As Ghana enters the Sustainable Development Goals era there are significant challenges ahead for sanitation, with SDG 6 focusing on ensuring availability and sustainable management of water and sanitation for all (including the elimination of open defecation) by 2030 there is a requirement to make significant progress over the coming years. Currently only 15% of households have access to an improved sanitation facility at the household level, and 21% of the population (over 5 million people) practice open defecation (Ghana Statistical Service, 2015).
Recent high level budget analysis supported by UNCEF in Ghana has exhibited that Government of Ghana (GoG) resource allocation to the Ministry of Local Government and Rural Development (MLGRD) (responsible for sanitation) has been consistently reducing since 2013, with less than GHS 24 million (USD 6.3 million) budgeted for 2016. Development Partner (DP) assistance continues to contribute a significant component of the MLGRD annual budget, accounting for 89.6% of the total budget of nearly GHS 229 million (USD 59.5 million). Most significantly, the total expenditure of the MLGRD (including DP assistance) makes up only 0.9% of the total spending by Ministries, Departments and Agencies (MDAs) across all government functions (UNICEF/ISODEC/IFP, 2015). The Environmental Health and Sanitation Department (EHSD) who are responsible for sanitation, as well as other aspects of environmental health such as solid waste management, receiving only a portion of this funding.
Another recent initiative in Ghana was that of TrackFin, a component of the Global Annual Assessment of Sanitation and Drinking Water (GLAAS) process. This output report exhibits some interesting findings on investments within WASH sector spending, not least that expenditures on water account for >80% of the WASH total. There is also disparity between rural and urban provision with 69% of overall WASH expenditure during 2012 being focused on urban areas (WHO/UN-Water, 2015).
The portion of total WASH spending covered by central government transfers (transferred from central to local government for WASH funding) was stated as less than 5%, however, some very broad assumptions were made in estimating this. The only means of determining the exact allocations to sanitation for local government is to analyse the accounts at the decentralised level. The same report also found a high reliance on donor funds, with approximately 50% of WASH funding covered by external sources (half of which is grants and the other half repayable finance). This proportion is smaller than the UNICEF analysis as the TrackFin initiative has included the contributions made by households themselves (WHO/UN-Water, 2015).
The work to date also shows that the spending on the WASH sector as a proportion of GDP is 1.28% in 2012 (therefore only 0.26% of GDP is spent on sanitation), which is lower than the health (5.17% in 2012) and education sector (8.1% in 2011) (WHO/UN-Water, 2015).
The TrackFin analysis also found substantial contributions of expenditure coming from households, however this counted only expenditure on water services, with no estimations of the expenditure made by households on sanitation available in the Ghana Living Standards Survey to contribute information (Ghana Statistical Service, 2014). This household level contribution is something the TrackFin process has stated might increase if government facilitates increased access to reliable WASH service providers.
Finally, a report by the Coalition of NGOs in Water and Sanitation (CONIWAS) supported by UNICEF, examined district level budgets for 2010-13. Key observations centred on the difficulty of obtaining accurate information from district authorities. It also showed differences between budgeted and actual expenditures, and difficulty in attributing spending to actual delivery of projects. However, what is clear is that the finances budgeted are insufficient to meet requirements. Finally, it was argued some funding is ring-fenced at a national level and therefore cannot be accurately quantified within district budgets (CONIWAS, 2015).
Extensive research work has taken place in Ghana to determine what it costs to deliver sanitation programmes and sustain them into the future, invaluable information when estimating what sanitation budget is required (IRC, 2011).
In terms of hygiene promotion (as it relates to HWWS) there has been no analysis completed on budget allocations.
This collection of work-to-date shows a picture of a number of trends. Encouragingly there is a willingness of government to make available financial information on WASH spending and facilitate situational analysis. However, it also shows at a local government level where donor funding is absent, there are typically insufficient funds for implementation of WASH programming. It has been difficult to analyse the flow of funds to local government level with any degree of accuracy, and it has also been challenging to quantify household expenditure on sanitation.
