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GOVERNANCE TRAINING MANUAL

SUPPLY CHAIN PROGRAMME

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How to use this Manual

This Training Manual was designed for WASH supply chain players in servicing

communities in rural areas in accessing Wash products. It is a tool that equips NAC,

DWWSC, PWSSC and VWSSC under the WASH supply chain Programme implemented

by SNV.

Prepared By:

This guide was prepared by the SNV (Netherlands Development Organisation) Water

Supply and Sanitation Programme, supply chain management with facilitation support from

the National Action Committee (NAC) and PWSSC for Masvingo and Midlands , for use by

the institutions and organisations involved in the supply chain of water and sanitation sector

in Zimbabwe. The National Action Committee is an inter-ministerial committee tasked with

the responsibility of coordinating and mobilizing resources for the development of water

and sanitation facilities in rural areas of Zimbabwe including the resettlement areas.

SNV is a Zimbabwean non-profit organisation aiming to build capacity in the water and

sanitation sector through training, research, information dissemination and consultancy

services.

This document was compiled in 2014 with the facilitation of Wellington Hazangwi of

Skymail Investment (consultants), D Madzingamire for SNV and Ringisai Chikohomero

(consultant)

Acknowledgement

The documentation team would like to thank the National Action Committee for Rural

Water Supply and Sanitation Development, for making this documentation possible.

Special thanks go to SNV for their support and guidance. We would also like to thank all

those people who were involved in the drafting of the manual

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Objectives of the Supply chain Training Manual for WASH.

Through this training programme SNV will achieve the following immediate objectives in

Zimbabwe:

o To improve capacities of actors in the WASH value chains.

o To improve the relationship of actors in the supply chain

o To improve accountability.

o To increase planning capabilities.

MINISTERIAL/DEPARTMENTAL ROLES & RESPONSIBILITIES

o What are the roles of the District Water Supply and Sanitation Subcommittee

(DWSSC)

o To what extent have we been fulfilling our collective roles; what are the challenges

and what are we doing about them.

Objective o To co-ordinate planning and assist in the management of rural water supply and

sanitation activities in the District.

Membership o The committee shall comprise all relevant sector agencies represented in the district.

o The sub-committee has the power to co-opt representatives from NGOs involved in

water supply and sanitation project implementation in the District, and other

members as required.

Reporting to o The sub-committee reports to a committee of Council responsible for water and

sanitation service provision and to the Provincial Water and Sanitation

Subcommittee

TOR of DWSSC

Co-ordinate and monitor the activities of all agencies involved in the IRWSSP

implementation in the District, including NGOs.

o Ensure that planning and implementation of District rural water supply and

sanitation projects are in accordance with Provincial and National policies and

procedures.

o Co-ordinate the preparation of District plans for rural water supply and sanitation

development.

o Co-ordinate the preparation of District plans for rural water supply and sanitation

development.

o Periodic monitoring of project activities

o Regularly reports to appropriate Provincial authorities on District progress in water

and sanitation projects

o Co-ordinate the maintenance of updated inventories of all water and sanitation

facilities in the District

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Overview of a supply chain

An overview of the operational system which was used in piloting the WASH Supply Chains is given to the

participants. This system is depicted in the diagram below

WASH SUPPLY MODEL

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Contents

HOW TO USE THIS MANUAL .......................................................................................................................... 2

OBJECTIVES OF THE SUPPLY CHAIN TRAINING MANUAL FOR WASH. ............................................................. 3

OVERVIEW OF A SUPPLY CHAIN ..................................................................................................................... 4

UNIT 1 . .. ................................................................................................................................................. 7

WASH GOVERNANCE. .................................................................................................................................... 7

1.1 INTRODUCTION: .............................................................................................................................................. 7 1.2 ELEMENTS OF GOVERNANCE .............................................................................................................................. 7 1.3 LOCAL GOVERNANCE ........................................................................................................................................ 8 1.4 ROLE OF DWSSC IN LOCAL WASH GOVERNANCE ................................................................................................. 9 1.5 WASH GOVERNANCE DIMENSIONS ................................................................................................................. 109 1.6 COMPONENTS OF WASH GOVERNANCE: ........................................................................................................... 10 1.7 PRINCIPLES OF EFFECTIVE WASH GOVERNANCE .................................................................................................. 10 1.8 ENABLERS FOR EFFECTIVE WASH GOVERNANCE .................................................................................................. 11 1.9 STRENGTHENING ACCOUNTABILITY AND TRANSPARENCY IN INSTITUTIONS: ................................................................ 12

UNIT 2 . .................................................................................................................................................. 14

WASH SUSTAINABILITY . ............................................................................................................................ 14

UNIT 3 . .................................................................................................................................................. 16

TRANSPARENCY AND ACCOUNTABILLITY IN WASH . ................................................................................. 16

3.1 TRANSPARENCY AND ACCOUNTABILITY IN WASH ................................................................................................ 16 3.2 KEY CONCEPTS .............................................................................................................................................. 16 3.3 THE PUBLIC SERVICE ACCOUNTABILITY ................................................................................................................ 17 3.4 STRATEGIES FOR STRENGTHENING ACCOUNTABILITY .............................................................................................. 17

UNIT 4 . .................................................................................................................................................. 21

PUBLIC PRIVATE PARTNERSHIPS ............................................................................................................... 21

4.1 PUBLIC PRIVATE PARTNERSHIP ......................................................................................................................... 21 4.3 WHAT TO CONSIDER WHEN CHOOSING A PPP MODEL ........................................................................................... 22 4.4. PROS AND CONS OF PPPS .............................................................................................................................. 23

UNIT 5 . .................................................................................................................................................. 25

PROJECT MANAGEMENT . ......................................................................................................................... 25

1.1 MANAGEMENT ....................................................................................................................................... 25 1.1.2 INTRODUCTION: WHAT IS MANAGEMENT? ..................................................................................................... 25 WHO IS INVOLVED IN MANAGEMENT? .................................................................................................................... 26 BASIC MANAGERIAL SKILLS .................................................................................................................................... 26 ASPECTS OF POOR MANAGEMENT .......................................................................................................................... 26 1.2 PROJECT MANAGEMENT ................................................................................................................................. 27

1.2.1 Introduction to project management ................................................................................................ 27 1.2.2 Project Management Objectives ....................................................................................................... 28

1.3 PROJECT MANAGEMENT LIFE CYCLE .................................................................................................................. 28 1.3.2 PROJECT INITIATION .................................................................................................................................... 28

1.3.3 Project Planning ................................................................................................................................ 29 1.3.4 Monitoring and Evaluation ................................................................................................................ 32

UNIT 6 . .............................................................................................................................................. 3433

MONITORING AND EVALUATION . ........................................................................................................ 3433

UNIT 7 .............................................................................................................................. .............

