

Managed by the Water, Sanitation andInfrastructure Branch (WSIB) under theHuman Settlements Financing Divisionof UN-HABITAT, the Trust Fund currentlysupports Water and Sanitation for CitiesProgrammes in Asia, Africa and the LatinAmerica and the Caribbean Regions. Inaddition, the Trust Fund also supportstwo unique regional initiatives, the LakeVictoria Water and Sanitation Programmeand the Mekong Region Water andSanitation Initiative. Activities under theseprogrammes combine policy dialogue andnormative work with on-the-ground pilotand demonstration initiatives.

Background and

Methodology


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Based on a number of years of experienceworking globally within the watersupply and sanitation (WSS) sector andincorporating lessons learnt through itsnormative and operational work, the TrustFund developed a Strategic Plan for theperiod 2008 2012.

The plan envisions the following outcomesfor the programme:

Increased institutional capacity inpartner countries for advocating/ promoting and implementingpro-poor water and sanitationinitiatives and policies with focus ongender equity, renewable energyand efciency and environmentalsustainability

Increased ow of investment intowater and sanitation sector catalysedby Water and Sanitation trust fundinterventions

Improved Millennium DevelopmentGoals monitoring mechanisms inplace in partner countries, withimproved benchmarking of water andsanitation service providers

The majority of WSTF-supported activitiesare undertaken through Agreements of

Cooperation (CA) signed between UN-HABITAT and a cooperating partner whichcould be a local government authority,a public utility, an NGO or an academicinstitution. However normativework such as development of toolkitsand guidelines, awareness raising andtraining and dialogue on policy issueswith government are also importantcomponents of the WSTF supported work.

1.2 RATIONALEUN-HABITAT has identied a need toinitiate a rolling strategic assessmentof impact at the country and thematicprogrammatic levels on a regular basis.Such periodic internal assessment willassist UN-HABITATs management and the

realignment of projects to WSTFs strategicpriorities.

This rst review has three foci: case studiesof Kenya case studies of Nepal and athematic focus on gender. Kenya andNepal were selected as countries in whichUN-HABITAT has a number of years ofprogramme operations and which containa variety of core activities supportedby the Trust Fund being implementedunder different CAs, enabling the team

to study the collective impact of theseaspects under the water and sanitationprogramme.

The impact study also responds to WSTFdonors requests for more informationon programme impact and the ndingswill be presented at the next WSTF Boardmeeting in March 2010.

The need to integrate a structuredprogramme of impact studies into theactivities of the WSTF is supported byrecent changes in the strategic contextfor UN-HABITATs work. These include theadoption of the UN-HABITAT Mid-TermStrategy and Institutional Plan (MTSIP)2008-2013, which calls for an EnhancedNormative and Operational Framework(ENOF) approach to programming.


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This approach is driven by a number ofexternal and internal factors namely theHABITAT Agenda, the need to accelerateprogress in meeting the MillenniumDevelopment Goals (MDGs), the ParisDeclaration, One UN reforms, increasedfocus on alignment and coherence inUN-HABITAT activities and the priority now

being given to Results Based Management(RBM). Given the emphasis on results, jointprogramming and efforts to align activitieswith desired outcomes, there is now aneed to undertake an impact study thatinforms the WSTF management on thelevel of integration of these factors intothe overall programming at the countrylevel and its resulting impact.

1.3 OBJECTIVES OF THESTUDY

This impact study initiated by the Water,Sanitation, and Infrastructure Branch(WSIB) is an assessment of the impactof WSTF activities in selected areas. Thisconsultancy is the rst phase of a planto assess the impact of the WSTF on aregular basis over the next ve years.Based on the results of this study a long-

term impact evaluation mechanism will beestablished.

The specic objectives of this consultancyare as follows: Undertake a comprehensive study of

WSTFs impact in Nepal and Kenya Undertake a comprehensive

impact study of WSTF activitiesglobally on the theme of gendermainstreaming

This volume (document 2) presents theresults of the impact evaluation of UN-HABITAT WSTF activities in Kenya.

1.4 APPROACH ANDMETHODOLOGY

1.4.1 IMPACT VERIFICATION ANDANALYSIS PROCESS

The methodology developed for this study

was prepared during an October 2009brieng for the consultants held in Nairobiwith the divisional director HSFD, sectionchiefs of WSIB/CTAs and key programmestaff and outlined in the consultantsInception Report. The methodology waspresented in the inception report.

The Result-Based Management andLogical Framework Approach (LFA-RBM) matrices provide key informationon the intended effects and associatedmonitoring indicators for the UN-HABITATWSTF Programme. The impact evaluationmethodology was to undertake visits tokey selected projects to meet with selectedproject staff and stakeholders and to studyreal impacts and achievements against theexpectations of key planning documents.

UN-HABITATs planning framework isevolving and there are several relevantplanning documents, which include:

The LFA-RBM for the WSP ProgrammeDocument (2003)

The LFA of the WSTF Strategic Plan(2008-12)

The UN-HABITAT MTSIP OverviewResult Framework (2008-09)

The UN-HABITAT MTSIP (2008-2013) The Task Force on the Enhanced

Normative and Operational

Framework (ENOF) towards a policyand roadmap


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It was agreed that the most appropriatelog frame for this study would be theWSTF 2008 Strategic Plan, since thisprovides a forward-looking orientation. Itwas recognised that the impact on someproject outcomes will be less, since thesewere not the intended outcomes in theinitial strategy.

Since most projects have also beendesigned on the basis of the LFA-RBMfor the WSP (2003), the study will alsoassess their design and impacts againstthe backdrop of this strategic framework.The gure below illustrates the proposedgeneric approach of the impact study ineach of the two focal countries, includingKenya.

1.4.2. OUTPUT CATEGORIES

The initial step of the country projectassessment was to review the mainstrategic planning instruments for theprogramme. The stated outputs of theWSTF projects and interventions fall intothree broad categories:

1. Increased capacity in the partnercountries for pro-poor WSS initiativesand policies and assisting the nationalcounterpart agencies in prioritisingthe water and sanitation sector inthe overall national developmentprogrammes (normative impacts)

2. Increased ow of investment(resource mobilisation) intoWSS sector catalysed by WSTFinterventions

FIGURE 1.1: Approach of the Country Impact Study

5. Strategic Impact Analysis 4. Assessment of Project Impacts

1. Strategic FrameworkReview

LFA - RBMWSFT Strategic Plan(2008-12)

LFA - RBMWSP (2003)

2. Project DesignAssessment

MOUAgreements of Cooperation (CA)Project DocsConsultancy ToRSteering Docs

3. Verication ofAchievements andimpacts

Analysis of DocumentsReview ReportsProgress ReportsTechnical ReportsImpl. Partners ReportsAnnual Reports

Field VericationMeeting PartnerMeeting StakeholdersProject area Visits

Validation meetings

GENERIC IMPACT STUDY APPROACH


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3. Improved information, knowledgeand MDG monitoring mechanismsin partner countries with improvedbenchmarking of service providers

1.4.3 SELECTION OF SAMPLEPROJECTS

A selection of sample projects for specicimpact study was selected in consultationwith UN-HABITAT staff at the initialbrieng which bore in mind projects whichseek to have outputs in all three outputcategories above and the projects with the

largest resource allocations.

Three projects were selected for theimpact assessment in Kenya:

1. Two complimentary projects in Kiberafocussing on improving WSS servicesto the urban poor and subsequentscaling up of investments

2. The Kenyan projects of the RegionalLake Victoria Water and SanitationProgramme, with a specic focus onHoma Bay; Kisii and Bondo

3. The Maji Data Project


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But there are some wide disparities

between coverage gures from differentdata sets 2. This is seen at its mostextreme in urban areas where the JMPdata suggests coverage in 2009 of 83%for urban water and 45% for urbansanitation, whereas the Sector InvestmentPlan (SIP) estimates are considerably lessat 59% for water and 32% for sanitation.UN-HABITAT data and a recent analysisfrom the Water Services RegulatoryBoard (WASREB) show that even themore pessimistic estimates may seriously

underestimate the scale of the urban WSSchallenge.