Despite the extensive work completed to date, further analysis based on the recommendation made by the series of reports is required. To strengthen national level advocacy on sanitation and hygiene budgeting a more complete analysis of the funding at a local government (Metropolitan, Municipal and District Assembly (MMDA) level is required. The results of the research will help to inform WASH stakeholders on the extent of financial challenges facing implementers.
There is also a requirement to further understand the utilisation of sanitation and hygiene funds between national, regional and MMDA levels, including the different allocations to staff salaries and delivering goods and services.
Key users of the information will be DPs, NGOs, MMDAs across Ghana, it will also benefit the UN-Water/WHO TrackFin initiative globally in terms of clarifying a methodology for local level data collection. Documentation of the methodology utilised for data collection at MMDA level, and the subsequent development of tools, will be disseminated to a variety of stakeholders to enable replication in further MMDA locations.
The research will also help to focus UNICEF annual budget monitoring efforts by providing clear advocacy targets for amounts of sanitation and hygiene funding required and to identify means of annually reporting on what funds allocated to MLGRD target sanitation and hygiene interventions.
Research Scope and Focus; Existing Information Sources
The research intends to capture data and record the methodology that is used to do so. The work will capture this data for 2015 (actual) and 2016 (budgeted versus actual) financial years. Ultimately, whereas data on finances for sanitation at local government level have most often raised more questions than they have answered, this work seeks to have a more comprehensive understanding. The budget monitoring is primarily focusing at household sanitation provision (including subsequent FSM), with some high level analysis of access to sanitation in schools.
The main aim of the sanitation budget monitoring work will be to quantify the availability of funds at a local government level for implementation of sanitation interventions as it relates to toilet construction for households, faecal sludge management, hygiene promotion (as it relates to HWWS), school sanitation and public toilets.
Some key research questions to be answered include the following:Government/Donor Funding Streams
· How much funding is disbursed (budgeted and actual) from national government to districts authorities for implementation of sanitation projects (disaggregated by household sanitation provision, faecal sludge management, hygiene promotion (relating to HWWS), school sanitation and public toilets)? (this needs to be a more thorough and documented analysis than has previously taken place)
· What is the breakdown of funds allocated for sanitation as disbursed to national and regional EHSD, national service providers and MMDAs (disaggregated by household sanitation provision, faecal sludge management, hygiene promotion (relating to HWWS), school sanitation and public toilets)?
· What proportion of funds available for implementing sanitation projects come from central government and external donors at target MMDA level? How is this disaggregated by household sanitation provision, faecal sludge management, hygiene promotion (relating to HWWS), school sanitation and public toilets?
· Other than central government disbursements and donor funds, what are ‘other sources’ of funding available for sanitation implementation within the MMDAs as identified by CONIWAS (CONIWAS, 2015)?
· How does Regional level funding for sanitation compare to that of MMDAs (in terms of quantity and purpose)?
· What is the ratio of funds for staff salaries to funds for good/services at national, regional and MMDA level?
· How much do households spend on sanitation (both in urban and rural areas)? (including payments for public toilet use, toilet construction (including in-kind costs) and faecal sludge management) This will be determined by a mix of data sources including secondary data analysis and primary data collection
· What are the NGO contributions to sanitation in research MMDAs and at national level? (the latter to help fill gaps in TrackFin analysis)
Budget Monitoring Tool Development
· What systems are planned for the monitoring of WASH sector financing, and government financing as a whole? How can systems used in the research align? The research process shall be documented during implementation and tools developed to enable replication of the methodology by other stakeholders to collect MMDA sanitation and hygiene budget information
· How much does the implementation of approaches like Community Led Total Sanitation (CLTS) and Sanitation Marketing cost? Does a shortfall exist at district level?
· Do present government commitments to sanitation align with the requirements for sustainable service delivery?
It will be important for the work to begin with a review of the work completed by UNICEF, TrackFin, CONIWAS and IRC as detailed above, whilst speaking to the respective authors of these works to understand the challenges faced with past budget monitoring work. It will also be advisable to meet with a range of WASH donors, national government stakeholders and NGOs who have worked on budget monitoring such as WaterAid.