3437

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COMMUNITY BASED MANAGEMENT . .................................................................................................. 3837

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UNIT 1 . ..

WASH GOVERNANCE.

OBJECTIVE: TO ENABLE YOU APPRECIATE INTERACTIONS, RELATIONSHIPS AND

NETWORKS BETWEEN THE DIFFERENT SECTORS (GOVERNMENT, PUBLIC SECTOR,

PRIVATE SECTOR AND CIVIL SOCIETY) INVOLVED IN SERVICE DELIVERY.

WASH governance

1.1 Introduction:

Governance is a very broad concept with many definitions. However there are some

salient issues that are recurrent in many definitions and the points below try to capture

the depth of the concept.

Governance is about the processes by which decisions are made and

implemented.

It is the result of interactions, relationships and networks between the different

sectors (government, public sector, private sector and civil society) involved in

service delivery.

It involves decisions, negotiation, and different power relations between

stakeholders to determine who gets what, when and how.

Governance includes more actors than just the government; many stakeholders

are involved.

All those with a legitimate interest in the outcome of a decision-making process

could be involved; but who, and how powerful they are will determine how they

are able to influence the outcomes of any decision.

Stakeholders include users, governmental organisations (such as municipalities),

utilities, service providers, NGOs, financiers, and civil society.

1.2 Elements of governance

Governance is embodied in the following elements

• Policy development.

• Primary and secondary legislation.

• Regulation and monitoring.

• Planning.

• Decision-making.

• Control: monitoring, policing, enforcement and sanctioning.

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1.3 Local governance

Local governance comprises a set of institutions, mechanisms and processes through

which citizens and their groups can articulate their interests and needs, mediate their

differences, and exercise their rights and obligations at the local level. The building

blocks of good local governance are many: citizen participation, partnerships among

key actors at the local level, capacity of local actors across all sectors, multiple flows of

information, institutions of accountability, and a pro‐poor orientation (UNDP 2004).

Local governance emphasises the need to look beyond the narrow perspective of legal

frameworks and local government entities. It seeks to include the multiplicity of formal

and informal relationships between different actors in development (e.g. local

government, the private sector, associations, de‐concentrated agencies, CSOs) that

shape and influence the output and effectiveness of political and administrative systems

at a sub‐national level. There is a large degree of synergy and coherence between

supporting national governance processes and local governance, as many of the

aspects are in fact the same. Therefore, it is necessary to work with governance

principles at local levels to strengthen local governance processes.

Requirements for good local governance

National Framework:

constitutional, policy, legislative

and fiscal environment

Enabling policy

frameworks

Mechanisms for participation, responsiveness, equity,

inclusiveness, transparency, and accountability

Collaborative stakeholder relationships

Participatory decision making

processes

Inclusive implementation

processes

Efficient, effective and responsive

services

Good local governance

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FIG1.2. Roles of DWSSC

Adapted from WASH and Sanitation Program: Building the Capacity of Local Government Role and Functions of Local Government to Implement TSSM

1.4 Role of DWSSC in Local WASH governance

WASH governance are the systems that controls decision-making with regard to WASH

management and WASH service delivery; WASH governance is about who gets what

WASH, when and how. There is a profoundly political element to WASH governance,

particularly in areas where there is competition for limited WASH resources. As a result,

systems of WASH governance usually reflect the political and cultural realities at

national, provincial and local levels.

Mismanagement of WASH is often characterised by lack of adequate WASH institutions,

conflicting and competing interests amongst WASH users and weak decision making

structures, a fragmented management approach that deals with sectors in silos, lack of

mechanisms for public participation, and poor implementation of WASH policies, laws

and regulations. In a situation where the requirements for WASH are greater than the

available WASH, there are no transparent strategies for WASH allocation to achieve

equity and sustainable WASH development.

DWSSC

Coordination

Strategy and

planning

Advocacy and promotion

Capacity

building Monitoring and evaluation

Regulation

Supervision

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More effective WASH governance needs to start with good policy and legislative

frameworks that protect resources against over exploitation. Institutions for WASH

management must facilitate participation by all WASH users in a climate of trust, where

there is joint responsibility for protecting and controlling WASH facilities resources in an

open and transparent manner.

WASH governance systems are critical to achieving sustainable development,

particularly since WASH is key to development. WASH governance needs to achieve a

balance between socioeconomic development and ecological sustainability. This

requires the right mix of stakeholders, informed decision making, and an environment

where WASH laws and regulations are enforced.

1.5 WASH governance dimensions The social dimension refers to the equitable use of WASH resources.

The economic dimension informs on efficient use of WASH resources and the

role of WASH in overall economic growth.

The political empowerment dimension points to granting WASH stakeholders and

citizens at large equal opportunities to influence and monitor democratic political

processes and outcomes.

The environmental sustainability dimension shows that improved governance

allows for more sustainable use of WASH resources to maintain ecosystems.

Effective WASH governance will seek to strike balance on the four dimensions

1.6 Components of WASH governance:

Policy and legislative frameworks that protect WASH resources and ensure

WASH for social and economic development.

Institutions for WASH management that facilitate participation of all

stakeholders in a transparent and accountable way.

Decision-making mechanisms and regulations that achieve responsible use of

political power, optimal use of resources, sustainable development and

ecological sustainability.

1.7 Principles of effective WASH governance

Transparency

Transparency comprises all means to facilitate citizens’ access to information

and their understanding of decision-making mechanisms.

Guaranteeing transparency, integrity and accountability in IWRM is fundamental

to creating a peaceful and secure management structure for its implementation.

Accountability

Good governance and sound institutions play a huge role to promote accountability.

Accountability means an individual or institution must answer for their own actions. It

requires that citizens, civil society organisations and the private sector are able to

scrutinise actions taken and decisions made by leaders, public institutions and

governments and hold them answerable for what they have, or have not, done.

Participation

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Participation implies that all stakeholders, including marginalised and resource

poor groups, are meaningfully involved in deciding how WASH is used,

protected, managed or allocated.

IWRM can only be successful if all stakeholders can become meaningfully

involved, including marginalised and resource-poor groups.

Governments should support the participation of all

Legislation needs to not only grant communities and other stakeholders a right

to become involved in the WASH management process, but should also

encourage their participation in statutory institutions through incentives and

grant free access to information.

This can enable a deeper understanding of WASH governance among the public.

Responsiveness

Responsiveness refers to how well leaders and public organisations take the

needs of citizens into account and are able to uphold their rights.

A WASH governance agenda addressing responsiveness could include the

following components: human rights, gender equity, pro-poor policies,

anticorruption, integrity and regulatory equality.

