2010年-世界发展银行全球_Template_for_Assessing_the_Governance_of_Public_Water_Supply_and_Sanitation_Service_Providers___A_Tool_for_Understanding_Water_System_Effectiveness_4页_701kb

WSS Service Provider Assessment Template Summary

Core Content

This document provides a template for assessing Water, Sanitation, and Hygiene (WSS) service providers. It serves as a guide for consultants to evaluate the institutional setup, environmental interactions, and key functions of WSS services in urban areas. The template is designed to be flexible and facilitative, helping assessors gain a meaningful understanding of the service provider's operations rather than merely following a rigid checklist.

The assessment focuses on two main governance areas:

1. Mapping WSS Service Providers and their Environment
2. Key Functions of WSS Service Performance

The template includes a set of structured questions and tools for presenting findings to experts and decision-makers.

Main Governance Aspects

1. Mapping WSS Service Providers and their Environment

This section aims to understand the legal and institutional framework in which WSS service providers operate. It emphasizes the importance of analyzing the actual implementation of policies rather than just their existence on paper. Key areas of focus include:

• Discrepancies between official policies and their real-world execution.
• Incentives that may influence service quality and provider performance.
• Vested interests that could resist changes in WSS service delivery.

The template helps identify:

• The main actors in the urban WSS sector and their mandates.
• The contractual arrangements among these actors.
• The adequacy of procedures and instruments used by these actors to fulfill their mandates.

The result of this mapping is the definition of the accountability framework within which WSS service providers operate.

2. Key Functions of WSS Services

This section reviews how the following key functions are carried out:

• Development of WSS infrastructure
• Operation of the WSS service
• Financing of WSS services and infrastructure
• Economic regulation of the WSS service

Each function is broken down into specific sub-areas for review.

Key Function Focus Areas

1. Development of the WSS Infrastructure

• Mandate of WSS infrastructure developers
• Demand assessments
• Infrastructure development plans
• Financing applications
• Project designs
• Procurement
• Project implementation procedures
• Suspected corruption in infrastructure development

2. Operation of the WSS Service

• Mandate of WSS service operators
• Technical operations
• Commercial operations and customer relations
• Affordability of services
• Service delivery to the poor
• Public-private partnerships
• Suspected corruption in service operations

3. Financing of the WSS Infrastructure Development

• Mandate of the financiers
• Central and regional government financing mechanisms
• Government-owned lending institutions
• Local capital markets
• International (and bilateral) financing institutions

4. Economic Regulation of the WSS Service

• Mandate of the regulator
• Operations of the regulator
• Tariff setting principles
• Tariff resetting
• Performance monitoring
• Service delivery to the poor

Tools for Presenting Assessment Results

The template includes tools to effectively communicate findings to experts and decision-makers, such as:

• Snapshot descriptions of the service provider and its environment.
• Graphs of benchmarks to illustrate the performance of the utility compared to similar operators.
• Visual aids to depict the accountability framework.

These tools help in making the assessment more actionable and transparent.

Example of an Accountability Framework

The document provides an example of an unbundled accountability framework, which illustrates the following:

• A central ministry sets WSS policies, provides grant financing, and directs subsidies to low-income customers.
• A provincial government delegates WSS service provision to an autonomous public utility.
• The autonomous public utility finances its operations through cash generation, grants, and debt from a public financing institution.
• The financing institution raises funds from the central government, international institutions, and local capital markets.
• The WSS service operator is contracted by the utility to handle technical and commercial operations.
• Customers are under contract with the service operator.
• A central government agency is responsible for allocating water entitlements.

This example highlights the complex and multi-layered nature of WSS service provision and the interplay between different stakeholders.

Conclusion

The template is a comprehensive and flexible guide for assessing WSS service providers. It encourages a deep understanding of the institutional and operational environment, and it supports the analysis of key functions in a structured manner. The tools for presenting findings enhance the clarity and usability of the assessment outcomes, making it an essential resource for consultants and policymakers.