In addition the international consultancy is expected to bring experience from similar work done in other locations and also best practice in terms of costing sanitation implementation.
Research Process and Methodology; Specific Tasks
Broadly the research process is anticipated to follow the steps below:
· Initial visit by international consultant to meet with relevant national stakeholders and to visit a sample of MMDAs to get a perspective on realities of data gathering
· Present initial findings at WASH stakeholder meeting and use subsequent discussion for the inception report – including the appropriate sampling structure
· Return for extensive field work to gather appropriate data on 2015 expenditures and 2016 budgets for sanitation and hygiene at selected MMDA level
· Complete household survey on sanitation and hygiene spending
· Input into the 2017 government budgeting process in terms of advocacy and commenting on proposed plans in light of research findings (via development of an advocacy briefing note for UNICEF)
· Final visit at the end of 2016 to re-visit actual spends in target MMDAs
· Complete an end of consultancy workshop with relevant stakeholders to present findings
The consultancy will be expected to draw upon a wide variety of documents for the purposes of tracking the finance to the local level and this will include national level documentation, but more readily available will be documentation at the MMDA level. The documents will include cashbooks of district authorities, contract documents and other relevant financial information. As mentioned previously the consultant is expected to have difficulty gathering 100% accurate data, however, there should be an estimation of accuracy provided (as oppose to similar work which has applied very broad assumptions and have not stated likely level of accuracy).
There will also be a requirement to review any UNICEF documentation and additional sector documentation (such as the IRC WASHCost project) that approximates sanitation implementation costs.
In terms of the districts to be included within the research there will be 6 MMDAs, this will include 4 rural districts and 2 Municipalities. These will be selected from UNICEF project areas and will be selected at random to allow UNICEF and partners to draw generalizable conclusions about sanitation budgeting/expenditure patterns in these types of localities across Ghana. For household expenditure on sanitation and hygiene a nationally representative household survey should be completed, with disaggregation between urban and rural areas – the consultancy is expected to propose a suitable sample size..
The outcome of the research is intended to be the in-depth analysis of the districts targeted, but it is also intended to develop a methodology (and associated tools) for gathering this type of information more widely for district level sanitation (where sanitation relates to household/shared/public toilet construction and faecal sludge management) and hygiene (as it relates to HWWS) budgets.
The key stakeholders that consultants will need to liaise with include:
· Ministry of Local Government and Rural Development
· Ministry of Finance
· Environmental Health and Sanitation Department (EHSD)
· Target MMDA authorities and associated EHSD staff
· UNICEF and other DP actors as appropriate
· CONIWAS and other NGOs as appropriate
· Ghana Statistical Survey
· UN-Water and WHO as it relates to GLAAS and the TrackFin initiative
This group of stakeholders will be actively involved in data collection under the direction of the consultants. A team member from the successful bid is expected to lead on this.
A group of stakeholders will be identified to visit during the initial stakeholder visit and to keep informed of the progress of the work as it pertains to each stakeholders own work.
Accountabilities and Reporting
The Consultants will report to the WASH Specialist (Knowledge Management/Documentation) within UNICEF, who will be responsible for arranging the meetings with the stakeholder group, making any necessary introductions in-country and providing technical guidance/support. Team members of the successful bid are also expected to have some relevant contacts within the sanitation and finance sectors to facilitate contacts as needed.
The consultants shall report to UNICEF on a monthly basis throughout the duration of the assignment (a more regular two-weekly reporting shall take place whilst the international consultancy is in-country). The structure of these reports shall be finalised during the project inception period.
International Consultant (Team Leader) – will be responsible for the overall management of the research and will be the communication focal person between UNICEF and the consultant team. They will be overall responsible for quality of work and timely delivery.
Expected Deliverables and Timelines
It is expected that the entire assignment will take a maximum of three (3) calendar months over a 12 month total period.