1.8 Enablers for effective WASH governance

Effective governance of WASH resources and services requires broader and well-

organised participation by civil society, including the media. Governments cannot solve

these problems working alone. Working with civil society, which may include the local

private sector, is essential.

To achieve more effective WASH governance it is necessary to create an enabling

environment, which facilitates private and public sector initiatives that fit within the

social, economic and cultural setting of the society. There is no single model for

competent WASH governance. There are, however, some basic principles and desirable

features that facilitate improved performance shown below.3

An enabling environment for effective WASH governance is:

Open and transparent:

Institutions should work in an open manner;

Use easy and understandable language to nurture trust and confidence of the

public in the bureaucratic structures, which are inherent to WASH institutions;

All policy decisions should be taken in a transparent manner so that both

insiders and outsiders can easily follow the decision-making procedure.

Inclusive and communicative:

The quality, relevance and effectiveness of government policies depend on their

ability to ensure wide participation throughout the policy chain, from planning to

ongoing service delivery;

Improved participation means better results and better governance.

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Coherent and integrative:

Dialogue is needed both horizontally between stakeholders at the same level

(e.g. inter-sectoral collaboration), and vertically between stakeholders at

community, district, basin and national levels;

WASH-related institutions need to consider all uses and users within the

traditional WASH sector and their impact upon all other potential interconnected

users and sectors;

Political leadership and institutional responsibility at all levels are the basic

ingredients of a consistent approach within a complex system.

Equitable and ethical:

Equity between and among the various interest groups, stakeholders, and

consumer-voters should be assured throughout the process of policy

development and implementation;

It is essential that WASH governance has to be strongly based upon the ethical

principles of the society in which it functions and based on the rule of law;

Legal and regulatory frameworks should be fair and enforced impartially.

Accountable:

Decision-makers and service providers need to take responsibility for their

decisions and services;

Accountability is needed from all stakeholders involved in policy and decision-

making processes;

Decision-makers in government, the private sector and civil society

organisations are accountable to the public, as well as to institutional

stakeholders; efficient:

All types of efficiencies should be considered: economic, political, social, and

environmental. responsive:

Responsiveness requires that policies are implemented in a proportionate

manner and decisions are taken at the most appropriate level;

It is important that policies should be incentive-based to ensure a clear social or

economic gain to be achieved by following the policy;

The institutions should also be built considering long-term sustainability to serve

both present and future users of WASH resources and WASH services.

Sustainability:

• The institutions should also be built considering long-term sustainability to serve

both present and future users of WASH resources and WASH services.

1.9 Strengthening accountability and transparency in institutions:

• WASH sector institutions generally function independently and rarely operate in

coordination with one another. Awareness raising and capacity building is needed within

these institutions so that they can work together more effectively to achieve their joint

vision and objectives for equitable, sustainable and effective WASH management and

service delivery.• All institutions need mechanisms and systems to enable the voice of

citizens/ users to be taken into account in the planning, allocation, regulation,

management and provision of WASH resources and WASH services.

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• Effective WASH governance is crucial for the implementation of IWRM. Problems

in management and governance go beyond technical challenges. Often, institutional

reform is needed to create the correct policies, viable political institutions, workable

financing arrangements, and self-governing and self-supporting local systems.

Institutions are frequently rooted in a centralised structure with fragmented subsector

approaches to WASH management. Local institutions many times lack capacity. As a

result, political leaders lack awareness on WASH issues and assign them low priority.

• Clarifying clear and separate roles and responsibilities between and within

institutions is a key aspect of WASH sector reforms. These reforms have the potential

to help prevent corruption, but could also make matters worse if mis-handled. New

organisations and new interfaces between organisations can create new opportunities

for corruption to emerge. Regulators are key and these are becoming more widespread.

However, a good regulatory framework does not necessarily mean good regulation. A

clear distinction between the functions of government, for example, as a provider of

services and as a regulator to ensure those services are properly delivered is important.

However, effective regulation systems requires both the capacity to regulate and

political will to ensure compliance. Weak regulation results in poor performance, poor

management, malpractices and inefficient services.

• WASH services providers should be monitored by WASH services authorities,

such as local government and regulators. If these roles become blurred, corruption can

arise.

Table 1 Legal Documents and Policy Framework

1. WASH policy

2. WASH by laws

3. A WASH and sanitation services development plan

4. Targets for meeting the WASH and sanitation MDGs

5. A WASH budget

6. A WASH monitoring and/or reporting system

7. Contracts / agreements / arrangements with WASH and sanitation service

providers

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UNIT 2 .

WASH SUSTAINABILITY .

OBJECTIVE: IMPROVE THE UNDERSTANDING OF DWSSC MEMBERS OF SUSTAINABILITY

AND TO IDENTIFY WHAT IS NEEDED TO MAKE WASH INTERVENTIONS SUSTAINABLE.

2.1 THE CONCEPT OF SUSTAINABILITY

Introduction:

Sustainability has become the clarion call for any development intervention world over.

The idea that any intervention should live longer than the project cycle has gained

much ground and interest to policy makers, development planners and even

beneficiaries. This session aims to get participants thinking about what a sustainable

WASH interventions really means.

Concept Definitions

We follow the definition of Abrams (1998) describing sustainability as: ’whether or not

something continues to work overtime‘, meaning, in this case, the indefinite provision

of a water service (with certain agreed characteristics) over time.

Table 2: Sustainability

Sustainability Factor Sustainability Qualifiers

Policy Context

Policy does not dictate

management arrangements

Capacity is sufficient to implement

relevant policies

Donor practices promote local

procurement and/or production

Government attitudes and practices

do not hinder indigenous private

sector participation

Management and institutional

arrangements

Institutional support for community

management is budgeted and

provided for

Private sector alternatives to

community

management are investigated and

promoted

Government capacity is sufficient to

fulfil regulatory and monitoring

roles

External support is minimized and

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Financial Issues implementation strategies include

self-supply

Sustainable subsidies are

developed to serve the poorest and

most vulnerable

Transparency and accountability

measures are in place for financial

management bodies (Government

and non-governmental)

Realistic cost-recovery targets are

clearly defined and water tariffs set

accordingly

Sustainable community financing

strategies are provided

Community and Social Aspects Communities are presented with a

range of management models to

choose from

Demand is stimulated based on a

wide range of community needs

(i.e. not just health)

Community cohesion is not

assumed and heterogeneity is

recognised as appropriate

Differing levels of poverty are

recognized and targeted subsidies

developed where needed

Technology Appropriate technology choice is

promoted, especially that which is

closest to the user

Flexibility in technology options is

available and communities have a

real choice

There is limited or no importation

of specialist equipment

Private sector capacity is developed

for drilling and development

Environment Groundwater monitoring systems

are in place for water quality and

quantity

Government regulation and

monitoring of private sector

operators and water resources

occurs

Supply Chains Supply chains for spare parts are

linked with manufacturing,

technical services and/or pump

sales

Indigenous private sector

development is promoted with

realistic incentives

Non-profit sector support is utilised

where no other options are

commercially viable

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UNIT 3 .

