a \S 6S46- - 30353 * Sanitation UNDP- World Bank Stakeholder -- Water and Sanitation Program Consultation 3~~~~ 0 - 0- F - t-v I~~~~~~ ~ A Documentation of the Mombasa Experience MAunicipall- Council of Mombasa _E a Sanitation Stakeholder Consultation UNDP - World Bank Municipal Council Water ond Sanitation Program of Mombasa i I List of abbreviations DflD Department for International Development, formerly ODA EDCL - Engineering Design Consultants Limited MCM - Municipal Council of Mombasa MDC - Matrix Development Consultants NWCPC National Water Conservation and Pipeline Corporation ODA - Overseas Development Agency PAMNUP - Partnerships Approach to Meeting Needs of the Urban Poor PHAST - Participatory, Hygiene and Sanitation Transformation PRIM - Poverty Reduction Initiative for Mombasa RWSG-ESA - Regional Water and Sanitation Group for East and Southern Africa SARAR - Self-esteem, Associative strength, Resourcefulness, Action planning and Responsibility SISA - Systematic, Integrated and Strategic Approach UMP - Urban Management Program UNCHS - United Nations Center for Human Settlements UNDP - United Nations Development Programme WHO - World Heath Organization This Report was prepared by G.K. Bambrah, edited by Brazille Musumba and adapted by Tore Lium. The views and information contained herein do not necessarily reflect the views of the World Bank, UNDP, Municipal Council of Mombasa, or the Government of Kenya, and do not imply the expression of legal opinion whatsoever concerning the legal status of any country, territory, city, area, or concerning the delineation of national boundaries or national affiliations. Photo credit: Nation Newspapers Limited Table of Content LIST OF ABBREVIATIONS Post Script iv Foreword v Executive Summary vi 1. INTRODUCTiON 1 2. MUNICIPAL MANAGEMENT AND STAKEHOLDER INVOLVEMENT 2 3. THE STAKEHOLDER CONSULTAllON APPROACH 4 Origin Background 4. THE STAKEHOLDER CONSULTATION METHODOLOGY 6 Background review Situation analysis Preliminary capacity building The consultation Outputs Follow-up 5. MOMBASA STAKEHOLDER CONSULTATION EXPERIENCES 8 Background Studies and Research Situation analysis Capacity building The Sanitation Stakeholder Consultation Outputs Follow-up 6. FINDINGS OF THE STAKEHOLDER CONSULTATIONS 12 ANNEXES The PAMNUP Project A 1 The Urban Poverty Reduction Consultation A 2 REFERENCES 1 9 iii Post Script The Mombasa Sanitation Stakeholder Consultation process was started on the assumption that a World Bank (IDA) assisted water supply and sanitation project would be appraised and approved in 1998. Due to limited capacity of the Government of Kenya to absorb funding requirements, the project, along with several others, was put on hold. A short term consultancy was, however, awarded to Dr. G. K. Bambrah by the World Bank around mid 1998 to extract outputs from previous studies that could be useful to the Municipal Council of Mombasa. The failure to proceed with the planned investment project undermined some of the credibility of the Consultation process and in an effort to rebuild confidence and commitment, dialogue with stakeholders continued. Around the same time, the Mayor of Mombasa was mobilizing the support of the same stakeholders for joint actions, such as beautification and clean-up campaigns in-the Municipality. These endeavors gave credibility to the newly elected Council. Intensive working sessions involving senior officers of the Council and Dr. Bambrah defined three pilot projects that served as a basis for discussion in the new round of consultations with stakeholders. The proposed pilot projects aimed at: * improving management of existing sanitation services (sewerage, drainage, septic tank and pit emptying, solid waste management); * providing improved sanitation services in low-income and congested areas of Mombasa; and * strenghtening the institutional framework for service delivery, including mobilization of private sector actors. Subsequently, a stakeholder consultation was held on September 24, 1998. A similar two-day event was organized on October 1 2 and 13, 1998 for the Mayor to formally launch the projects. Other activities during the two-day event, included: * a series of three Round Table discussions conducted with stakeholders to solicit their comments and specific commitments in the implementation of the projects; and * Citizens' Meeting held in front of the Town Hall where the projects were presented to the public in attendance. During the later forum, the Mayor invited comments and questions from members of the public, resulting in a lively exchange. The Council plans to hold focused consultations with social and business associations in order to mobilize further support for implementation of the projects. Arrangements are also underway to take the consultation process to the lowest municipal administrative level (wards). It is hoped that this will improve people's understanding of sanitation issues in their locality and make councillors more accountable to their constituents on these matters. iv Foreword The Mayaor joins residients in a clean-up exercise. Provision of sanitation services is among the statu- taken place in Mombas-d. This is a combined result tory responsibilities of municipal councils in Kenya. of the Municipal Councitl putting its own house in In my view, this responsibility does not oblige the order and the mobilization of willing participants councils to be the sole service providers. On the from the civil society for the common good of an contrary, sanitation problems in Mombasa are cal- improved environment. My vision is that such col- lectively 'owned' as they are caused by and affect lective actians will take us forward and also make all our residents, institutions, businesses and visi- the Municipality increasingly attractive for invest- tars. A new approach based on collective actions ments in the much needed upgrading of all infra- in the respective sectors was identified during an structure, including water and sanitotion services. Urban Poverty Reduction Consultation held in Mom- I believe the process that we have initiated in basa in 1 996, where a strategic planning frame- Mombasa is fairly unique in the Kenyan context, work started to emerge. and will provide valuable lessons. As Chairman of Early in the following year, the Municipality the Association of Local Government Authorities of began to address its environmental sanitation prob- Kenya (ALGAK), I believe this will be a model for lems in a systematic way within the aforementioned implementation by other local authorities in Kenya framework. The ensuing consultative process was and elsewhere. It is therefore a pleasure to be a supported by the Regional Water and Sanitation party to the publishing of this report together with Group for East and Southern Africa (RWSG-ESA). RWSG-ESA. The report deals with the first stage - An underpinning principle is that the respective entry into the process - and I would encourage this stakeholders are best placed to express their own partnership to evaluate the experiences of the proc- concerns and propose solutions to current sanita- ess and disseminate emerging lessons and good tion problems. A sense of collective responsibility practices. was promoted when the sanitation stakeholders were invited to a consultation in July 1 997 to iden- tify how they may contribute to and participate in actions aimed at overcoming the shared problems. Nacib a Whereas the process continues to build momen- The Mayor of Mombauo tum, some tangible improvements have already 23rd September 1 998 v Executive Summary Background Mombasa is the second