Gender issues are of great signicancein the WSS sector in Kenya, and manykey stakeholders recognize that womenand girls bear the primary responsibilityfor water, sanitation and hygiene at thehousehold level.

2 The main sources are JMP data, the national censusdata from the Kenya Integrated Budget HouseholdSurvey and the Sector Investment Plan estimates.

Women and girls, in particular, have keen

interests in improvements that may easytheir burdens such as reducing the timefor water collection and accessing waterand improving the health status of thefamily members by accessing safe water.

An improvement in accessing safewater access also has other social andeconomic benets. With less time devotedto fetching and queuing for water forhousehold consumption, more time isavailable for school activities for girls and

adolescents, fewer costs are incurredfor health services and medicines due toconsuming unsafe water and more timemay be used for economic and productiveactivities improving the well-being offamilies. Lack of access to sanitation is alsodirectly related to dignity and safety andthe ability of families to maintain goodhygiene.

100%

80%

60%

40%

20%

2020201520102005200019951990

Water supply 100%

80%

60%

40%

20%

0%2020201520102005200019951990

Sanitation

FIGURE 2.1:Water Supply and Sanitation Coverage in Kenya


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2.2 SECTOR ORGANIZATIONFrom the introduction of a new waterpolicy in 1999 and the new Water Act in2002 but, in particular, after the changeof government in 2003, Kenya hasundertaken an ambitious and complexseries of institutional reforms (Figure

2-2). This has jolted the sector out of avicious cycle of government inability todecentralize, fund or manage services,or make any in roads into the growingurbanization and public health threats ofthe 1990s.

The reforms that have been put in placegive a formal separation of roles, improvedsector governance and accountability andsignicantly increase decentralization ofservice responsibilities. They have created

asset-holding Water Service Boards(WSBs), Water Service Providers (WSPs) to

manage services on a commercial basis, aWater Service Regulatory Board (WASREB),a Water Resources Management Authority(WRMA), a Water Services Trust Fund(WSTF) and a Water Appeal Board (WAB).Attempts to improve co-ordination, alignand harmonize external agencies withGovernment approaches have lead to

the endorsement of sector partnershipprinciples and the launch of a Sector-wideApproach (SWAp) in 2006.

The reform process is far from completeand current institutional challengesinclude nalizing the legal framework,completing the transfer of water assets,private sector engagement, clarifyinginstitutional responsibilities for sanitation,clustering the smaller WSPs in order tobecome nancially viable and completestaff restructuring.

FIGURE 2.2: Water Sector Reform Structure in Kenya

Water Appeal BoardWAB

Water ServicesTrust Fund WSTF

PolicyFormulation

National level

Regulation

Regional level

Consumption, Use

Services Provision

Local level

MWRMD

Water ResourcesManagement Authority

WRMA

Water ServicesRegulatory BoardWSRB

Catchment Areas AdvisoryCommittees CAACs

Water ServicesBoards WSBs

Water Resources UserAssociations WRUAs

Water ServicesProviders WSPs

Water Resources Management Water Resources Management

Consumers, Users


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2.3 SECTOR COORDINATIONNotwithstanding Governments progressin developing a coherent system, sectoraid delivery remains fragmented. Whilepartnerships agreements and coordinationarrangements are now in place, in practicemuch needs to be done to achieve

harmonization and alignment. From a2005 base of ten international agenciesimplementing 35 projects 3 in 2009 therewere approximately 16 agencies nancingnearly 100 projects.

The following fora have been created:The Kenya Water and Sanitation Program,the Water Supply and SanitationProgramme Coordination Committee, theImplementation Coordination Team andthe Donor Water Sector Technical Group

managed by a donor troika. Progresstowards a SWAp remains slow and theprospects of further basket funding arestill remote. An issue addressed by thisimpact study is what role UN-HABITATcan play in supporting the national waterreform process and its participation in thesector coordination activities.

2.4 SECTOR FINANCINGKenya has seen a remarkable turn aroundin its sector nance. There has beena signicant increase in GoK budgetallocations since the introduction of theMedium Term Expenditure Framework(MTEF) and public sector nancialmanagement reforms.

3 Development partners rst prepared a matrix of theiractivities in 2005.

The total nancial resource sector budgetsector nance allocated to the leadwater ministery, the Ministry of Waterand Irrigation (MWI), has increased from$64m to $379m 4 between the 03/04and 09/10 budgets and the MWI and theMinistry of Public Health and Sanitation(MPHS) water and sanitation budget

increased from 1.9% to 3.7% in the sameperiod 5 Public sector nancing challengesinclude increasing revenue and spendingallocations.

Development partner allocations havealso increased dramatically from a lowpoint in the early 2000s. Programmedallocations now constitute approximatelyan additional $400m 6. Many developmentpartner allocations are now included inthe overall sector budget, though currentlyno donors provide budget support anddonors apply their own procurementrules and disbursement regulations. Itis interesting to note that UN-HABITATscontribution is not mentioned in theprogrammed contributions.

Figure 2.3 shows the sector investmentrequirementS for meeting the MDGs usingthe more optimistic JMP gures. Theyshow that, between 2009 and 2015,an additional 9.5 million people need toobtain access to water and 16.4 millionpeople access to sanitation.

4 The increases are driven largely by increased allocations

to storage and irrigation.5 This is still below the 4% allocation estimated asrequired to reach the MDGs.

6 A highly provisional gure that will soon be veried bythe Donor Water Sector Technical Group


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The table also shows that plannedpublic investment already meets urbanrequirements as the turnaround in Kenyansector nancial allocations is largely inthese areas. Rural areas show signicantshortfalls in public investment based oncurrent planned costs and service levels.The rural sanitation service levels wouldclearly need to be further examined incoming up with an achievable plan.

An encouraging development is that the

regulator has reported an increase inurban billing collection,with an averageof 83% of billed amounts now collected,and that the regulator recently approved atariff increase, which has the potential toimprove signicantly the nancial viabilityof WSBs and the larger WSPs.

2.5 SECTOR MONITORINGAND INFORMATIONSYSTEMS

Since passing the Water Act, there hasbeen a move from project monitoringto sector monitoring and an establishedsystem of sector indicators havebeen put in place which include keysector indicators; minimum serviceindicators; WSS performance indicators;

annual performance contracts for keyinstitutions such as WASREB, WSTF andWSBs; regulatory indicators and sectorundertakings as agreed in the AnnualSector Review conference.

Data on sector services has beenfragmented and of poor quality,but recently there have been severalencouraging developments.

FIGURE 2.3: Sector Investment Requirements

400.0

350.0

300.0

250.0

200.0

150.0

100.0

50.0

Rural Urban Rural Urban

Water Supply Sanitation

I n v e s t m e n t r e q u i r e m e n t s

( U S $ M

)

Sector Investment Requirements

Public Investment RequiredPlanned Public Investment


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The regulator has initiated the WaterRegulatory Information System (WARIS),and a WSTF information system whileWater Resource Information ManagementSystem and an Irrigation and DrainageManagement System have also beendeveloped. WSB asset managementinformation is under development and

Maji Data, a detailed data system focusingon WSS services in Kenyan urban informalsettlements, is being established withthe support of GTZ and the UN-HABITATWSTF.

The quality and reliability of reportinghas also increased, including, since2006, annual sector reviews. MWIhas established a Technical Audit and

Performance Contract Monitoring Unitin MOWI and a separate unit has beenestablished MPND monitoring progresstowards the MDG and Kenya Vision 2030.