TRANSPARENCY AND ACCOUNTABILLITY IN WASH .

OBJECTIVE: TO ENABLE CLEAR TRANSPARENCY AND ACCOUNTABILITY

MECHANISMS IN PLACE WITH THE PUBLIC AS IT CONTRIBUTE TO GOOD GOVERNANCE,

EFFICIENCY AND QUALITY SERVICE PROVISION

3.1 Transparency and Accountability in WASH1

Introduction:

Service provision is greatly compromised by the lack of transparency and lack of clear

accountability mechanisms in place with the public can hold the duty bearers and

service providers accountable. Transparency and accountability contribute to good

governance, efficiency and quality service provision.

Definition

Transparency: This refers to openness and public access to information so that

citizens can understand the decision-making processes that affect them, and are

knowledgeable about the standards to expect from public officials.

3.2 Key Concepts

Accountability:

The democratic principle that elected officials and those in public service account for

their actions and answer to those they serve. Accountability includes political,

administrative, and financial dimensions.

Political accountability:

Political accountability means that government must be held accountable to the citizens

of a country, and that it must not abuse its power. This also implies that the

appointment of specific individuals to various decision-making positions must be

justified based on objective criteria, and the individuals and their departments must

account for their activities and spending in transparent ways.

1 Training Manual on Water Integrity

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Administrative accountability:

This refers to accountability within administrative structures and standards concerned

with oversight over water governance. This includes regular evaluation and necessary

improvements, and ensuring that all bureaucrats, consultants and technical personnel

comply with professional codes of conduct and professional standards. Increasingly,

public and private service providers are required to produce annual reports of their

planning, performance and spending.

Financial accountability:

Individuals and institutions must truthfully and accurately document the intended and

actual use of resources allocated to it. It may also require that individuals with

discretionary powers account for their earnings through a programme of assets

declaration

3.3 The public service accountability

Public service accountability looks at how accountability relationships between citizens,

politicians, policy makers and service providers are structured. There are two specific

routes of accountability: a long route and a short route.

“Long route” accountability

The political process through which citizens try to influence politicians is called “voice”.

This influence occurs through the direct political process of citizens voting for their

political representatives and deciding whether or not the politician has adequately

represented them. It also occurs when citizens express their priorities and preferences

for particular policies to the politicians. Policy makers include staff in ministries,

provincial and local governments that frame particular policies, regulations, and

programmes and are responsible to oversee implementation.

Within the government, policy-makers create policy and reach agreements with service

providers. Service providers can be public, private or non-governmental. This covers

the relationship between politicians/ policy-makers and the service providers. This falls

under “vertical” accountability (covered in Module 4). If this agreement is solely

between agents within the public service, we will call it a “compact”. If government

hires a private or non-governmental provider to deliver the services, we will call the

agreement a “contract”.

“Short route” accountability

The short route to accountability is to empower citizens so that they can directly

influence service providers. This is also referred to as “client or citizen power”.

3.4 Strategies for strengthening accountability The following are ideas for strategies to strengthen accountability.

1. Working on parallel fronts to influence policies and laws, their implementation

and monitoring, supporting action groups and NGOs, stakeholder and

community participation, coalitions, research and tools. To succeed, the focus

should not be exclusively on the national government or the public sector. Both

‘top-down’ and ‘bottom-up’ approaches are needed.

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2. Preventive and positive approaches. Current experience shows that positive

approaches are needed. Transparency International, for example has a positive

focus that does not concentrate on “naming names” or sensational

investigations. This strategy helps to ensure that individuals and institutions are

willing to join and partner in improving accountability and transparency.

Preventive and proactive activities might include case studies of best practice,

surveys of the current situation, or action research identifying optimal

approaches to community management or

3. design of water schemes.

4. Seek greater transparency through; for example, establishing complaint

systems, ombudsman services and investigating alleged corruption. This can

focus on transactions that commonly take place in the sector, such as

beneficiary selection, tendering, construction, operation and so on.

5. Collaboration and partnerships. Building coalitions is essential and there are

many examples to prove that they work and get results. It is important to

increase the number and the mix of actors with representatives from

governmental and non-governmental organisations, public and private sectors,

as well as formal and informal groups.

6. In the water sector, some civil society organisations have been promoted as

independent monitors over both the tendering and execution of projects. The

challenge is to encourage the pendulum to shift towards external accountability

mechanisms with participatory approaches. This creates

7. monitoring and feedback mechanisms outside the

8. executive, which are less vulnerable to corruption.

9. Awareness raising and capacity building. Effective, informed and functional

institutions are needed. Focus should be on strengthening the capacity of

institutions and their personnel.

10. Apply and adapt existing tools. Many tools and strategies have been developed

to reduce corruption and improve transparency. The application of tools and

strategies do not automatically mean that the effort will succeed. It is important

to implement strategies and to check their real impact, which requires active

monitoring systems and indicators.

3.5 FINANCE AND FINANCING MECHANISMS

• Central to any WASH activity is the issue of funding

• Funding is required to put up new WASH services or rehabilitate the already

existing

• To this end WASH Funding Mechanisms need to be explored

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SOURCES OF FUNDING.

• Government- Through Public Sector Investment Programme (PSIP)

• Donors- These enter into bilateral agreements with government. Money usually

come in form of grants and loans

• NGOs-Get funds direct from donors and funds are controlled by them

• Community Contributions- mainly through provision of locally available

resources, time and labour

Funds disbursed through

1. Implementation Partners (ACF, SNV etc)

2. RDCs/DWSSC

3. Line Ministries

4. Directly to service providers

FUNDING THROUGH IP

• Is the major chunk of the programme funding

• Is programme funding that is for sub-district activities

• DWSSC should have access to this budget and the DWSSC and IP plan activities

together.

• Planning in advance and together makes you identify gaps in their contracts with

UNICEF and action taken to fill these especially from identified savings

elsewhere in the budget.