largest town in Kenya Since the early 1 980s, traditional urban plan- and has an estimated population of 680,975 a ning approaches have increasingly been criticized of 1 997. Its estimated population growth rate is 4 due to their top-down, technocratic and sectoral percent per annum. Between 30 and 40 percent nature. In developing countries, they have failed ofpMombasaercentperann . B n be categoried as prct to meet urban needs. The rate of growth of towns of Mombasa residents can be categorized as poor, and cities in these countries overwhelm the finan- the majority of whom live cial, human and institutional resources of their gov- gested and low-in- ernments. With the mushrooming of informal set- come informal set- tlements, most urban growth is tleme ints.mol set- / , taking place outside the formal sector. The amount of Mombasa Municipal The amoneyuspent tof pr- Council (MCM), for ex- money spent topo ample, is facing increas- viesein , rsuch a ing unemployment, poverty housing, water supply, and environmental degra- sanitation and dation. It is also experienc- social services, ELDORET ing growing difficulty in in urban areas providing the following like Mombasa muSu. NAKURU services to its residents: has been on the * primaryhealthand decline in recent prmeducation; years. To meet the NAIROBI \ain; challenge of provid- \ infrastructure ing urban services, the and maintenance; Government of Kenya is under- a huing; taking a range of initiatives. These si-e housnmic; include increasing revenues, improving fi- sceomstructure; and nancial management and bettering systems for MOMBASA * social welfare and recrea- the operation and maintenance of local author- a tional services. ity services and facilities. Provision of these services in Mombasa, as else- * Municipal Management and where, increasingly calls for a broader and ena- Stakeholder Involvement bling management framework based on stakeholder involvement, transparency, accountabil- Urban planning as a process has passed ity and efficiency. The framework should include: through several paradigms over the past four dec- ades. Traditional approaches have included com- * participatory formulation of policy and prehensive planning in the 1 960s, disjointed plans; incrementalism in the 1970s and structure plan- * a broad-based strategic approach to ning in the 1 980s. There have also been several formulation of policy objectives; other approaches, including schemes, projects and * realistic design, implementation, monitor- more recently, action plans, neighborhood initia- ing and evaluation of service programs; tives and strategies. * enhancement of human, capital, physical, vi natural and environmental resources; and Sanitation Group for East and Southern Af- * improved performance of institutions and rica, took place in July 1 997 as a follow-up of the information handling; and April 1996 poverty reduction consultation. The * productive portnerships among all interest consultation, which attrocted over 60 stakeholders groups. in the WSS sector, managed to identify and in- volve stakeholders for the first time, and drafted a Stakeholder Consultation sanitation action plan for Mombasa. A committee Experiences in Mombasa was also formed to finalize the action plan, and the proceedings of the consultation were distrib- During the past two years, MCM has under- uted to the stakeholders within a month. In Sep- taken a series of consultations and other events tember 1997, another consultation was organized aimed at involving stakeholders and interest groups to obtain final stakeholders inputs to the action plan, in service planning and provision. These include which was presented to the Mayor for endorse- the Urban Poverty Reduction Consultation held in ment and implementation by the Council. April 1 996, the on-going Partnerships Approach to Meeting Needs of the Urban Poor (PAMNUP) - Two months later, an Urban Environmental Sani- a project of the Department for International De- tation (UES) component focusing on congested and velopment (DfiD) - initiated soon after the poverty low income areas was included in the proposed consultation, and the Sanitation Stakeholder Con- Mombasa Water Supply and Sanitation Project. sultation held in July 1 997. This report reviews the The sanitation stakeholders action plan was useful tangible results and lessons learned from these in defining the components of the project, which consultations, particularly the latter. Details on the will include a Sanitation Fund. Other elements of Urban Poverty Reduction Consultation and the project include capacity building and techni- PAMNUP are attached to this report as Annex Al cal outputs, such as private and institutional latrines, and A2 respectively. community based solid waste collection and terti- ary drains in traditional and informal settlements, The sanitation stakeholder consultation, sup- water kiosks and alternative sources of safe water ported by the UNDP-World Bank Regional Water in areas not covered by reticulation. vii 1. Introduction Industrialization paved the way to urbanization and mated that 30 to 40 percent of Mombasa residents modern cities - creatures of technology and plan- can be classified as poor and that the majority of ning in which services and infrastructure have to the poor live in congested and low-income areas be provided on an extensive, continous and self- (Bambrah, 1996). sustaining basis for efficient operation of produc- tive enterprises. In contrast, the Central Government expendi- tures for housing, social security and welfare have The urban population in Kenya comprises some a low priority in Kenya. These include government 20 percent of its people concentrated in 6 rapidly expenditure on pollution abatement, water supply expanding cities and large towns, and 45 second- and quality, sanitation, refuse collection, social ary and small towns. Mombasa is the second larg- services and housing. According to Sessional Pa- est town in Kenya having an estimated population per No. 1 of 1994, of the Government of Kenya, of 680,975 as of 1997 according to the last Mom- on Recovery and Sustainable Development to the basa District Development Plan (GOK, 1994b). Its Year 2010, capital expenditure in City, Municipal, estimated population growth rate is 4 percent per Town and Urban Councils has been declining in annum. recent years. To meet the challenge of providing urban infrastructure, the Government of Kenya will Nearly 50 percent of Kenya's population in the undertake a range of initiatives. These will include larger cities and towns, and 1 8 - 40 percent of the increased revenues, improved financial manage- population in secondary and small towns lives in ment and performance of local authorities and unplanned, low quality settlements having no ac- improved systems for the operation and mainte- cess to infrastructure and other services. It is esti- nance of local authority services and facilities. 