Overall, the development of sectorinformation systems is regarded as ratherambitious and too complex for existing

capacity. Much data is generated, butnot all of it is consistent and there islittle evidence that it is being used toguide sector decisions, such as in budgetallocations.

The table below illustrates the linkagesbetween objectives, plans, indicators,information systems, budgets andreporting.

FIGURE 2.4: The Sector Information Cycle

Objectives

Vision 2030 Sector objectives

[Water Policy 1999, EHS Policy 2007]

M&E

Annual Sector Performance reportAnnual PC reportJoint Annual SectorReview Project evaluations WSB, WSP

quarterly reportingSurveys/Impact reports

Budget

MTEF infrastructure 2008-2011MTEF Environment 2009-2012MREF Health 2009-2012 District budgetsLATF/CDF budgets

Information System

WARIS PROMIS Maji Data (draft) MWISIS (draft) FMIS Asset management (draft)

Indicators

MDGs 8/16 Key Sector Indicators(KSI)11Minimum service levelindicators18/19 licence andSPA indicators >60 WASREB/Annual ministerial PC indicators

Sector undertakings

Plans

NWSS 2007 Water Sector StrategicPlan 2009 MENR/MWI Environment,Water & Sanitation Plan 2008 MWI

Sanitation concept 2008 3yearrolling plan 2007-2010 SectorInvesment Plan (SIP2015/2030)Health Sector Strategic plan(2005-2010) EHS Strategic Plan2009 draft Ministerial annual PC


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utilities to outsource low-income servicesto small-scale entrepreneurs. Much ofthe impact of these policies can onlybe measured when Maji Data is ableto provide a benchmark from which tomeasure the performance of differentapproaches.

2.7 URBAN SANITATIONSECTOR PERFORMANCE

Urban sanitation remains highly neglected.Kenyas urban population is growingrapidly and the level of pollution,especially in informal settlements, isextremely high with most residents nothaving land title and having no householdsanitation facilities. Human excretadisposal is therefore mainly a personalaffair in most informal settlements witha growing array of public sanitationfacilities.

The unsanitary conditions are amplied bypoor solid waste disposal services. Onlyabout 20% of the urban population isconnected to a sewer system and only 3to 4% of waste water is treated with therest entering ground or surface watersuntreated. The segments of the urbansociety connected to sewer systemsare essentially the high income areas,institutions and business undertakings.Wastewater from sewerage systems isfrequently discharged untreated intothe water bodies and poses a highenvironmental risk.

The rationale in linking upgrading ofsanitation in informal urban areas tothe pollution abatement of large waterbodies, such as Lake Victoria, needs alsoto address the challenge of seweragedisposal. A 2007 rapid gender andvulnerability assessment indicated that,while water supply for poor communitiesattracts some attention from policymakers and local authorities, more focusshould be on sanitation policies targetingthe poorest segments of communities,particularly women and vulnerablegroups such as orphans and the physicallychallenged. Furthermore, the assessmentindicates that the dire lack of sanitationfacilities could be mitigated through theenactment and enforcement of localauthority by-laws, such as compellinglandlords in informal settlements to

provide adequate sanitation facilities fortheir tenants.


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3.1 UN-HABITAT KENYACOUNTRY PROGRAMME

UN-HABITAT has had a longstandingengagement with Kenya, the countrywhich hosts the agency headquarters.With this close relationship many globalstaff work are available to support countrystaff and it may be that Kenya receivesrather more support than other UN-HABITAT countries. UN-HABITATs activitiesare in two separate initiatives: the WACII programme and the Lake VictoriaRegion Water and Sanitation Initiative(LVWATSAN).

The current active projects are:

Water for African Cities II (WAC II)

1. Kibera Integrated Water, Sanitationand Waste Management Project

2. Kibera Support Programme

3. Diagnostic Study on Sanitationand Hygiene in the LVWSB Area ofJurisdiction

4. Mirera-Karagita Integrated Water andSanitation Initiative (MK WATSA)

5. Maji Data Initiative

6. Kibera Mirera-Karagita NonMotorized Transport Project (NMT)

UN-HABITAT Kenya

Programme and Projects


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Lake Victoria Kenya Projects

1. Supporting Secondary Urban Centresin the Lake Victoria Region to Achievethe MDGs

The Table below compares UN-HABITATscountry support from the WAC IIProgramme in different countries, showingthat Kenya gets approximately 10%budget allocation leveraging in 50%additional nance from implementingpartners. It is interesting to note thatUN-HABITAT does not have CAs withgovernment partners.

The total allocation from differentsources to the UN-HABITAT WAC II andLVWATSAN Programme in Kenya ispresented in Table 3.2.

3.1.1 ISSUES IN COUNTRYPROGRAM DESIGN

UN-HABITATs depth of experience inKenya has enabled some sound strategicchoices in project selection. There isgenerally a good t between countryproject objectives and WSTFs overallstrategic objectives, which arecapacitybuilding, leveraging investments andimproving data and knowledge.

No. of Implementing Partners Fund Contribution (US$)

Country No. of CAs Gos NGOs UN Habitat ImplementingPartner

Burkina Faso 10 5 5 1 195 712 580 590

Cameroon 3 2 1 587 500 222 153

Cote D Ivoire 1 1 327 152 200 799

Ethiopia 15 12 3 154 4961 552 002

Ghana 4 3 1 1 312 222 390 885

Kenya (10%) 5 5 1 257 251 615 525

Mali 6 4 2 1190568 466 910

Mozambique 7 7 1 363 266 445 706

Niger 1 1 382 287 239 141

Nigeria 4 3 1 1 057 674 854 154

Rwanda 1 1 181 307 180 000

Senegal 7 5 2 1 771 520 705 320

Tanzania/Zanzibar 1 1 15 000 1 500

Total 65 45 20 12 186 420 5 454 685

TABLE 3.1: UN-HABITAT WAC II Country Support Overview


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Yet surprisingly, there is no denedcountry strategy or programme. UN-HABITATs country programme is inessence a set of projects which happento be in Kenya: the programme doesnot have an explicit la raison dtreor coherent strategy. The absence ofthe piece of paper would not be soimportant, given the good alignmentof global and project objectives but theabsence of a process to engage Kenyaninstitutions in UN-HABITATs strategy andto be accountable to other stakeholdersregarding the strategic development ofthe programme is a signicant issue.

An additional set of issues were raised byinterviewed development partners:

UN-HABITATs work is known to otherdevelopment partners, but someexpressed misgivings that there wasinsufcient knowledge and dialoguein the course of its development andinsufcient process to locate theprogram within the overall Kenyastrategy. UN-HABITAT should makefurther efforts to work in harmonywith other development partners.

UN-HABITAT may not alwayshave achieved the right balancebetween normative and pilot projectimplementation work in Kenya.

Given its relatively small capitalprogramme it was suggested thatgreater weight be given to its roleas a strategic inuencer and sourceof expert knowledge, rather than animplementer of service improvements.

UN-HABITATs work was likened to

that of a highly effective NGO, usingits exibility to seek out interestingand relevant projects and focussingon immediate impacts on the ground,rather than proceeding from athought-out strategy and operatingas the governments lead partner inaddressing the medium- to longer-term challenges of the urban poor.

UN-HABITATs sector investmentsare not fully integrated into the

ofcial programme of developmentpartners assistance. UN-HABITATshould also give greater focus tomobilizing resources from urbaninvestment partners, which couldtake UN-HABITAT ideas to large scaleinvestments.

Donors noted that an aggressiveapproach to fundraising shouldbe preceded by clear strategydevelopment and demonstration of

One UN and stronger partnershipwith other agencies.