• IP accesses the resources quarterly

Accessing by IP

This on the strength of

1. Implementation plan

2. Budget for the coming quarterly

3. Acquittal of the last quarter’s disbursement

Funding through RDC/DWSSC

• Is for District level activities like

1. Meetings

2. District workshops

3. Monitoring and evaluations including support to sub-district planned by the

DWSSC

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4. Provincial Support (fuels, allowances, stationery, communication)

Funding Through RDC/DWSSC

• This is accesses quarterly through submission of

1. Coming quarter’s implementation plan

2. Related budget

3. Face Form and Covering letter from Council duly signed

ACQUITAL BY RDC/DWSSC

• Is made up of Reports on activities undertaken in the last quarter,

• statement of expenditure

• Face Form duly signed and

• a covering letter of acquittal duly signed

Funding through NAC

• Is accessed in the same way and acquittal is by same way

• Is for super structures above activities like where district/provincial staff are

participating in provincial/national activities

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UNIT 4 .

PUBLIC PRIVATE PARTNERSHIPS . OBJECTIVE: TO ENABLE THE INNOVATION, CREATIVITY AND EFFICIENCY OF THE OF THE

PRIVATE SECTOR TO TAKE UP MUCH OF THE RESPONSIBILITIES IN WASH

4.1 Public Private Partnership2

Definitions

The World Bank: The term “PPP” refers to a number of elements including the

existence of a ‘partnership’ style approach to the provision of infrastructure as opposed

to an arm’s length ‘supplier’ relationship … Either each party takes responsibilities for

an element of the total enterprise and they work together; or both parties take joint

responsibility for each element… A PPP involves a sharing of risk, responsibility and

reward, and value.

Public-Private Infrastructure Advisory Facility:

Any form of partnership between public authorities and the private sector for the

construction, management and/or provision of an infrastructure or public service can be

considered a PPP. Indeed, PPPs rely on the expectation that the private sector is better

suited to provide an infrastructure or public service through:

• Higher operating efficiency

• Better service quality/reliability

• More cost-efficient use of public money on other public services

• Better value for money

• Transfer of some of the risks to the private sector

• Transparency

PPPs are a move towards greater shared responsibilities between the public institutions

and private sector. Government relinquish much of its control and allows the

innovation, creativity and efficiency of the of the private sector to take up much of the

responsibilities such as initial investments, management and operations. PPPs provide a

midway between State centred control and outright privatisation of public services.

4.2 Why are PPPs so attractive?

Why should Governments develop relationships with local and international private

companies with a view to using them to manage national utilities and to finance

essential investment requirements?

I. the private sector financing essential infrastructure needs will relieve pressure

on Governments’ budgetary requirements. These are extra resources and allow

resources from the Government’s budget to be released for other purposes.

2 Adapted from MENA-OECD Investment Programme and UNECE Capacity Building programme on Public- Private Partnerships; training module “Introduction to public-private partnerships”

22 | P a g e

II. the private sector can tackle inefficiency and respond more effectively to user

demands. In many infrastructure sectors in the world including in transition

economies, the problem is not one of expanding capacity but making it more

efficient. In the energy sector, for example, the measures to cut down on waste

and make power plants more efficient are the main priority.

III. Evidence from around the world suggests that the private sector is better in

building and operating more efficient energy structures and less glamorous

services such as waste disposal, water purification, etc, than the public sector.

IV. the private sector imposes discipline on projects through the profit motive and

ensure that project implementation - even for large-scale projects - is speeded

up: Where BOT projects have been implemented the speed in which the users

have benefited from these new projects finance schemes has been impressive.

V. The project finance structure is particularly suited to the environment found in

some transition economies where risks and uncertainties, both economic and

political, are much higher. This structure mitigates risk amongst many

participants through the employment of various financial instruments, such as

escrow accounts or a syndicated credit facility.

VI. Many of the benefits mentioned above would have been achieved by out-right

privatization of the government function. However, this middle way of public-

private partnerships can enable the general public to come to terms more easily

with private and foreign involvement in the running of their public utilities.

4.3 What to consider when choosing a PPP model Service contracts

Management contracts

Leasing arrangements

Build-operate-transfer models

Concessions

• PPP models also differ as to:

Asset ownership

Operation and maintenance obligations

Commercial risk allocation

Project duration

Table 3 Various PPP Arrangements

Option Asset

ownership

Operation

and

maintenance

Capital

investment

Commercial

risk

Duration

(years)

Service

contract

Public Public and

private

Public Public 1–2

Management

contract

Public Private Public Public 3–5

Lease Public Private Public Shared 8–15

Build-

operate-own

(BOO)

Private

(bulk

services)

Private Private Private 20–30

23 | P a g e

Source: Cohen, Shams, Attia, 2002

Examples of PPPs

Table 4: Some Examples of PPP arrangements

PPP Schemes and Modalities

Schemes Modalities

Build-own-operate (BOO)

Build-develop-operate (BDO)

Design-construct-manage-finance

(DCMF)

The private sector designs, builds, owns,

develops, operates, and manages an asset

with no obligation to transfer ownership to

the government. These are variants of

design-build-finance-operate (DBFO)

schemes.

Buy-build-operate (BBO)

Lease-develop-operate (LDO)

Wrap-around addition (WAA)

The private sector buys or leases an

existing asset from the government;

renovates, modernizes, and/or expands it;

and then operates the asset, again with no

obligation to transfer ownership back to

the government.

Build-operate-transfer (BOT)

Build-own-operate-transfer (BOOT)

Build-rent-own-transfer (BROT)

Build-lease-operate-transfer (BLOT)

Build-transfer-operate (BTO)

The private sector designs and builds an

asset, operates it, and then transfers it to

the government when the operating

contract ends, or at some other

prespecified time. The private sector

partner may subsequently rent or lease

the asset from the government.

Source: Public-Private Partnerships, Government Guarantees, and Fiscal Risk.

International Monetary Fund

4.4. Pros and Cons of PPPs3

Pros

1. PPPs make projects affordable.

2. PPPs maximize the use of private sector skills.

3. Under PPPs, the private sector takes life cycle cost risk.

4. With PPPs, risks are allocated to the party best able to manage or absorb each

particular risk.

5. PPPs deliver budgetary certainty.

6. PPPs force the public sector to focus on outputs and benefits from the start.

7. With PPPs, the quality of service has to be maintained for the life of the PPP.

8. The public sector only pays when services are delivered.

9. PPPs encourage the development of specialist skills, such as life cycle costing.

10. PPPs allow the injection of private sector capital.

11. PPP transactions can be off balance sheet.

Cons

1. Does sufficient private sector expertise exist to warrant the PPP approach?

3 Source: Delivering the PPP Promise (PWC) 2008

Concession Public Private Private Private 25–30

Privatisation Private Private Private Private Indefinite

24 | P a g e

2. Does the public sector have sufficient capacity and skills to adopt the PPP approach?

3. It is not always possible to transfer life cycle cost risk.

4. PPPs do not achieve absolute risk transfer.

5. PPPs imply a loss of management control by the public sector.

6. PPP procurement can be lengthy and costly.

7. The private sector has a higher cost of finance.

8. PPPs are long-term, relatively inflexible structures.

25 | P a g e

UNIT 5 .