1 2. Municipal Management and Stakeholder Involvement The instrument used to translate infrastructure policy needs of the typical city. Towns and cities in these into action under conventional planning is the public countries have grown rapidly and their requirements expenditure plan. This has both macro and micro now overwhelm the financial, human and institu- economic dimensions relating to fiscal policy as tional resources of their governments. With the well as expenditures across and within sectors. mushrooming of informal settlements, most urban Urban planning as a process has passed through growth in these countries is now taking place out- several paradigms over the post four decades. Tra- side the formal sector (UNCHS, 1 994 and Clark, E _I _ _ _ _ __ XME L. ~~~~~~~~~~~~~~~~~~~~~~~~- - -_!E,_ 9~Z A public toilet abandoned because of filth and lack of maintenance. ditional approaches have included comprehensive 1995). These countries are facing a critical chal- planning in the 1 960s, disjointed incrementalism lenge as they struggle to meet development de- in the 1 970s and structure planning in the 1 980s. mands in the face of a complexity of concerns. Somewhere along the line, there have been sev- eral other approaches including schemes, projects At present, Mombasa Municipal Council and more recently, action plans, neighborhood (MCM) is facing increasing unemployment, pov- plans and strategies (UNCHS, 1994). erty and environmental degradation due to inad- equate infrastructure and poor essential services. Since the early 1 980s, these traditional urban Provision of Municipal services in Mombasa as planning approaches have come under increas- elsewhere in the developing countries increasingly ing criticism due to their top-down, technocratic calls for new and broader manogement concepts and sectoral nature. In developing countries par- including enabling principles based on stakeholder ticularly, these approaches have failed to meet the involvement, transparencA accountability and effi- 2 ciency. Key elements that have been identified for social welfare and recreational services to Mom- an enabling municipal management framework basa residents. include: In the last two years, MCM hos undertaken a • participatory formulation of policy and plans; series of consultation events aimed at involving * a broad-based strategic approach to stakeholders and interest groups in service plan- formulation of policy objectives; ning and-provision. This approach to planning serv- * realistic design, implementation, monitoring ice provision has rarely been tried in Kenya be- and evaluation of service programs; fore. The present document comprises a review of * enhancement of human, capital, physical, the tangible results and lessons learnt from these natural and environmental resources; consultations. While the focus in this document is * improved performance of institutions and on sanitation through a review of the Sanitation information handling; and Stakeholder Consultation held in July 1997, two * productive partnerships among all interest other initiatives are also considered important. groups. These include an earlier Mombasa Urban Poverty Reduction consultation held in April 1996 and the MCM is expected to provide primary health Partnerships Approach to Meeting Needs of the and education, cleansing, infrastructure mainte- Urban Poor (PAMNUP), a project of the Depart- nance, housing, socio-economic infrastructure, and ment for International Development (DfID). Densely populated settlements hove numerous social and economic needs. 3 3. The Stakeholder Consultation Approach Origin by the economically active portion of the popula- tion. The output of this research, which was com- Much work has been done to develop assess- pleted in June 1994, was a dynamic poverty re- ment and collaborative tools, such as rural and duction model for Kibera. urban participatory appraisals, GOPP/ZOPP work- shops, and the Participatory, Hygiene and Sanita- In January 1995, EDCL undertook an informa- tion Transformation (PHAST) approach to link real- tion dissemination exercise funded from its inter- life actors to the service planning process (WHO, nal resources through which the findings of the 1996). Considerable work has also been under- Kibera research were forwarded to the Mombasa, taken by the Urban Management Program (UMP) Nakuru and Kisumu Municipal Councils. Based of UNDP/World Bank/UNCHS (Habitat) and oth- on their response, a one day workshop was then ers on consultative approaches, particularly for held with each of these Councils with all their Chief urban environmental services planning. officers in attendance. The UMP consultative approach seeks to The objective of these one-day workshops was strengthen contributions that cities and towns in to introduce the concept of poverty reduction at developing countries make towards economic the local authority level. All three Councils reacted growth, social development and alleviation of pov- positively to the idea of developing their copacity erty. It relies on two mutually supportive processes and an agenda on poverty reduction planning. At to facilitate capocity building. These include city the same time, EDCL irn collaboration with these or country consultations to bring together Councils initiated discussions with UMP to seek its stakeholders to discuss specific issues within the technical support for poverty reduction planning. program's five thematic areas (of which poverty Consequently, in March, 1995, MCM was invited alleviation is one), and to propose reasoned solu- to send two delegates to a poverty workshop held tions. by UMP at which the case for adopting a poverty reduction agenda in Mombasa was made. Consultations are held at the request of a city or country and often provide a forum for discus- In early 1996 UMP decided to support a re- sion of a cross-section of issues. Secondly, UMP quest from MCM to carry out a poverty profile and has developed Regional Networks of Experts in set in place a consultative process to develop and each of the five UMP thematic areas, for the pur- implement poverty reduction action in Mombasa. pose of providing technical advice and coopera- EDCL were appointed to prepare a poverty profile tion (UNDP/UNCHS(Habitat)/World Bank/UMP, and facilitate the stakeholder consultation. 1996). Background Engineering Design Consultants Limited (EDCL) started carrying out research on Urban Environ- Figure 1 contextualizes the stakeholder consul- mental Management in Kenya in 1991. In Sep- tation within the overall framework of the System- tember 1 992, the firm received an award through atic, Integrated and Strategic Approach (SISA) to the'Poverty Competition organized by UMP to carry service planning, developed by EDCL. This SISA out a poverty reduction research project. The stakeholder consultation mechanism has been project aimed at systematically and strategically operationalized in Mombasa with the assistance linking resource and income based initiatives in of EDCL and gives the consultative process a rec- the Kibera informal settlement to consumption and ognizable structure. demand patterns at the household level and growth 4 FIGURE 1: COMPONENTS OF THE SYSTEMATIC, INTEGRATED AND STRATEGIC APPROACH (SISA) TO PLANNING URBAN SERVICES Abstracted from Bambrah, 1996 HUMAN FACTORS BACKGROUND - Physical RESEARCH/ URBAN FACTORS - Physiological REVISEWA Formal Sector Residential, commercial, industrial. - Psychological public utes, Governmental and paraslotal Informal Sector: Slum and squatter sertlemenrs, Mc ro-Enterprises Services Water, Sonitation, Health. Education, Communications, Social,'Recreational SITUATION STAKEHOLDERS ANALYSIS SAEODR - Consumers and Beneficiories - Financiers s r - Pressure Groupos INSTITUTIONAL STAKE OLDER _ Ohers SUPPORT AND 0 CONSULTATION/ CAPACITY ACTION PLANNING 4 - Coordinarion and y regulation INTEGRATED DESIGN 4 - Information management - Decision supporr APPRAISAL 4 - community mobilization y - Moniroring and evaluation IMPLEMENTATION 4 - Records v AFTER-CARE < v COST RECOVERY AND _ ___ __ _ OWNERSHIP This structured approach goes beyond participa- design and implementation; tion, consultation and collaboration to include: * appraisal, evaluation, monitoring and maintenance support; and * continuous