TABLE 3.2: The Total Financial Allocation to the UN-HABITAT Kenya Programme

Project UN-HABITATContribution ($000s)

Implementing PartnerContributions ($000s)

Total Project Costs($000s)

WAC II 1 257 612 1 873

LVWATSAN (Kenya) 5 190 38 310 43 500

Total 6 447

38 92245 373


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Interviewed Government agenciesencouraged UN-HABITAT to re-orientatetheir programme more solidly in supportof support sector reforms.

The MWI donor coordinatoracknowledged UN-HABITATs activeengagement in sector coordination

and the important contribution ofindividual projects. However, theabsence of a strategy and long termgoals and involvement in donorcoordination, limits alignment withGoK processes.

UN-HABITAT pilot projects are notalways, at the outset, integratedwith the accountable institutions.Several key institutions such as theWater Regulator and the NCWSB,

had not been consulted in thedesign of UN-HABITATs countryprogramme activities. LVWATSANwas not conceived throughsufcientconsultation with MWI and appearedto be driven by regional prioritiesrather than national ones.

The appointment of implementingagencies set apart from theaccountable institutions, particularlyin Kibera and Lake Victoria, missed

the opportunity to help buildcapacity of accountable institutionsfor the long term. This point mayalso be reected in the choice ofimplementing partners (Table 3-1),showing that UN-HABITAT does nothave CAs with Government partners.

Many interviewed stakeholdersencouraged UN-HABITAT to focus onusing its comparative advantage to its bestadvantage of the country.

UN-HABITAT has an excellentreputation in Kenya, especiallyamongst NGOs and local institutions.UN-HABITATs comparative advantageis its focus on the complex problemof the urban poor and the ability tointegrate WSS approaches across theurban sector. This was emphasized

as a critical component of futurenational sector development. Many stakeholders expect UN-

HABITAT to play the leading role inhelping guide the development ofideas that might work at scale. Morecould be done to operate at thisstrategic inuencing level, with lesseffort spent on implementing pilotprojects, however interesting theymight be.

UN-HABITAT has a comparativeadvantage in supporting utilities andwater operators. It is expanding itsefforts to support WOPs in Africa, yetthere is less direct engagement andlinkages between established Kenyanwater operators and pilot projects.

3.1.2. EMERGING ISSUES ANDRECOMMENDATIONS

Since this impact assessment only focussedon selected projects, no overall assessmentof country achievements and countryimpact is made here. An analysis ofdetailed project achievements and impactsare made project by project below. Thissection identies ve main countryprogramme issues.


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1. UN-HABITAT is, in effect, bringing a$5m programme budget to a sectorwith total nancial ows of theorder of magnitude of $0.8bn so it ismaking a 0.06% contribution. It isclearly achieving extraordinarilygood value for money and ispunching well above its weight.

2. Its selected foci (improving servicesamongst the urban poor in informalsettlements in big cities and in smalltowns and improving sector dataamongst these populations) arehighly respected as excellent projectselection decisions.

3. UN-HABITAT would enhance itssystemic impact in the sector bythe development of a countrystrategy in concerted dialoguewith key sector stakeholders.

4. The programme should explicitly bedeveloped in support of Kenyassector reform programme tosupport the development policies andlarge-scale solutions to address theWSS challenges of the urban poorand help to address key problemswhich fall in UN-HABITATs areas of

comparative advantage.5. The process of coordination,

strategy development and alignmentwith Kenyas sector reforms andinvestment mobilisation might bemuch improved by the appointmentof a single UN-HABITAT ofcerwith clear country liaisonresponsibilities. This would alsoenable consistent attendance atcoordination meetings.

3.2 KIBERA WATSAN ANDKIBERA SUPPORTPROGRAMME

UN-HABITAT has two developmentcooperation interventions in Kibera:

Kibera Integrated Water, Sanitationand Waste Management (KiberaWATSAN) Project

Kibera Support Programme

Kibera WATSAN

Kibera WATSAN is a component of Waterfor African Cities Phase II (WAC II) inKenya. The Kibera WATSAN is a WSTF-funded project which was initiated in2007 in Soweto East (population 70,000),one of the 12 villages in the densely-

populated slum of Kibera to the West ofNairobi.


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Implemented by a competitively-procuredlocal NGO, Maji na Ufanisi (MnU), theproject had an initial $521K budget tocontribute towards the improvement oflivelihoods of urban poor in the village bysupporting small-scale community basedwater, sanitation and waste managementinitiatives. The project supports the Kibera

Slum Upgrading Project (KENSUP) andworks in partnership with the KenyanMinistry of Housing on a housing initiative.

The project also includes road works,storm water drainage and bridgeimprovements seeks to strengthengovernance and community management,as well as develop an approach that canbe applied to other informal settlementsin Kenya. The WSTF budget wasincreased to about $1.5 million in orderto accommodate the construction ofa higher standard road (12m wide, asrecommended by Ministry of Housing)instead of a basic 5m wide road, as initiallyproposed.

The Kibera Support Programme

The Kibera Support Programme is aproject implemented through Athi WaterServices Board (AWSB) in collaboration

with Africa Development Bank (AfDB). Itsmain focus is on scaling up and replicationof the Kibera WATSAN achievements inthree additional villages.

3.2.1. PROJECT DESIGN

Project Response to WATSAN andWSTF Objectives

Annex 2 presents key project informationabstracted from the Project CA betweenUN-HABITAT and MnU and entered intothe LFA matrix.

This comparison shows that the goalof Kibera interventions correspondswell with the goal of the WATSANProgramme by its planned contributionto the improvement of livelihoods ofurban poor by supporting small scalecommunity based water, sanitation andwaste management initiatives. The stated

development objective of the Kiberaproject to contribute to the ongoingKenya Slum Upgrading Initiative whichis a collaborating project between UN-HABITAT and Kenya Government isalso responding to the developmentobjective of the WATSAN namely, tosupport developing countries to achievesustainable access to safe drinkingwater and basic sanitation for the poor,particularly in urban areas.

The interventions of the Kibera WATSANProject respond to the following activities:

100.Normative Activities: Development of pro-poor andgender sensitive governanceframeworks, including policy options,norms, standards and managementtoolkits, for the urban WATSANsector. The response of the Kiberaproject is to Enhance communitymanagement capacity throughawareness creation, mobilisationof beneciaries to form water andsanitation (WATSAN) managementcommittees.

200.Operational Activities: Tofacilitate pro-poor, gender sensitiveinvestment through regional WATSANprogrammes ofadvocacy, awarenessraising, value-based water education,capacity building and training,and gender mainstreaming anddemonstration activities. The KiberaProject is aligned to this activity bysupporting the community to improve


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accessibility and drainage systemin Soweto East; supporting thecommunity to improve accessibilityto water and sanitation facilities inSoweto East and small-scale door-to-door waste collection and recyclingdemonstration set-up.

300.Replicable Model-settingInitiatives that would Providestrategic support to pro-poor, gender

sensitive initiatives at the locallevel with a focus on participatoryinvolvement of local communities.The Kibera project has the potentialto scale-up to other villages, basedon lessons learned. The scaling upthe Kibera WATSAN interventionsis envisaged by the Kibera SupportProgramme implemented throughAthi Water Services Board (AWSB)in collaboration with AfricaDevelopment Bank (AfDB).

400.Monitoring Activities: Monitorprogress towards WATSAN MDG-

WSSD targets. The Kibera projectwill engage in Establishmentof a community InformationCommunication Technology ICTCentre to enable the communityin Soweto East Village to accessinformation.