The expected deliverables of the study are:
· Inception workshop with key stakeholders: presentation of ideas for project implementation to verify intended content of the inception report
· Inception report (1 month after contract signing): following initial meetings with stakeholders and field visits, it will cover the detailed research methodology (including sampling and questionnaires), data sources and anticipated challenges.
· Results workshop with key stakeholders: presentation and verification of findings for completion of draft report
· Draft report (11 months after contract signing): Final report for UNICEF and GoG stakeholder review. The report shall include detail on the methodology used and tools developed for it to be replicated, results and recommendations per MMDA investigated, generalised recommendations from the process, and overall recommendations (max 40 pages, excluding annexes)
· Final report (12 months after contract signing): Final submission based on UNICEF feedback (max 30 pages, excluding annexes)
· Finalisation of tools used and guidance notes on how to apply them at MMDA level (guidance note not to exceed 4 pages per tool)
· Submission of full data set, with all relevant indicators (and a code book with relevant indiactors)
· 4 page advocacy briefing note for UNICEF use on the funding status for sanitation and hygiene at district/regional level
The research will be disseminated to stakeholders within Ghana via the research project meetings. The results will also be used by UNICEF, CONIWAS and other organisations in advocacy efforts for sanitation and hygiene budget monitoring.
Tools developed to enable replication of the approach will be disseminated to relevant stakeholders.
The consultant will be paid on the following schedule of payment:
· 30% payment upon submission of the inception report to UNICEF
· 50% payment upon submission of the draft final report to UNICEF
· 20% payment upon submission of the final report to UNICEF
Expected background and Experience
This contract will be awarded to an international consultancy, with team members that have experience of working in Ghana. Consortium bids from international and national (Ghanaian) consultancies are desirable.
Lead Consultancy Profile
· The consultancy will have experience of working on similar projects of budget monitoring for a particular sector, preferably the WASH or sanitation sectors
· The consultancy should have sufficiently skilled staff members to both implement the field work and provide suitable quality assurance mechanisms at a headquarters level – CVs of all staff members involved will be included within the submission
· The consultancy is responsible for the timely delivery of work and will be held responsible for the overall management of the research project
· The consultancy shall provide all necessary registration documentation
· Master’s degree in water, sanitation and hygiene related fields, public health, sociology, economics, international development, social work, political science, financial management / risk management, public administration or other relevant areas.
· At least 10 years of experience in the development sector, with a focus on at least two of the following specialties – WASH, public sector financial management, programme/project development and design, risk assessments, sector/institutional development or assessments (macro/micro)
· Direct experience in budget monitoring/tracking in relation to WASH projects for government stakeholders
· Experience of completing household level surveys and associated sampling techniques
· Fluency in writing, reading and speaking English.
· Strong track record in relating and networking and analytical skills.
· Ability to operate computer Microsoft office programs (MS Word, Excel, Power Point and Access) is essential.
· University degree in water, sanitation and hygiene related fields, public health, sociology, economics, international development, social work or political science.
· An advanced qualification in areas related to economics, financial management/ risk management or public administration would be an advantage.
· 7 years of experience in the development sector, with a focus on at least two of the following specialties – WASH, governance, public sector financial management, programme/ project development and design, risk assessments, sector/ institutional development or assessments (macro/ micro)
· Past experience working on budget monitoring within the Ghanaian context is a strong asset
· Strong experience working with national and local government in Ghana, with both Ministry of Finance and Ministry of Local Government and Rural Development
· Fluency in writing, reading and speaking English.
· Strong track record in relating and networking and analytical skills.
· Ability to operate computer Microsoft office programs (MS Word, Excel, Power Point and Access) is essential.
General Conditions: Procedures and Logistics
· The assigned duty station for this assignment is Accra.
· The Consultants will work from the UNICEF office in Accra, with limited office support. In particular, the consultants will provide their own computer facilities and transport facilities for commuting to office.