PROJECT MANAGEMENT . OBJECTIVE: TO ENSURE PLANNING, ORGANIZING, STAFFING, LEADING/DIRECTING,

AND CONTROLLING/MONITORING OF WASH PROJECT:

5.1 Management

5.1.2 Introduction: What is Management?

In order to appreciate what management is, it is important to carry out a self-

assessment of your understanding of the subject. Attempt to answer the following

questions before you can read/ discuss ahead. This will be critical to your

understanding and appreciation of the subject in relation to your work.

Definition of Management

Management: it is the act of getting people together to accomplish desired goals and

objectives using available resources efficiently and effectively. Management comprises

planning, organizing, staffing, leading, and controlling an organization (a group of one

or more people or entities) or effort for the purpose of accomplishing a goal.

Basic functions/Roles

From the definition given above, it is clear that management operates through various

functions, often classified as planning, organizing, staffing, leading/directing, and

controlling/monitoring:

Planning: Deciding what needs to happen in the future (today, next week,

next month, next year, over the next 5 years, etc.) and generating plans for

action

Organizing: (Implementation) making optimum use of the resources required

to enable the successful carrying out of plans.

Staffing: Job Analyzing, recruitment, and hiring individuals for appropriate

jobs.

Leading/Directing: Determining what needs to be done in a situation and

getting people to do it.

Controlling/Monitoring: Checking progress against plans.

Motivation : Motivation is also a kind of basic function of management,

because without motivation, employees cannot work effectively. If

motivation doesn't take place in an organization, then employees may not

contribute to the other functions (which are usually set by top level

management).

Who is a manager?

Given the above management functions, it is agreeable that a manager is one who:

26 | P a g e

Has the responsibility of the planning, execution, and closing of any project

Is accountable for accomplishing the stated project objectives.

Has the responsibility of creating clear and attainable project objectives and

building the project requirements.

Has the mandate to manage the triple constraint for projects, which are cost,

time, and scope.

Who is involved in Management? Management functions are well perfomed at all levels of an organization and at all

stages of a project implementation. It therefore follows that everybody within a project

or organization has to be aware of management principles.

In a sanitation project this means latrine supervisor, district staff, provincial staff and

national or head office personnel. In short, if one has to achieve a goal by encouraging

other people to act then one is playing a management role.

Basic managerial Skills

1. Technical Skills: apply specific methods, procedures and techniques in a

specialized field.

2. Human/ Interpersonal Skills: ability to lead, motivate, manage conflict and work

with others.

1.3. Conceptual Skills: ability to coordinate and integrate all the organisation’s

activities and interests as well as creating linkages within and beyond the

organization

Aspects of Poor Management We have outlined what management is, who is involved and the qualities needed by

managers. Now we need to examine the problems associated with poor management.

Poor management of a project is often associated with one or more of the

following:

• Lack of forecasting of required resources

• Insufficient or poorly designed budgets

• Projects out of step with schedules

• Objectives of targets not achieved

• Lack of staff control

• Lack of motivation of staff

• Poor control of resources including finance

• Inadequate delegation

• Poor communication

• Poor operating structure or organogram

• Insufficient evaluation

• High turnover of stuff

• Poor allocation of resources

• Poor financial controls

• Plans not followed

27 | P a g e

Planning and Management Interface

This exercise should give one an idea of what planning is and its importance in our

homes, communities and workplaces. The above exercise shows that planning is

important as the primary management function that affects all other management

functions

5.2 Project Management

5.2.1 Introduction to project management

Project management is the discipline of planning, organizing, securing and managing

resources to bring about the successful completion of specific project goals and

objectives.

A project is a temporary endeavor, having a defined beginning and end (usually

constrained by date, but can be by funding or deliverables), undertaken to meet unique

goals and objectives, usually to bring about beneficial change or added value. The

temporary nature of projects stands in contrast to business as usual (or operations),

which are repetitive, permanent or semi-permanent functional work to produce

products or services. In practice, the management of these two systems is often found

to be quite different, and as such requires the development of distinct technical skills

and the adoption of separate management.

The primary challenge of project management is to achieve all of the project goals and

objectives while honoring the preconceived project constraints. Typical constraints are

scope, time, and budget. The secondary—and more ambitious—challenge is to optimize

the allocation and integration of inputs necessary to meet pre-defined objectives.

Project Management is the acquired knowledge and skills applied using a formal set of

tools and techniques to initiate, plan, execute, monitor, control and close projects.

Project Management provides:

A clear project framework for achieving project specific goals and business

goals.

An emphasis on phased development i.e. regular and measurable progress.

A systematic approach to resolving high-risk factors associated with an

objective.

A focus on team thus inculcating the concept of teamwork and skill specialization

– delegating tasks to team members selected for their skills that correspond to

the requirements of the project, leading to specialized input into the

development process.

A built-in mechanism for assessing the feasibility of a proposed project –

assessing requirements and matching available resources to those requirements.

A process for involving all concerned parties into project execution, ensuring

that the end product perfectly matches the requirements and thus avoiding last

minute glitches.

A measure for incorporating Quality Assurance within the project life cycle thus

producing Quality Outputs.

The above list is by no means exhaustive, but it gives very accurate picture of what

value add Effective Project Management can do to the business and its projects. To get

a better understanding on what Project Management is, lets us now have a look on the

various Project Management Objectives.

28 | P a g e

5.2.2 Project Management Objectives Coordinate the various interrelated processes of the project.

Ensure project includes all the work required, and only the work required, to

complete the project successfully.

Ensure that the project is completed on time and within budget.

Ensure that the project will satisfy the needs for which it was undertaken.

Ensure the most effective use of the people involved with the project.

Promote effective communication between the projects team members and key

stakeholders.

Ensure that project risks are identified, analyzed, and responded.

In practice, Project Management follows a Phased Approach for Project Execution and

have a standard defined Project Life Cycle. Teamwork and Quality Assurance are few

important inherent characteristics of successful Project Management.

5.3 Project Management Life Cycle

5.3.1The Project Management Life Cycle comprises four phases:

Initiation involves starting up the project, by documenting a business case,

feasibility study, terms of reference, appointing the team and setting up a

Project Office.

Planning involves setting out the roadmap for the project by creating the

following plans: project plan, resource plan, financial plan, quality plan,

acceptance plan and communications plan.

Execution involves building the deliverables and controlling the project delivery,

scope, costs, quality, risks and issues.