capacity building and institutional * cost recovery, investment renewal and strengthening at all levels; ownership * policy, market dynamics and demand research; * community participation, stakeholder collaboration and consultation; A major objective of this methodology is to draw * public/private partnerships and appropriate upon and capitalize on past and existing knowl- resource mobilization; edge and investments in service provision. These * development of management, recording, and past investments may not always offer a positive information systems; contribution but have some value even if only in * advisory, decision and regulatory support identifying negative impacts that have lessons to mechanisms; improve future planning of services. * integrated (multi-disciplinary and interactive) 5 4. The Stakeholder Consultation Methodology The MCM structured consultative approach con- In presenting the situation analysis or profile, it sisted of six distinct activities described below. is important to give baseline information and point- ers about issues, constraints and opportunities but Background Review to stop short of offering any solutions to improving the actual service delivery. A detailed background study is usually required that identifies the service need. This study can take Preliminary Capacity Building many forms including a research study, a strategy study, a preliminary design study, a loan justifica- One of the stakeholders usually leads the con- tion report etc. Many of these detailed studies were sultation process and thus gives it a legal basis. It carried out in the post under the conventional plan- is important to ensure that this lead stakeholder ning approaches although there are still a few has the capacity to constructively undertake a con- areas for which new studies are necessary. Past sultation. This involves some preliminary capacity studies set the stage for infrastructure projects and assessment and building. Another aspect of this expenditure. It may sometimes be necessary to preliminary capacity building is the identification update or gather extra information to fill in gaps in of other stakeholders and other relevant on-going past and existing studies. The consultative process activities. By involving the stakeholder who leads is meant to involve the public in infrastructure plan- the process and the other stakeholders in the situa- ning and investment using existing documents as a tion analysis, basic inter-institutional and basis. The First stage of the consultative process is stakeholder networking and collaboration is set in a background review which identifies existing in- place even before the con§ultation. formation and the theme for the consultation. The Participatory Workshop Situation Analysis The objective of the Participatory Workshop is A situation analysis/inventory which to involve the stakeholders in: contexuolizes the consultation is the next step of this methodology. A systematic anolysis is made of . planning improvement in services and in the the situation as it exists at the time of the consulta- living environment through a joint plan of action; tion. This analysis is meant to satisfy the following and objectives: * soliciting commitment and ownership by all stakeholders to this action plan. * confirm the service situation calling for the consultation and set a baseline for action and Identifying representative stakeholders for the future evaluation of impact. consultation is an important aspect. During the * identify the stakeholders and on-going activities situation analysis, different stakeholders are identi- that are relevant to the service theme of the fied. For the consultation, it is important to ensure consultation that each category of stakeholder is adequately * identify issues, constraints and opportunities to represented within the framework of the consulta- improve the situation. tion. This framework determines the number of * set the stage for structured discussions at the people who will attend this event, the duration of consultation. the consultation and logistical and budgetary ar- rangements/constraints. Transparency in the selec- At EDCL, we have developed a multi-evel ma- tion of the participating stakeholders is achieved trix method to ensure a systematic approach to this in two ways. Firstly, during the situation analysis, situation analysis or profile or inventory. there is no pre-conceived list-tf stakeholders and 6 the preliminary identification of stakeholders results stakeholders in service improvement and solicits directly from the data collection which, by its very their commitment to improving their living environ- nature, is intended to be general and broad-based. ment. Secondly, when selecting stakeholders who will attend the consultation, representative proportions Outputs of stakeholders are invited and the list is circulated to most of the other stakeholders in advance to A properly structured consultation should lead seek further inputs or rectify omissions. The media to the following outputs: also plays an important part in making informa- tion about the consultation available to the gen- . Collaboration and involvement of stakeholders eral public. * A joint action plan to improve their services and living environment The multi-level matrix method is used to develop . Follow-up to operationalize the action plan, a systematic structure for the consultation. This struc- implement it and create feedback. ture must allow for introductory addresses to legiti- mize the consultation and create room to Follow-up operationalize the consultation outputs. Back- ground information is given (through oral presen- If the consultation has been constructive, then tations and field visits) to create a level playing ground for discussions by all stakeholders. This tions regin the iplemea r tonlow-th jon also gives pointers to expected outcomes, creates action plan as well as continued reformulation of on interest in the proceedings, allows for extensive this action plan. discussions with the objective of involving Discussions continue during tea-breok at the participatory workshop. 7 5. Mombasa Stakeholder Consultation Experiences Background Studies and ponents: a strategy study, a feasibility study and Research contract documentation. The strategy as outlined in this study focused on: In 1976, a major study on Mombasa water pollu- tion and waste disposal was carried out, It con- * sewerage development comprising re- tained proposals for improvement and expansion equipping of pumping stations and of Mombasa sewerage. Other than a trunk main rehabilitation of existing sewers for the Island, sewer and treatment works for the West mainland phased sewering of the remaining urban areas, portion, no significant improvement has been made preliminary treatment of sewage and disposol to the sewerage facilities in Mombasa since then. into the ocean via a long sea outfall for the North mainland and the Island, encouraging In 1 994, the National Water Conservation and connections to the West mainland sewers, and Pipeline Corporation (NWCPC) decided that short setting up a waste stabilization pond system and long term plans should be prepared for im- for the South mainland; proving and expanding the sewerage, drainage sanitation improvement comprising and sanitation systems in Mombasa District. A sec- modification to existing pit latrines, improved ond study was carried out under the Second Mom- design and construction of appropriate basa and Coastal Water Supply, Engineering and affordable new facilities and awareness Rehabilitation Project funded by the