In addition to the above, the UN-HABITATKibera WATSAN project includes activitiesthat go beyond the priority areas of the

WATSAN Programme (2003) or the UN-HABITAT WSTF Strategic Plan (2008-12).These components are, for example, thefunding of road construction and thesolid waste management interventions,the bicycle transportation and income-generating ventures. Through being partof KENSUP, the WSTF-funded interventionsin Kibera contribute to a broad rangeof community improvements andinvestments, many of which are fundedfrom other sources.

FIGURE 3.1: New 12m road Kibera - labour based construction


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3.2.2 IDENTIFIED ACHIEVEMENTS

a) Kibera WATSAN Project

The major achievements of the SowetoEast pilot project as per October 2009have been summarised by UN-HABITAT asfollows:

Community Management andCapacity Enhancement

Effective mobilization of communitydecision-making structures(Settlement Executive Committee,with both women and men members)to coordinate slum-upgradingactivities with the support of Maji naUfanisi

Soweto Youth group formed andtrained in handling waste as a small-scale enterprise

Seven facility management groupsformed, trained and registered as anenterprise managing the sanitationfacilities

Micro-nance scheme Four Housing Cooperatives formed

saving a weekly contribution for

housing purchase Community acceptance and support

for the KENSUP approach to slumupgrading

Structural Interventions:

Construction of 2.5 km road (12mwide) with the rst 500m completed,nanced by the Ministry of Housing.The remaining part is underconstruction based on a direct labourapproach (Figure 3-1)

FIGURE 3.2: Communal Water and Sanitation Centres


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Seven communal waterbornesanitation facilities completed,commissioned and in use (Figure 3-2).A planned eighth block has beenreplaced by a community centre

Improved water distribution throughextension of water networks andestablishment of up to 70m 3 ofstorage facility

b) Kibera Support Programme

The major achievements of the follow-onKibera Support Program as per October2009 can be summarised as follows:

Pre-investment study completed anda consultancy rm contracted toundertake detailed project design and

supervision of implementation phase Cooperation Agreement developed

through which funds will beadministered under management ofAWSB

Estimated to benet additional150,000 Persons

Detailed design for extension of theKibera integrated WATSAN project

Collaboration with AfDB. Theintegrated WATSAN initiative in theSoweto neighbourhood of Kiberais being extended to other parts ofthe Kibera slum as part of the AfDBsupport programme for the WaterServices Board in Kenya.

FIGURE 3.3: Water Vending


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3.2.3. EMERGING ISSUES,

IMPACT ASSESSMENT ANDRECOMMENDATIONS

In assessing UN-HABITATs Kibera projects,this section raises 14 observations forconsideration:

UN-HABITAT has taken on a hugechallenge by selecting Kibera as anarea of intervention, and smaller slumswould have been easier to address. TheKibera projects have made a signicant

contribution in one of the toughestdevelopment settings. Kibera started asan informal settlement 90 years ago and is

an iconic challenge in urban developmentin Africa as now approximately 800,000Kibera residents live in some of the mostsqualid conditions in the world.

The city and state authorities failure tomanage the challenge has led to manythousands of initiatives by NGO and other

agencies to address the issue. Many ofthese undertake excellent humanitarianwork but few manage to make an impacton the structure of the problem or break,at any scale, the vicious cycle of weakinstitutions and vested interests thatkeeps Kibera poor both disorganised andwithout investment.

UN-HABITATs Kibera project is distinctivein that it has put in place interventionsthat make a signicant and direct

impact on the poor and also providea model with key features that couldbe replicated at scale. It is evident thatthe complete upgrading of Kibera cannotbe based on conventional city planningprinciples.

The results and experiences from theUN-HABITAT Kibera project can serve as abasis for redesigning future approaches.The project is both horizontally integratedin the urban environment (addresseswater, sanitation, solid waste disposal,roads, drainage, housing) and has somestrong features of vertical integration (theAWSB, the community, women and theyouth).

After so many failed promises of help,the pilot project also has an importantpsychological impact in that it hasaccomplished some major achievementson the ground road, drainage, water andsanitation services, shacks voluntary beingbroken down and residents relocated.These practical achievements on the

FIGURE 3.4: New Sewer Pipeline


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ground give hope that this seeminglyintractable and complex problem mightactually be addressed.

The step of breaking down structuresand being resettled to improved housinggives residents light at the end of thetunnel. The integrated approach provides

many mutually supportive linkages: theroad stimulates the local economy andenables trunk services to enter; betterquality water improves hygiene and healthstatus, more accessible and affordablewater eases the burden on women andsaves time and money to initiate otheractivities and meet other social andeconomic needs; youth getting engagedin civic responsibilities, such as solid wastecollection, provides an important service,and gives them hope, skills and someincome.

Signicant development aid has beenspent in Kibera by numerous NGOs andother external support bodies, manywith limited effect or sustainability. Inorder to succeed, concerted and tailoredapproaches to slum upgrading areneeded. UN-HABITATs Kibera initiativeputs into practice many of the keylessons learnt in addressing water andsanitation in informal settlements. The approach has strong stakeholderconsultation and community ownership.Planned interventions are negotiatedand discussed with the community.The project utilises labor-basedimplementation.

A success factor in the project hasbeen to develop momentum incommunity-NGO-local authority andstate dialogue. Historically there has

been a large gulf in communicationand perspectives of state ofcialsand community leaders. The project

has stimulated dialogue, trust andcollaboration between key people andagencies. An important project impact hasbeen to enhance political commitmentto slum upgrading. A good exampleof this has been the achievement ofleveraging $0.5m of Government supportto construct a portion of the road. Liaison

with Nairobi City Water and SewerageCompany (NCWSC) to secure sound waterconnections has been another area ofgood collaboration.

UN-HABITATs ability to take the lessonsof the pilot project to a larger scalethrough the Kibera Support Programis a key indication of its success.The project has leveraged $2 millionfrom AfDB for investments in primaryinfrastructure, such as trunk sewersand water pipelines. Execution of thislarger project through AWSB will createa platform for the approach to be rolledout into many other Nairobi slums. Theprojects ability to leverage resources,from KENSUP, from the Government andfrom AfDB has been exceptional. In thisway an initial $0.5m pilot initiative hasalready resulted in several million dollarsinvestment.

The importance of the project is itspotential impact and model setting,rather than its direct numerical impact. The Kibera project has the potential toimpact the entire population of Kibera.The road works will certainly impact allresidents of Soweto East. But the directimpact in water and sanitation serviceimprovement is relatively minor.

The lack of documented baselineinformation and recent monitoring results

has meant that no precise quantitativeassessment of the impacts of the projectin terms of MDG achievements could be


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Increased formal engagement onsanitation with NCWSC and the cityauthorities is also recommended. The provision of safe clean affordablecommunal sanitation services is amajor rst step. The limitations of thisapproach are use at night, in particularuse by women, children and the aged.

Household facilities must be the long termgoal. The road and implementation ofthe major infrastructure works providesthe opportunity to extend the sewernetwork to more communal services andthen to emerging businesses or privatehouseholds. Progress on these steps canonly be made in close dialogue with theaccountable service provider, NCWSC.

A key ongoing sector problem inKenya is the lack of institutional andpolicy leadership in sanitation. UN-HABITAT could make a signicantcontribution to resolving the questionof institutional accountability forsanitation improvement and assistingGoK develop a sound national policyon urban sanitation and solid waste.

Both projects have been implemented ata slower pace than initially conceived .The dynamics of work in slums isinevitably unpredictable and achievinglocal ownership has been such a criticalsuccess factor that these delays seemacceptable. The start of up of the KiberaSupport Project has been especially slow,following a lengthy process in signing theMoU and delays in establishing a steeringcommittee.

Finally, whilst the road, drainage andinfrastructure is such a critical part of theproject, the question has to be raised as to

whether WSTF funds should be usedon road construction , especially as thisaccounts for two-thirds of the budget.