Closure involves winding-down the project by releasing staff, handing over

deliverables to the customer and completing a post implementation review.

1.3.2 Project Initiation Project Initiation is the first phase in the Project Life Cycle and essentially involves

starting up the project. You initiate a project by defining its purpose and scope, the

justification for initiating it and the solution to be implemented. You will also need to

recruit a suitably skilled project team, set up a Project Office and perform an end of

Phase Review. The Project Initiation phase involves the following six key steps:

The initiation stage should include a plan that encompasses the following

areas:

• Analyzing the project requirements in measurable goals

• Reviewing of the current operations

• Financial analysis of the costs and benefits including a budget

• Stakeholder analysis, including users, and support personnel for the project

• Project charter including costs, tasks, deliverables, and schedule

3.1.1 Project Initiation tools

Business Case

Feasibility Study

Project Charter

29 | P a g e

Job Description

Project Office Checklist

Phase Review Form (Initiation)

5.3.3 Project Planning

After defining the project and appointing the project team, you're ready to enter the

detailed Project Planning phase. This involves creating a suite of planning documents to

help guide the team throughout the project delivery.

This second phase should include a detailed identification and assignment of each task

until the end of the project. It should also include a risk analysis and a definition of a

criteria for the successful completion of each deliverable. The governance process is

defined, stake holders identified and reporting frequency and channels agreed. The

most common tools or methodologies used in the planning stage are Business Plan and

Milestones Reviews.

The Planning Phase involves completing the following 10 key steps:

The Project Planning Phase follows the Project Initiation Phase and is the most

important phase in project management. The effort spent in planning can save

countless hours of confusion and rework in the subsequent phases.

The purpose of the Project Planning Phase is:

Establish Business Requirements.

Establish Cost, Schedule, List of Deliverables and Delivery Dates.

Establish Resource Plan.

Get Management Approval and proceed to next phases.

The basic processes of the Project Planning Phase are:

Scope Planning. This specifies the in-scope requirements for the project.

Preparing the Work Breakdown Structure. This specifies the breakdown of the

project into tasks and sub-tasks.

Organizational Breakdown Structure. This specifies who all in the organization

need to be involved and referred for Project Completion.

Resource Planning. This specifies who will do what work at which time of the

project.

Project Schedule Development. This specifies the entire schedule of the activities

detailing their sequence of execution.

Budget Planning. This specifies the budgeted cost to be incurred in the

completion of the Project.

Project Initiation Phase defines a few facilitating processes as well that are required for

successful Project Completion. These can be:

Procurement Planning. Planning for procurement of all resources (staff and non-

staff).

Communication Planning. Planning on the communication strategy with all

project stakeholders.

Quality Planning. Planning for Quality Assurance to be applied to the Project.

Risk Management Planning. Charting the risks, contingency plan and mitigation

strategies.

30 | P a g e

Configuration Management Planning. Defines how the various project artifacts

will get stored.

Both the basic processes and facilitating processes produces a Project Plan. During this

phase, Project Team is responsible for the following activities:

Project Managers are responsible for developing the Project Plan thus ensuring

that all the project planning requirements are fulfilled.

Functional / Management personnel are responsible ensures that adequate

resources are available for the project.

Key Stakeholders should approve the Project Plan before moving to the next

phase.

Project Planning is essential for a project's success. Project Planning helps team

members to understand their responsibilities and expectations from them. Project

Planning Phase identifies scope, tasks, schedules, risks, quality and staffing needs.

Project Planning tools

Project Plan

Resource Plan

Financial Plan

Quality Plan

Risk Plan

Acceptance Plan

Communications Plan

Procurement Plan

Tender Management Process

Statement of Work

Request for Information

Request for Proposal

Supplier Contract

Tender Register

5.4 Project Execution

With a clear definition of the project and a suite of detailed project plans, you are now

ready to enter the Execution phase of the project.

This is the phase in which the deliverables are physically built and presented to the

customer for acceptance.

The most important issue in this phase is to ensure project activities are properly

executed and controlled. During the execution phase, the planned solution is

implemented to solve the problem specified in the project's requirements. The most

common tools or methodologies used in the execution phase are an update of Risk

Analysis and Score Cards, in addition to Business Plan and Milestones Reviews.

While each deliverable is being constructed, a suite of management processes are

undertaken to monitor and control the deliverables being output by the project.

These processes include managing time, cost, quality, change, risks, issues, suppliers,

customers and communication.

31 | P a g e

Once all the deliverables have been produced and the customer has accepted the final

solution, the project is ready for closure.

Project Execution and Control Phase follows the Project Planning Phase and ideally

starts once the Project Plan has been approved and baselined. Project Execution is

characterized by the actual work on the tasks planned and project Control involves the

comparison of the actual performance with the planned performance and taking

appropriate corrective action to get the desired output.

During this phase, Project Team is responsible for the following activities:

Team Members execute the tasks as planned by the Project Manager.

Project Manager is responsible for performance measurement which includes

finding variances between planned and actual work, cost and schedule.

Project manager is responsible for providing Project Status Report to all key

stakeholders to provide visibility.

All Project Key stakeholders are responsible for the review of the matrices and

variances.

All Project Key stakeholders are responsible for taking necessary action of the

variances thus determined so as to complete the project within time and budget.

The basic processes of the Project Execution and Control can be:

Project Plan Execution.

Review of Metrics and Status Reports.

Change Control Process. This defines the procedures to handle the changes that

are introduced

during Project Execution and Control.

The facilitating processes during Project Execution and Control can be:

Quality Assurance and Quality Control.

Performance Monitoring.

Information Distribution or Status Reporting.

Project Administration.

Risk Monitoring and Control.

Scope Control.

Schedule and Cost Control.

Contract Administration.

Project Execution and Control Phase has a direct correlation to project progress and

stakeholder's expectations. Even the minor issues, if unnoticed, can cause major impact

on cost, schedule and risk and deviate the project from the Project Plan, thus

emphasizing the importance for the Project Execution and Control Phase.

5.4.1 Project Execution tools

Time Management Process

Timesheet Form

Timesheet Register

Cost Management Process

Expense Form

Expense Register

Quality Management Process

Quality Review Form

Deliverables Register

Change Management Process

Change Request Form

Change Register

Risk Management Process

32 | P a g e

Risk Form

Risk Register

Issue Management Process

Issue Form

Issue Register

Procurement Management Process

Purchase Order Form

Procurement Register

Acceptance Management Process

Acceptance Form

Acceptance Register

Communications Management Process

Project Status Report

Communications Register

Phase Review Form (Execution)

5.5 Monitoring and Evaluation

M & E consists of those processes performed to observe project execution so that

potential problems can be identified in a timely manner and corrective action cab be

taken, when necessary to , to control the execution of the project. It basically focuses

on:

• Assessment of the project results against objectives

• Evaluation lessons that will influence future projects.