World Bank creation about benefits of sewerage in informal through the Government of Kenya. This study had settlements; a design horizon of 2015 and included three com- *drainage improvement comprising Stakeholders visit the sewage treatment plant in Changamwe, Momibasa West. rehabilitation and improvement of existing age, sullage, stormwater, solid waste and indus- drains, strengthened drainage maintenance trial and hazardous waste. For each of these five and provision of new drainage for new categories, an analysis was mode of institutional, settlement areas; economic, environmental, technical and socio-cul- * a detailed solid waste study aimed at assessing tural factors and issues. The end product was a the requirements, options and management of background paper for the stakeholder consultation solid wastes; and which identified issues, constraints and opportuni- * institutional strengthening through formation of ties for action in each of the 5 component catego. an autonomous subsidiary of NWCPC to take ries. This was presented at the consultation in three over sewerage, leaving the responsibility of portions categorized as institutional issues, techni- improving drainage, sanitation and solid waste cal issues and community participation issues and with MCM and clarifying pollution control the paper formed the basis for discussions at the responsibilities. . stakeholder consultation. At present, it is estimated that only 10 percent Capacity Building of Mombasa residents are connected to waterborne sewerage but none of the treatment facilities is func- As was the case with the Poverty Reduction tional. 16 percent of the residents rely on septic Consultation, MCM-led the sanitation consultation tanks for which desludging services are difficult to and became the preliminary target of capacity obtain while the remaining 74 percent of the popu- building. Again, this was carried out in two dis- lation rely on pit latrines dug down to groundwater tinct stages. Firstly, the Council identified the de- level or connected to soakpits many of which are partments that were involved in providing sanita- overflowing. MCM is only able to collect 20 to 40 tion services to Mombasa residents. Three main percent of the garbage generated daily in the town departments were identified: the Engineering De- and the landfill site is already highly inadequate. partment, the Cleansing Section of the Public Health MCM has recently privatized garbage collection Department and the Social Services Department. in three mainland areas on a trial basis For 3 A core group of personnel from these three depart- months. ments wos involved in the data collection and processing for the sanitation situation analysis. This During the Poverty Reduction Consultation of created inter-departmental collaboration on sani- April 1996, lack of sanitation facilities. particularly tation. In the next stage, a structured collaborative in relation to sewerage and solid waste collection one-day workshop was held with this core group. services in congested and low income areas was The objective of the workshop was to fill in infor- highlighted. This opened a window for action on mation gaps in the situation analysis and at the sanitation improvement under the Poverty Reduc- same time build the capacity of the core group to tion Initiative for Mombasa (PRIM). establish a procedure for the main sanitation stakeholder consultation. During the situation analy- These post studies and the Poverty Reduction sis data collection phase, on-going sanitation im- Consultation justified the need for action aimed at provement activities and other organizations in- sanitation improvement. Accordingly, in late 1996, volved in these activities were also identified. MCM approached the Regional Water and Sani- tation Group for Eastern and Southern Africa The Participatory Workshop (RWSG-ESA) of the World Bank for technical as- sistance to initiate a sanitation stakeholder consul- The Participatory Workshop took place in July tation for Mombasa. 1997 supported by the Regional Water and Sani- tation Group for East and Southern Africa (RWSG- A positive response to this request resulted in ESA). It brought together over 60 stakeholders in- the Sanitation Stakeholder Consultation modeled cluding MCM staff and government representatives. on the earlier Poverty Reduction Consultation com- The workshop was structured to: prising a situation analysis, capacity building, the stakeholder consultation and follow-up action. * obtain stakeholder inputs on sanitation for EDCL were appointed consultants to carry out the communication to MCM; Sanitation Situation Analysis and to facilitate the * jointly develop an action plan on sanitation; Sanitation Consultation. and build consensus and solicit commitment to the Situation Analysis action plan from all concerned. Based on the multi4evel matrix methodology and Using the multi-level matrix methodology, a lit- the Systematic, Integrated, and Strategic Approach erature review was used to define the components (SISA), the consultation included the following dis- of sanitation. These included five categories; sew- tinct components: 9 the following facts: Short introductory addresses to legitimize the consultation and presentation of a situation . None of the wastewater generated by analysis in three portions oddressing institutional Mombasa receives treatment before direct issues, technical issues, and community disposal into the sea. participotion issues. Field visits were included * Only 10 percent of Mombasa's residents are as a port of the situotion awareness creation. connected to waterborne sewers while 16 The objective of this session and the field visits percent rely on septic tanks and 74 percent on was to level the playing field for stakeholder pit latrines. discussions. * Only 20 to 40 percent of solid waste generated daily is collected by MCM. * An interactive plenary session aimed at * Only half the roads in Mombasa have involving the stakeholders in identifying engineered drainage but this is blocked or common interests, areas of conflict, domoged in many areas. identification of stakeholders, and their roles . The proportion of Mombasa residents living in and responsibilities. During this stage, the congested and low-income area is on the discussions were guided by the use of a increase as is the mushrooming of informal stakeholder matrix and a participation matrix. settlements. * In the next session, the participants were The sanitation stakeholders consultation for divided into three groups as follows: Mombasa resulted in: Group 1 - sewage . the identification and involvement of Group 2 - sullage and stormwater stakeholders; Group 3 - solid and hazardous wastes * a Sanitation Action Plan for Mombasa; and * The groups were given clear guidelines on * follow-up to the oction plan which was officially identifying practical actions based on handed over to the Mayor of Mombasa for sustainable institutional, technical and endorsement by the Council. technological practices, stakeholder involvement and resources, finance and cost Follow-up recovery arrangements. A template consisting of a problem analysis matrix was used to guide As an immediate follow-up to the sanitation these group sessions. stakeholders consultation, q stokeholder commit- tee was formed that finalized the sanitation action * In the penultimate session, the participants plan. Proceedings of the consultation were distrib- resumed the plenary arrangements to integrate uted within a month of the consultation and a "mini- their group findings into a single output consultation" organized