3.3 LAKE VICTORIAREGION WATER

AND SANITATION

INITIATIVE

This part of the study is to assess the impactsof the Regional Lake Victoria Region Waterand Sanitation Initiative (LVWATSAN) inKenya with a specic focus on Homa Bayand supplemented by information fromKisii and Bondo towns.

LVWATSAN is part of a wider UN-HABITAT involvement in the LV Regionthat can be captured in the following fourelements.

1. WSS development of the three maincities: Kampala, Kisumu, and Mwanzawith lending-based nance (EIB andothers) $300m

2. LVWATSAN Pilot Interventions,including three Kenyan towns (HomaBay, Kisii and Bondo) and scaling upin three more towns (preparationsongoing)

3. Scaling up of the LVWATSAN to 15more towns in partnership with AfDB,led by EAC (55 million EUR)

4. Upgrading of WSS and capacitybuilding in eight Kenyan secondarytowns at a cost of $15m(underpreparation by UN-HABITAT).

The achievements of the interventions inthe three towns studied in this assessmentneeds to be considered in the context ofUN-HABITATs total involvement in theregion. The Executing Agency for theproject in the towns in Kenya is the LakeVictoria South Water Services Board.


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3.3.1. PROJECT DESIGN

The main formal project design documentsare the CAs between UN-HABITAT andthe implementing organisation. TheCAs generally reect the activities to beperformed and the deliverables and donot fully serve the purpose of a ProjectDocument. In order to assess the designof the LVWATSAN projects against theWSTE strategic targets and outcomes, theconsultants have abstracted informationfrom other documents related to theproject as presented in Annex 3.

The overall collaborative framework forthe LVWATSAN is laid down in the MoUsigned in June 2006 between UN-HABITATand the Governments of Kenya, Uganda,and Tanzania. The initial focus of theinitiative was to rehabilitate and improvephysical infrastructure in seven pilot townsin the three countries while building thenecessary institutional capacity to improve

water governance and ensure long-termsustainability of the physical interventions.

In general the goals and developmentobjectives can be captured as:

1. Support pro-poor water andsanitation investments in thesecondary urban centres in the LakeVictoria Basin

2. Build institutional and humanresources capacities at local andregional levels for the sustainability ofimproved WSS

3. Reduce the environmental impact ofurbanisation in the Lake Victoria Basin

The two rst objective statements capturethe goal of UN-HABITAT Water andSanitation Programme, which is tocontribute to the achievement of theinternationally agreed goals related towater and sanitation in human settlementswith particular focus on the urban poor

FIGURE 3.5: LVWATSAN Water Kiosks in Homa Bay Town


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in order to facilitate an equitable social,economic and environmental development(MDGs).

The third objective, concerningenvironmental impact mitigation, is notexplicitly emphasised among WSTFsgoals. Upgrading of WSS services for the

urban poor with the objective of achievethe MDGs may not be the optimumaction for water pollution abatement inLake Victoria. Therefore, the impacts ofdifferent sanitation solutions (includingsewerage-based sanitation) need tobe better understood. Meanwhile, theachievement of MDGs should be theprimary goal for the impact analysis.


The major achievements of the Homa BayTown pilot project have been summarisedon the basis of reports from by UN-HABITATand information from the South NyanzaWater and Sanitation Company as follows:

Community Management andCapacity Enhancement

Training of South Nyanza Water andSanitation Company staff in variousaspects of water management,O&M and service-minded attitudeby interaction with the National

Water and Sewerage Corporation(NWSC) Uganda, one of the regionschampion utilities

Supply of computers, accessories,laboratory equipment and O&M tools

Establishment, selection and licensingof water kiosk operators

Provision and establishment of micro-credit scheme for construction oflatrines at household level, involving

women groups in peri-urban areasand initial promotion of this fundingopportunity for enhanced use,including income-generation fromproductive activities (as a revolvingfund)

FIGURE 3.6: Water Peddlers in Homa Bay Town


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Water Infrastructure

Rehabilitation of old and new lakeintakes and Bossier station includinginstallation of new pumps

Rehabilitation of old water treatmentworks at Makongeni plumbing worksin progress

Construction of two communal waterkiosks, handed over and managed byself-help groups (women membersmainly)

Expansion of distribution networkby 800mm PVC pipeline andthe construction and, lying ofapproximately 1km of PVC pipeline

Remodelling of distribution networkby installation of pressure regulatingvalves, non-return valves, and airvalves

Rehabilitation of Homa Bay GK prisonwater supply and sanitation systemthrough an agreement with PrisonersCare Programme (installation ofsupply pipelines for ward and staff,2x50 m 3 water tanks, water points,and rehabilitation of sanitation blocksand sewerage system for prisonwarders and staff. The systems aresoon due for ofcial handing over.)

Sanitation and sewerage

Latrine construction: one demotoilet and two credit-funded toiletsbuilt and 45 toilets in various stagesof credit processing and/or underconstruction (the target is 300 latrinesto be built by June 2010)

Construction of ten VIP latrines inpublic institutions (schools) and publicareas

Supply of sewer handling equipment.

Solid Waste:

Supply of solid waste managementequipment and tools: three 60 hptractors with trailers, ve nos. 4 m3containers, two nos small pick-uptractors, 16 nos. bins and misc.equipment

Construction of four solid wastetransfer stations

Installation of tipping bins Installation of ten tipping bins, four

Waste Transfer Stations, constructionof ten VIP latrines in selected schoolsand public areas

Long term interventions and scaling-up achievements

Installation of four new pumps andlake intakes and treatment works

Construction of ten water kiosks Construction of three water tanks Rehabilitation of old treatment works World Bank request to the Lake

Victoria South Water Services Board(Executing Agency for the UN-HABITAT project) to include survey

and design of the extension andupgrading of the sewage system andtreatment plant to pave the way fora 2.4 bn KSH ($29.72m) investmentprogramme

Through the Japan-UN Habitatassociation, a rain water harvestingprogramme is also beingimplemented for orphan-headedhouseholds and vulnerable groups


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3.3.3 EMERGING ISSUES,IMPACT ASSESSMENT ANDRECOMMENDATIONS

In assessing UN-HABITATs LVWATSANinitiative, this section raises 11observations for consideration

1. The direct impact of theinterventions in this project isimpressive: Improved transparencyin service delivery by the MunicipalCouncil and Water Utilities throughthe involvement of stakeholders (MSF)in planning and implementation.Increased daily water production from1500 to 2100 m 3 /day is equivalentto an additionally served populationof some 20,000 people (assumingaverage water consumption of 30 l/p/

day for the low-income segments ofthe town)

169 new water connections and130 dormant connections have beenactivated (not known how many ofthese are for poor consumers)

Improved revenue collection from KSK400,000 to about KSH 1.1 million

Non revenue water reduced from65% in 2007 to 45% currently

Over 1000 school children (manywhom are HIV/AIDS orphans ininformal schools) served withimproved sanitation

Improved solid waste collection fromfewer than seven tonnes/day to morethan 20 tonnes/day

Micro-credit has led to improvedsanitation at household level, but ithas taken more time and efforts thananticipated to sensitise and convincethe poor to join the scheme

Prisoners care programme will providesafe water to over 400 inmates and1000 staff/family housed within theprison area

2. The Quick Impact Approach,with its combined and rapid effortsof undertaking immediately neededrepair works with limited investments,and establishing the MSF andinstitutional strengthening , probablyhas the most powerful impact ofthe whole project. However, thisaspect has not been emphasisedas a target and associated outputsand indicators in the CA or projectplanning documents. This approach ofproviding rapid visible changes, albeitof limited size, and engaging withstakeholders, service provider, and

authorities has shown a remarkablewake-up call effect in Homa Bay,Kisii, and Bondo and has createdstrong stakeholder condence andcommitment. The approach couldbe applied by UN-HABITAT in otherprojects to create a quick impact.