· The assignment cost will include Professional Fees, based on Senior Consultant level for the International Expert and Consultant for the Team Members, and Reimbursement of Daily Subsistence Allowances (DSAs) where applicable. The Consultants will also be entitled to DSA for travel outside Accra at the prevailing UN rates. The International Consultants will also be entitled to DSAs for their stay in Accra.
· It is expected that at least one Team Member will be available at the designated duty station for the entire twelve (12) calendar month period, while the Team Leader will be available for three (3) calendar months in-country. The Team Leader will also be required to be available, for the inception and validation workshops.
· The Consultant should provide their own stationery and office materials/ consumables – computer, data storage devices, paper etc.
· UNICEF will cover the costs of any required field enumerators and related field survey costs.
· UNICEF will cover the costs of meetings and workshops.
· The Consultant will have access to UNICEF transport along with UNICEF Security Radio when in the field on official travel
· Transportation will also be provided for official meetings (within official working hours) within Accra, based on prior notification.
· In case of air travel for any field missions the airfare and terminal expenses for the consultant’s flight will be paid by UNICEF.
· Consultant is not entitled to payment of overtime. All remuneration must be within the contract agreement.
Policy all parties should be aware of:
· Under the consultancy agreements, a month is defined as 21 working days, and fees are prorated accordingly. Consultants are not paid for weekends or public holidays.
· Consultants are not entitled to payment of overtime. All remuneration must be within the contract agreement.
· No contract may commence unless the contract is signed by both UNICEF and the consultant or Contractor.
· For international consultants outside the duty station, signed contracts must be sent by fax or email. Signed contract copy or written agreement must be received by the office before Travel Authorisation is issued.
· No consultant may travel without a signed travel authorisation prior to the commencement of the journey to the duty station.
· Unless authorised, UNICEF will buy the tickets of the consultant. In exceptional cases, the consultant may be authorised to buy their travel tickets and shall be reimbursed at the “most economical and direct route” but this must be agreed to beforehand.
· Consultants will not have supervisory responsibilities or authority on UNICEF budget.
· Consultant will be required to sign the Health statement for consultants/Individual contractor prior to taking up the assignment, and to document that they have appropriate health insurance, including Medical Evacuation.
· The Form ‘Designation, change or revocation of beneficiary’ must be completed by the consultant upon arrival, at the HR Section.
The institution shall prepare a technical proposal outlining the institution’s appreciation of the assignment, approach and methodology to be adopted, profile of team members (Curriculum Vitae will be included as annexes), a related proposed work plan, and a separate detailed price schedule for negotiation and contract formulation. The technical proposal should include:
· An introduction to the project, including details of understanding of the sanitation and hygiene budgeting situation in Ghana
· Background experience in similar projects completed elsewhere
· Overall methodology for data collection and analysis; including anticipated sources of data and stakeholder engagement methods
· Approach to determining household spending on sanitation
· Data validation and overall quality assurance
· An indicative work plan
· Reporting mechanisms
Financial proposal (should be submitted on a separate attachment)
The proposal, excluding annexes, should not exceed 15 pages.
The proposals will be judged on technical criteria (score out of 70) and the financial proposal (scored out of 30). Marks will be deducted for proposals that exceed the stipulated 15 pages.
CONIWAS. (2015). Analysis of District Level Budgets for WASH Services in 5 District/Municipal Assemblies. Accra: CONIWAS/UNICEF.
Ghana Statistical Service. (2014). Ghana Living Standards Survey – Round 6 (GLSS6). Accra: Ghana Statistical Survey (GSS).
Ghana Statistical Service. (2015). Demographic and Health Survey 2014. Accra, Ghana: Ghana Statistical Service.
IRC. (2011). Lifecycle Costs in Ghana Briefing Note 3: Costs of rural and small town sanitation services. Delft: IRC.
UNICEF. (2015). Water, Sanitation and Hygiene Sector – 2016 National Budget Briefs. Accra. Ghana: UNICEF.
WHO/UN-Water. (2015). TrackFin Initiative: Tracking finance to drinking-water, sanitation and hygiene. Geneva: World Health Organisation.