in September 1997 to reflecting the overall stakeholder vision on obtain final stakeholder inputs to the action plan. sanitation for Mombasa. During the course of the situation analysis and * The final session was devoted to drawing up a prior to the sanitation consultation itself, a World draft sanitation action plan which was handed Bank Mission took place from May 28 to June 10, over to the Mayor of Mombasa for his Council's -1.997 to study the Second Mombasa Water Sup- endorsement and follow-up. ply and Sanitation Project. It was on that occasion recognized that sewerage and sanitation condi- * Due to time limitations, it was not possible to tions in Mombasa were very poor and any addi- get feedback from the stakeholders on the draft tional water to Mombasa would aggravate this situ- action plan. It was therefore agreed that the ation unless interventions were made to address consultation would be followed up by the this situation. It was therefore agreed that the then meeting of a selected committee to finalize the proposed Mombasa Water Supply and Sanitation action plan which would then be distributed to Project which was in its preparatory stages should all stakeholders and a follow-up half day include, not only rehabilitation and restoration of consultation held to ensure final inputs by the existing sewerage and sanitation facilities, but also stakeholders. rehabilitating the existing public toilets and re-ex- amining various sustainable options of operating Outputs and manoging public toilets, solid waste and storm drainage. The sanitation situation analysis was one of the outputs of the consultative process. It highlighted 10 Recognizing that MCM had already established tation had the direct impact of identifying the sub- a Water and Sanitation sub-committee under PRIM components of the ES project which will include a and PAMNUP, it was agreed that this committee sanitation furid for latrines in traditional and infor- should be encouraged to address the town's sani- mal settlements, public toilets for private operation tation problems. It was also recommended that the in congested areas, latrines for institutions, local technical assistance provided to MCM by RWSG- drains in traditional and informal settlements, wa- ESA should be utilized to support a situation analy- ter points, alternative safe water sources in areas sis and a systematic and comprehensive sanitation not covered by reticulation and local solid waste stakeholder consultation with a view to clarifying collection in informal settlements. The sanitation the capacity and commitment to action at all lev- fund will also include a component for capacity els. The situation analysis was carried out between building and implementation overheads. MCM is May and July 1997 when the sanitation stakeholder now in the process of drawing up a detailed project consultation was held. 4 implementation- plan for the UES project. Also, as a direct consequence of follow-up assistance from As a consequence of the consultation, an Ur- RWSG-ESA, MCM has been able to articulate a ban Environmentai Sanitation (UES) component sanitation strategy for Mombasa Municipality. covering congested and low income areas was introduced into the Mombasa Water Supply and Figure 2 shows details of the other windows Sanitation Project in November 1997. The consul- opened up for action through the sanitation stakeholder consultation. FIGURE 2. EVOLUTION OF WINDOWS FOR ACTION THROUGH THE POVERTY REDUCTION INITIATIVE FOR MOMBASA (PRIM) POVERTY REDUCTION CONSULTATION INFRASTRUCTURE EMPLOYMENT AND SOCIAL COORDINATION INCOME GENERATION INTEGRATION Land and Waler and Heolih Education Support to Community Prsie nector Regulation Monagement Sheltr Sonikation microenerprises participonon partnerships coordinaaon and evaluoaion Wader Sonlibhon Sewage SUN-ge Slormnwler Solied wob Industrial and hazardous wasts 11 6. Findings of the Stakeholder Consultations The consultation process as operationalized in The recommended methods of information col- Mombasa shows that it is possible to constructively lection, capacity building, consultation organiza- involve stakeholders in planning. If structured prop- tion, stakeholder participation and rapid follow-up erly, such a process can be replicoted. The proc- have been fully covered on pages 5 and 6 above. ess, however, will not lead to expected outputs A point that needs to be highlighted is the need to unless its components are clearly defined and par- more fully involve the private sector than was the ticipating stakeholders identified in a systematic case during the consultations referred to in this docu- and transparent manner. For example, the PAMNUP ment. It is in pursuit of a clearer role in sanitation project which immediotely followed the Poverty activities for the private sector that MCM is cur- Reduction Consultation, while basing the scope of rently developing an integrated sanitation strategy its activities on the Poverty Reduction Action Plan, for the whole of Mombasa. MCM hopes to target did not come up with a clear stakeholder identifi- the private sector through specific consultations. cation and involvement mechanism. The project also tried to address poverty directly at the community Under this strategy, MCM is also looking to level, with no tangible outputs. The interest and operationalize demand-driven service delivery. De- commitment generated through consultation began mand articulation mechanisms, sustainable serv- to be dissipated because of failure to rapidly im- ice delivery and cost recovery will be the main plement the PAMNUP project. areas that will be addressed in the next phase of the strategy. On the other hand, the sanitation consultation which systematically followed on from the poverty MCM has built consi"derable capacity in consultation resulted in a clear and measurable operationalizing the stakeholder consultation proc- action plan from which it is possible to derive a ess described above, and it is hoped that the Coun- detailed draft implementation plan for the Environ- cil's experiences will serve as a useful example to mental Sanitation component of the proposed other local authorities in Kenya and beyond. Mombasa Water Supply and Sanitation Project. 12 S3X3NNV Al The Urban Poverty Reduction Consultation 1. Background Research and UMP was used as a basis for the poverty profile Review and background paper for the consultation. The background paper was carefully structured for pres- Background research had already been car- entation in three parts and set the stage for discus- ried out on poverty reduction modeling for the sions at the poverty reduction consultation. Kibera informal settlement. The poverty reduction consultation for Mombasa began with the dissemi- 3. Preliminary Capacity nation of this research to MCM and its positive Building response to developing capacity and the drawing up of an agenda for poverty reduction. Areas of MCM led the poverty reduction consultation for concern identified by MCM included: Mombasa and was the main target for the prelimi- nary capacity building. This was carried out in Employment generation and creation for the two distinct steps. First, the Council was asked to urban poor; identify departments that would be involved in Improved access to basic services by the poor; poverty reduction. This set the basis for inter-de- Improved living conditions for the vulnerable partmental collaboration. Next the Council was residents; asked to provide a representative core group of Conservation and improvement of the natural personnel from all these departments to assist with environment; and