3. The Multi-stakeholder Forum ishighly effective , strengtheninggovernance and creating awareness,commitment, transparency,accountability, and providing animportant watchdog function overauthorities and service providers. Theconsultants also observed the closeinteraction between PIU and MSF inHoma Bay during the joint meetingsand eld trips.

4. Training of Water Company staff(who are often former councilstaff) in business management andchanging attitudes has contributedto better service-mindedness andperformance orientation (the waterprovider is no longer a municipalcouncil department).


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WSSD targets (Activity 400) by enablingWATSAN institutions to track progressfrom improved information systems andenhanced monitoring frameworks. TheMaji Data project aligns well with thisactivity category with by:

Monitoring the impacts of projects

(relevant for this ongoing ImpactAssessment) Monitoring the progress made

towards reaching the MDGs Preparation for the up-scaling of

programmes which aim to reach theurban poor

Preparation of water supply andsanitation project proposals targetinglow income urban areas


Since the Maji Data project has not yetstarted delivering information productsthere are, as yet, few tangible impactson the ground. However, the Maji Dataproject has made good progress withplanned activities since the project startedin January 2009 (see Annex 3).

Identied achievements include:

Conceptual development of the scopeof the exercise

The development, testing, andadaptation of data collection andmapping tools

Mobilization of a 55 person team inthe eld


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Start of a comprehensive datacollection process targeting themajor informal areas in towns andcities (however, it is not knownwhether the data collection takespro-poor data disaggregated bygender into account).

The project got off to a slow start. Keystaff were not appointed on time andsome Maji Data collection teams havebeen facing security problems in slumsthat have hampered the progress oftheir work and the envisaged date ofdissemination of baseline data and projectcompletion is now the end of 2010.

The project components that still areunder development include: the MajiData database, manuals, processing and

presentation of data, dissemination ofresults, clarity on the responsibility forupdating, the long-term host institutionand the location of the helpdesk.

3.4.3 EMERGING ISSUES,IMPACT ASSESSMENT ANDRECOMMENDATIONS

Seven observations were made inreviewing the projects impact:

1. Maji Data is an excellently conceivedinitiative, strategically importantand execution by UN-HABITATthrough WSTF brings great addedvalue. UN-HABITAT responded ina timely manner to a sector-widechallenge and is managing this ina strong partnership with otherdevelopment agencies. When fullyoperational, the Maji Data systemshould play an important role by

enabling the key users, such as WSPs,to prepare realistic sector strategies andinvestment projects specically for low-income areas.

2. Through this project, UN-HABITATis is generating strong leverageon a total committed WSTF nancestream of Euro15.5m (from the EU andKfW). Maji Data has the potential tobecome a key resource to inuenceand assist in the programming of thevery substantial pipeline of urban sector

investment described in earlier sectionsof this report.

3. The Annex B to the Agreement ofCooperation (CA) the Maji Datadatabase shows that the rst sixmonths of the project shouldalso include design of data entryconcepts, database programme anduser interface. The consultants wereinformed that a database expert hasbeen assigned and the developmentof the database has just started. Thiswould imply that the database will beready when the data collection exercisehas been completed in all plannedtowns and areas. Hence the collectedinformation will be entered into thesystem, processed and disseminatedtowards the end of the project period.

There is a signicant risk that theinformation products do not matchthe requirements or expectations ofusers of the data. It would have beenpreferable to develop the database andat the initial stage of the project so thatthe database system and associatedinformation products (GIS, graphs, dataand so on) could have been tested as abasis for possible adjustments and tuningof the methodology and scope of the datacollection exercise. Provision of sampleoutputs need to be developed as soon aspossible.

4. Both the Water and SanitationProgramme (2003) and the WSTFStrategic Plan (2008-12) have high


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ambitions concerning the developmentof pro-poor and gender sensitivegovernance frameworks for the urbanWATSAN sector. It is essential to havein place an information system thatwill capture the achievements of thegender mainstreaming in terms ofrelevant indicators and data collection

methods.It is therefore recommended that it isvital to ensure that Maji Data collectsadequate pro-poor and gender-specicbaseline information to ensure thatimpacts in these areas of WATSAN Projectscan be effectively monitored and followedup.

5. A signicant issue that has notbeen resolved is the future hosting

of Maji Data and responsibilitiesfor updating, maintaining andnancing the database. Maji Datais being developed and hosted by thesecretariat of the WSTF which, beingan externally-funded entity, may bean institution of limited longevity.Experience from the developmentof similar databases is that nding asuitable long-term home and creatingincentives which enable the databaseto be used and maintained, are criticalsuccess factors. Frequent mistakes indatabase development are to expendextensive efforts on data collection andinsufcient effort on maintaining theasset, especially when the individualsand agencies with initial ownershiphave moved on.

The consultants discussed with differentstakeholders and institutions the mostsuitable future home for the Maji Data

system.

A common opinion was that the WaterServices Regulatory Board (WASREB)would be the most appropriate hostinstitution for future management of MajiData.

Two key arguments for this are:

Gathering this type of informationand knowledge system isfundamental for WASREB inperforming its strategic objectives,which include the establishmentof effective information andcommunication systems to facilitatepublic awareness on water supplyand sanitation services. So theinformation is likely to be used.

WASREB has regulatory powers whichcould be used as an incentive forservice providers to provide requireddata.

6. The issue about future hostinstitution and maintain the MajiData system should be clariedsoon and the transition of thesystem, including start-up supportand future strategies to nancedata maintenance, should be partof the Project activities.

7. The verication of the actualimpacts of the Maji Dataproject needs to wait until thesystem starts disseminating theinformation and data product. Anassessment is needed as to whetherthese are found to be useful for sectorservice providers, policy-makers andinvestors. Verication should also takeaccount of the prospects for effective,updating hosting and future nancing

of the database.


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RECOMMENDATIONS Develop a UN- HABITAT Kenya

country strategy in consultation withthe main Kenyan sector agencies

Enter into strategic agreements withthe key Kenyan accountable sectorinstitutions: monitoring information WASREB; pro-poor investment WSBs and WSPs. In future phases,shift implementation of Kibera, LVand Maji Data projects to thesenational sector agencies

Assign/appoint one staff memberwith Kenya country coordinationduties

The Quick Impact Approach conceptshould be analysed on the basis ofthe achievements interventions inother projects

UN-HABITAT should establish asystematic impact monitoringarrangement for oversight over theentire project management cycle(i.e. how projects are being createdplanned, approved, and monitored).This process will normally involvethe participatory preparation of aProject Document (PD) and/or ProjectAppraisal Report (PAR) comprisinga LFA matrix that species goals,objectives, activities, outputs,veriable indicators, means of

verication and assumptions/risks.