data collection and identification of other Community participation and development of stakeholders and on-goingactivities for the back- collaborative mechanisms. ground paper. This created a core group with ca- pacity for poverty reduction action in MCM and 2. Poverty Profile set the stage for inter-institutional collaboration. When this data collection stage was complete, a Existing information on poverty in Mombasa one day workshop was held with this core group. was limited and the first step was to carry out a The objective of the workshop was to establish a poverty assessment for Mombasa. With technical consultative procedure for the main consultation assistance from UMP, EDCL were appointed to pre- and enable MCM to lead the actual poverty con- pare a poverty profile and facilitate the poverty sultation. reduction consultation for Mombasa. As this was the first application of the structured consultative approach, a flexible attitude was adopted and the 4. The Poverty Reduction structure modified as required. Using the multi-level Consultation matrix methodology, three areas were identified for discussion at the poverty reduction consultation. The consultation was structured to meet the fol- These comprised: lowing objectives: * Infrastructure * Involve all stakeholders in improving their living * Employment and income generating activities environment through a joint poverty reduction * Social integration action plan. * Solicit commitment of all stakeholders to this For each of these concerns, related issues, con- action plan straints and opportunities were identified. A paper a Create a mechanism through which entitled 'A Framework for Action at the Municipal stakeholders become partners in improving their Level under the Policy Program: Options for Urban living environment. .* Poverty Reduction' (UNCHS, 1996) prepared by 14 During the poverty analysis, stakeholders and could proceed immediately ofter the on-going activities related to poverty reduction were consultation, short-term actions which could be identified. To ensure thot each stakeholder would carried out in less than two years and, finally, be adequately represented within the framework medium to long-term actions likely to take of the consultation, these stakeholders were invited between 2 and 5 years. Emphasis was also to provide information about their activities for in- given to activities that would require minimum clusion in the poverty profile. At the same time, outside support. The participants were also their credentials were added to the preliminary list asked to identify the stakeholders who would of consultation participants. The consultation was carry out the necessary actions. This served to also widely publicized in the local papers. The fi- create awareness among the participants that nal attendance for the consultation was set at 80 MCM was not the only stakeholder due for participants but, in fact, 170 participants actually criticism and that they were also responsible registered and attended this event. for the situation. Secondly, by insisting on the ranking of the actions, the stakeholders began The multi-level matrix method was used to de- to appreciate that much could be done without velop a systematic structure for this event. This struc- any external assistance. By the end of this ture included short introductory addresses by the session, stakeholders began to show a Mayor of Mombasa Municipality, the Provincial willingness to become involved in the Commissioner and the District Commissioner to le- implementation of the action plan. gitimize the consultation through the dual adminis- tration of Mombasa (The Municipality and the Dis- . A draft of the action plan was prepared in the trict share the some boundaries). This was quickly final session and was endorsed by the followed by presentation of the background pa- participants as their own poverty reduction per. Within the first.two hours, the stage was set action plan. It was then handed over to the for extensive discussions and consultations with the Mayor of Mombosa for follow-up and objective of involving stakeholders in poverty re- implementation. duction actions. These discussions were structured as follows: 5. Outputs * The participants met in a short interactive A poverty profile in the form of a background plenary session in which they were asked to paper was one of the outputs of the consultative define their role in poverty reduction, to state process. It highlighted areas for action and identi- what constraints they encountered and to state fied the following target populations: what assistance they required to allow them to contribute more. This session ended up in strong * Those living in congested and low income areas criticismofMCM whichwasaccusedoffailing in overcrowded, poorly serviced and to provide basic services to Mombasa residents. temporary, even unsafe, housing structures. * Pockets of the poor living in formal parts of * In the next session, the participants were Mombasa side by side with the high and middle divided into three groups to discuss ways of income groups. improving infrastructure, employment and . The new poor such as migrants and the income generation and social integration homeless. respectively. The groups were chaired by selected participants and moderated by neutral The direct outputs of the Poverty Reduction parties, mostly from UMP, and the consultant. Consultation for Mombasa included: The groups were given clear guidelines on expected outputs. These included emphasis on . identification and involvement of stakeholders identifying poverty reduction actions that would in poverty reduction planning; focus on achievable, practical and sustainable * a stakeholder poverty reduction action plan for actions. Mombasa; and * presentation of the action plan to the Mayor of * In the third session the plenary arrangement Mombasa for endorsement by the Council and was resumed to create interaction between the subsequent implementation. groups and to integrate their findings into a single output. Each group was asked to present 6. Follow-up the group report and extensive discussions were allowed on each group's findings before Figure 2 details windows opened up for action drawing up a final list of the proposed through the poverty reduction consultation. One interventions. The participants were then asked of the major areas of concern was poor sanitation to rank the interventions in terms of actions that facilities. It was recommended that by-laws on VIP 15 latrines be relaxed, solid waste collection services set up to coordinate the Poverty Reduction Initio- be privatized, community-based solid waste col- tive for Mombasa (PRIM). The first follow-up action lection be encouraged, public toilets be repos- carried out with further technical support from UMP sessed, rehabilitated and privatized and recycling was a follow-up workshop on the poverty reduc- and composting of solid waste be promoted. Other tion consultation, held at the Bamburi Beach Hotel areas of concern were poor water supplies, infor- in September 1 996. The objective of the work- mal settlements and building codes, land-use plan- shop was to translate the poverty reduction action ning and management, outreach community health plan into a detailed implementotion plan. MCM services, education needs of the poor, training and undertook the organization of this workshop and support to micro-entrepreneurs and social ills in- Matrix Development Consultants (MDC) were asked cluding abandoned Aids orphans, drug addiction, to moderate this event and produce the poverty unemployment and scavenging by street children. reduction implementation plan together with an interim steering committee. Unfortunately, the out- Immediately after the consultation, an interim put from this workshop had to be extensively re- steering committee representing stakeholders was vised. A typical slum environment in major towns: Sonitation is poor and the environment is degroded. 