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NAME DESIGNATION PHONE E-MAIL

Maji Data

Han Seur Team Leader GFA Consulting Group 254-733440521 [email protected]

Anastasia M. Wahome IT Consultant 254-722-838093 [email protected]

Eng. Robert N. Gakubia CEO Water Services RegulatoryBoard (WASREB)

254-733-703638 [email protected]

Ms. BernadetteNjoroge

Corporative Services Manager

Ms. Angela Kimani Economist

Fabian Rabe Project Manager KfW 254-722200-060 [email protected]

Anna Tufvesson First Secretary Embassy of Sweden 254-733639321 [email protected]

Eng. Lawrence W.Mwangi

Chief Executive Ofcer Athi WaterServices Board

254-735375695 [email protected]

Eng. John M. Muiruri Chief Manager Athi Water ServicesBoard

254-735375-695 [email protected]

Ken Owuocha Economist Athi Water Services Board 254-735375-695 [email protected]

MSF meeting Homa Bay Date: 17 11 2009 Venue: Homa Bay Municipal council Chambers

No NAME DESIGNATION & ORGANIZATION EMAIL & PHONE NUMBER

1 Onyango P. O. Town Engineer HBMC [email protected]

2 Geoffrey Maritim D/Town Clerk 0722 836 181

3 Kwamanga Francis Public Health Ofcer 0720 885 792

4 Faith Naylor Environmental Watch Programme 0738 105 [email protected]

5 Henry O. Okidih E. W. PC Homa Bay 0724224631

6 Jacktone A. Olielo Prov. Adm. Ass. Chief 0710292238

7 Edward Ouma Secretary MCS 0723096004

8 Cosmas Wambua Clerk of works LVWATSAN 0721304993

9 Irene Gai SANA Community Operations ofcer [email protected]

10 Robert K. O. Lango Prov. Adm. Ass. Chief 0711757195


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DOCUMENT TWO / 35

No NAME DESIGNATION & ORGANIZATION EMAIL & PHONE NUMBER

11 Rollins Dickence Sec. Revolving fund [email protected]

12 Samwel O. Nyauke MSF Secretary 0736226655

13 Joseph O. Ongoro MD SNWSC 0721260318

14 Isaac Felix Olwero Town Clerk MCH 0724522461

15 Cllr. Henry Oginga Planning & Education Chairman [email protected]

16 Cllr. Shem O. Omia D. Mayor 0710907932

17 T. Daurnhang UN Habitat Consultant

18 Elizabeth Ogolla Micro Credit Treasurer 0724663336

19 Angela Hakizimana UN Habitat 254-20-7-62 3985

20 Laban Onongno UN Habitat - CTA(K) 0722722929

21 Ademba D. O. Technical Manager SNWS Ltd 0724035487

22 Janet A. Ayugi CDA (HBMC) Gender Desk Ofce [email protected]

23 Joyce A. Onyuka Chairperson; Micro credit sanitation 0724673666

24 Askine Kadison MCS 0720581328

25 Dorine A. Nyaoro Chairlady Koginga WG 0729150965

26 Mary Abich Rapar W.G Chairlady 0760535141

27 Ruth Odhiambo Wokan W.G. Chairlady 0728550328


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ANNEX 2: PROJECT LFA FOR KIBERA SLUM UPGRADINGLFA for WATSAN Programme Document 2003 Kibera Slum Upgrading1

Goal Goal

The goal of UN-HABITAT Water and Sanitation Programme,supported by the Trust Fund, is to contribute to theachievement of the internationally agreed goals related to water and sanitation in human settlements with

particular focus on the urban poor in order to facilitate anequitable social, economic and environmental development.(MDGs).

Contribute to the improvement of livelihoods of urban poor inthe village by supporting small scale community based water,sanitation and waste management initiatives.

Development Objective Strategic Outcome Development Objective Strategic Outcome

To support developingcountries to achievesustainableaccess to safedrinking water and basicsanitation for the poor,particularly in urban areas.

Enabling environment inhuman settlements created,particularly in urban areas,to facilitate pro-poor,gender sensitive water andsanitation investment.

Enhanced participatoryinvolvement of localauthorities and communities

in WATSAN activities.Increased access to safedrinking water and basicsanitation with specialemphasis for the urban poorin participating countries.

- Contribute to the ongoingKenya Slum Upgrading Initiativewhich is a collaborating projectbetween UN-HABITAT andKenya Government.

- Contribute to the overallachievement of the MDGtargets by beneting the

urban poor.

Activities Outputs Activities Outputs

100. Normative ActivitiesDevelopment ofpro-poor and gender sensitivegovernance frameworks,including policy options,norms, standards and

management toolkits, for theurban WATSAN sector.

Human settlement dimensionincorporated in the WorldWater a) DevelopmentReports, Water andSanitation in the WorldsCities (mandated triennialreport of UN-HABITAT)published and pro-poor andgender focused governanceframeworks available andin use.Enhanced awarenessof WATSAN issues andapplication of guidedocuments, norms standardsand toolkits by the waterand sanitation sector andUN-HABITAT partners.

Enhance communitymanagement capacity(awareness creation,mobilisation of beneciariesto form water and sanitation(WATSAN) managementcommittees).

Enhanced application ofnorms, standards, andmanagement tool-kits onpro-poor governance, pricingand nancing, Water DemandManagement, Water QualityManagement, and SanitationTechnologies.


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DOCUMENT TWO / 37

Activities Outputs Activities Outputs

200. OperationalActivities:Facilitate pro-poor, gendersensitiveinvestment through regional WATSANprogrammes (Advocacy,awareness raising, value-based water education,

capacity building andtraining, and gendermainstreaming anddemonstration activities).

Strategic partnerships amongkey WATSAN stakeholders(UN, development banks,donors, urban centres,utilities, NGOs, andcommunities) to promoteincreasing levels ofinvestment in the WATSAN

sector of participatingcountries.

WATSAN sector stakeholderstrained and enabled todevelop, provide and manageimproved WATSAN services.

Support the community toimprove accessibility anddrainage system in Soweto East(2.5 km road, two bridges and1.8 km storm water drains, 2foot bridges).

Support the community toimprove accessibility to water

and sanitation facilities inSoweto East (50 m waterconnection piping, eight publicVIP pit latrines with bath roomsincluding eight elevated waterstorage tanks (10m3), garbagecubicles, for waste transfer,management structure).

Small scale door to doorwaste collection and recyclingdemonstration set-up (threesolid waste and two recyclingsites, waste collectionequipment, income generationprojects, source separation,three garbage cubicles exchangeprogramme between KiberaProject and Mukuru RecyclingCentre).

Improvement of the WARSANsector in the settlementsleading to an improvedenvironment for pro-poorgovernance.

300. Replicable Model-setting Initiatives:

Provide strategic support topro-poor, gender sensitiveinitiatives at the local levelwith a focus on participatoryinvolvement of localcommunities.

WATSAN institutions inparticipating countries ableto replicate local initiativesas a consequence ofincreased investment owsand with the involvement oflocal communities.

The responsibility of scalingup the Kibera WATSANinterventions is assigned tothe Kibera Support Programmeimplemented through AthiWater Services Board (AWSB)in collaboration with AfricaDevelopment Bank (AfDB).

Scaling up and replication ofthe WATSAN achievements inthree villages in Kibera.

400. MonitoringActivities:Monitor progress towardsWATSANMDG- WSSDtargets.

WATSAN institutions inparticipating countriesdevelop enhanced capacityto track progress towardsinternationally agreedtargets based on improvedinformation systems andenhanced monitoringframeworks.

Establishment of a communityInformation CommunicationTechnology ICT Centre toenable the community inSoweto East Village to accessinformation.

Engender improved knowledgeand understanding of thestatus of WATSAN coverageand service provision in urbanareas.


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ANNEX 3: PROJECT LFA FOR LVWATSANLFA for WATSAN Programme Document 2003 LVWATSAN

Goal Goal

The goal of UN-HABITAT Water and SanitationProgramme, supported by the Trust Fund, is to contributeto the achievement of the internationally agreedgoals related to water and sanitation in human

settlements with particular focus on the urban poor inorder to facilitate an equitable social, economic andenvironmental development. (MDGs).

Stated goals (from various sources):Improve the living conditions of the people living and working in thetargeted urban centres that play an important role in the economicdevelopment of the region; and (ii) environmental conditions while

controlling pollution of Lake Victoria as a result of rapid urbanisationin the region.Support secondary urban centres in the LV region to enable them toachieve the MDGs and generally to contribute to an equitable andsustainable development economic, social, and environmental - ofthe LV Region to the benet of the people living in the area