16 A2 The PAMNUP Project Introduction Institutional Appraisal and Arrangements Independent of the Poverty Reduction Consul- tation Initiative, DflD initiated a scoping study to An institutional appraisal of the MCM as well establish the extent of poverty in five Municipali- as of key NGOs was, undertaken. MCM was rec- ties in Kenya of which Mombasa was one. This ognized as having two major roles in implement- resulted in the Partnerships Approach to Meeting ing PAMNUP: Firstly, as a coordination mechanism Needs of the Urban Poor (PAMNUP) project for and secondly, to implement specific components Kenya. Drawing on the poverty reduction action of the project. Several NGOs were appraised and plan and the scoping study, DflD expressed an ir- identified as suitable partners for the PAMNUP terest in working with Mombasa through the project. PAMNUP will introduce two institutional PAMNUP project. In a radical departure from the innovations. The first will be to institutionalize part- consultative approach, DflD decided to directly nership between organizations so as to create support MCM to plan the PAMNUP project using synergy. Secondly, through the process approoch, a process approach and in January, 1997, aP- the program will become responsive to the needs pointed MDC to assist Mombasa to prepare the and requests as they arise within established pa- implementation plan for the PAMNUP project. rameters. The assumption is that if this is achieved and becomes a routine way of working, then sig- To begin with, DflD assisted MCM to train some nificant steps will have been taken towards officers to build capacity in use of participatory sustainability. urban appraisal (PUA) methods. The final output from. MDC planning, was submitted to DflD in the Financial Appraisal and form of a proposal from the Mombosa stakeholders Arrangements in poverty reduction. The following are key fea- tures of the PAMNUP proposals prepared by MDC The overall objective of the funding under for Mombasa. PAMNUP is to reduce poverty in the targeted ar- The Process Approach eas. To achieve this, two alternative financing PP The Poces Appoachmechanisms were identified.. These included a project fund within the Council or an independent PAMNUP seeks to introduce an approach based trust fund with specific project town-based trustees. on partnership between key stakeholders in the Mu- To ensure transparency and accountability, it is pro- nicipality. The process approach which allows for posed that an independent trust fund be established input by communities throughout the project life for the PAMNUP project. consists of five elements: * The arrangements for PAMNUP in respect of * enabling stakeholders to work in partnership financial management, disbursement of funds, ac- to address poverty; counting and auditing procedures comprise: * community participation and action planning; * supporting work of existing initiatives; * the Trustees for the independent trust fund will * supporting implementing agencies through be appointed by DfID and the steering capacity building; and committee; * assisting with supportive policy formulation, * the steering committee will ensure that the particularly at Municipal level. overall direction of the project remains in line with the policy and priorities of both 17 governments and will assess the overall sub-committees and is chaired by the Director of development impact of the project activities. The Social Services and Housing (MCM). steering committee will approve budgets for PAMNUP activities and recommend project A full work plan is yet to be drawn up but it will expenditures; and comprise the first phase of implementation which a project coordination unit will be established is expected to take 6 months. This will include pro- to coordinate PAMNUP activities with assistance gram launch, establishment of the project coordi- from the steering committee, sector based sub- nation unit, agreement of terms of reference for committees and a technical committee. staff and Councilors training. The proposal con- tains details of the main poverty reduction activi- While the costs are preliminary and incomplete ties that will be undertaken. These include commu- at this stage, it is estimated that the total project nity involvement and strengthening, improved wa- inputs will be in the order of Kshs. 543 million. The ter supplies, sanitation and solid waste collection, project will be financed by DflD grants, MCM sup- income generation, education and health related port in kind, contributions of communities through activities. These correlate well with the poverty re- local organizations and other donor agencies. duction action plan. Contracting and procurement arrangements for goods and services will be devised by DflD. De- Community participation and action planning tailed accounting and audit arrangements have also been identified. Accounting will be the responsi- Four main informal settlements that house the bility of the steering committee and the trustees. majority of the poor have been identified under Audits will be carried out by an independent firm PAMNUP. Selected communities will be guided selected by the steering committee. through a participatory process involving data col- lection, identification and prioritizing of needs and Capacity Building Arrangements planning technically, socially and financially feasi- ble interventions. Community development spe- MCM will undertake coordination and imple- cialists attached to one of the agencies in Mom- mentation of specific project components. Some basa supported by technical specialists will be in- capacity building support will be provided through volved in this process. Details about the selection PAMNUP. NGOs having pre-planned activities of communities are not yet available. under PAMNUP and communities will be other part- ners. Capacity limitations have been identified in Supporting Pre-planned MCM and in some NGOs through an institutional Components analysis. PAMNUP will attempt to assist MCM and some NGOs to develop capacity to assist the poor. The PAMNUP project will support a number of It is also anticipated that capacity will be built in pre-planned projects through existing agencies and MCM, NGOs and communities through peer ex- train NGOs and MCM. These proposals will be change visits. subject to preliminary review while other agencies will be encouraged to submit proposals. Implementation Arrangements Policy Support Through the PAMNUP planning process, the interim steering committee has been formalized to- An analysis undertaken during the planning gether with supporting sectoral sub-committees and identified a number of policy impediments to pov- the technical committee. Sector based working sub- erty interventions. The main weaknesses were at committees include the health, water and sanita- the Municipal level and included a weak regula- tion, education, income generating activities and tory framework for small businesses, inappropri- community participation committees. The technical ate building codes, and lack of policy concerning committee consists of the convenors of the sector urban growth in informal settlements. 1 . 18 I I I I~~~~~~~~~ S |~~ 0- l S 011 | a l | - 3 m'˝ I | L>r, o SE't