Monitoring and evaluation are very important aspects of project management and any

project manager has to have adequate monitoring and evaluation skills in order to

successfully run projects. In Fact, experienced project managers often emphasize that

if a project cannot be monitored and measured, it cannot be managed. This therefore

calls for a detailed understanding of what is involved in M & E.

5.6 Project Closure

Project Closure involves releasing the final deliverables to the customer, handing over

project documentation to the business, terminating supplier contracts, releasing project

resources and communicating project closure to all stakeholders. The last remaining

step is to undertake a Post Implementation Review to identify the level of project

success and note any lessons learned for future projects

In this last stage, the project manager must ensure that the project is brought to its

proper completion. The closure phase is characterized by a written formal project

review report containing the following components: a formal acceptance of the final

product by the client, Weighted Critical Measurements (matching the initial

requirements specified by the client with the final delivered product), rewarding the

team, a list of lessons learned, releasing project resources, and a formal project closure

notification to higher management. No special tool or methodology is needed during the

closure phase.

Project Closure Phase is the last phase of the Project Life Cycle. The commencement of

the Project Closure Phase is determined by the completion of all Project Objectives and

acceptance of the end product by the customer or community.

Project Closure includes the following tasks:

33 | P a g e

Release of the resources, both staff and non-staff, and their redistribution and

reallocation to other projects, if needed.

al issues like labour, contract etc.

Collection and Completion of All Project Records.

Archiving of All Project Records.

Documenting the Issues faced in the Project and their resolution. This helps

other projects to plan for such type of issues in the Project Initiation Phase itself.

Recording Lessons Learned and conducting a session with the Project Team on

the same. This helps in the productivity improvement of the team and helps

identify the dos and don’ts of the Project.

Celebrate the Project Completion.

The basic process of the Project Closure Phase involves:

Administrative Closure. This is the process of preparation of closure documents

and process deliverables. This includes the release and redistribution of the

Project Resources.

Development of Project Post Implementation Evaluation Report. It includes

Project Sign-Off

Staffing and Skills

Project Organizational Structure

Schedule Management

Cost Management

Quality Management

Configuration Management

Customer Expectations Management

Lessons Learned

Lessons Learned form an integral part of the Project Closure Phase. It helps answer the

following typical question during Project Closure.

• Did the delivered product / solution meet the project requirements and

objectives?

• Was the customer satisfied?

• Was Project Schedule Met?

• Was the Project completed within Budgeted Cost?

• Were the risks identified and mitigated?

• What could be done to improve the process?

The outputs from Project Closure Phase provides as a stepping stone to execute the

next projects with much more efficiency and control.

34 | P a g e

UNIT 6 .

MONITORING AND EVALUATION . OBJECTIVE: TO ENABLE YOU TO ESTABLISH CONTINUOUS CHECKING WHETHER THE

PROJECT IS "ON TRACK" IN ACHIEVING ITS STATED OBJECTIVES.

Monitoring and Evaluation

Definition of “Monitoring” in the context of development cooperation:

“The regular collection and analysis of information to assist timely decision-making,

ensure accountability and provide the basis for evaluation and learning. It is a

continuing function that uses methodical collection of data to provide management and

the main stakeholders of an ongoing project or programme with early indicators of

progress and achievement of objectives." (IFAD 2002, p. A-7)

Monitoring

• Monitoring is an on-going process, taking place within a project or institution

(internal). It refers to a continuous checking whether the project is "on track" in

achieving its stated objectives.

• If problems or deviations are found, corrections might have to be taken. This is

also called project steering.

• An adaptation of objectives (and a revision of the logframe matrix) might be

necessary.

Monitoring Monitoring and Evaluation Plan

• A plan for monitoring and evaluation should be in place before implementation

starts => budget implications!

• The plan should determine the reporting system, mechanisms for ongoing

monitoring, timing of evaluations.

• Monitoring plans and reviews use elements of the logframe matrix.

• Monitoring starts when implementation starts.

Logframe Essentials

• Goal

• Purpose

• Outputs

• Activities

• Indicators

• Means of verifications

35 | P a g e

36 | P a g e

Monitoring

“If you don’t ask the right questions, you will not get right answers.” (IFAD 2002, p. 5-

3)

Problem:

Choosing the right indicators and question of whom to involve in the process (e.g.

target group).

Developing the frame for Monitoring

Tasks:

- choosing the most adequate indicators

- information needs (which data are required)

- baseline information requirements, status and responsibilities (level of comparison,

e.g. with other projects or historical data)

- data-gathering methods, frequency and responsibilities

- required forms, planning, data management …

- analysis, reporting …

37 | P a g e

Evaluation

Definition:

“…evaluation is defined as the systematic determination of the quality or value of

something." (Scriven 1991, cited in Davidson 2004, p. 1)

“The aim is to determine the relevance and fulfilment of objectives, development

efficiency, effectiveness, impact and sustainability. An evaluation should provide

information that is credible and useful, enabling the incorporation of lessons learned

into the decision-making process

(DAC 2002, pp. 21-22)

• As monitoring and evaluation fulfil different functions, they cannot be treated as

if they were synonymous.

• Function of monitoring: To enable project management to keep track of what is

happening and to check that progress is being made towards the achievement of

objectives (for on-going projects).

• Function of evaluation: accountability and/or lesson learning (for future

projects).

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UNIT 7 .

COMMUNITY BASED MANAGEMENT . OBJECTIVE: TO ENABLE YOU TO MANAGE RESOURCES AND SERVICE DELIVERY WHICH

IS SET TO ADDRESS ISSUES OF SUSTAINABILITY, BROAD PARTICIPATION IN SERVICE

DELIVERY AND INCLUSION OF LOCAL PRIVATE PLAYERS.

7.1 Community based management

Community Based Management is an approach to resources and service delivery which

is set to address issues of sustainability, broad participation in service delivery and

inclusion of local private players.

In the context of the Water and Sanitation Sector, Community Based Management

implies that the beneficiary communities are in control, have full authority and

responsibility for the development of water and sanitation services. It also entails that

user community shall take responsibility for the operations and maintenance of the

facility and the attendant obligations such as raising resources for spares and upkeep.

The thrust of CBM is therefore community empowerment for enhanced community

management and ownership of water and sanitation services provision processes.

The CBM system may be through communities running their projects or they may do it

through an agency or in partnership at costs. Whichever method is used, the

community of users obligate themselves to pay, and take full responsibilities for

decision making. Sources of finance may be internally generated or sourced from

outside of the community as grants or loans. Representative bodies of the community

including their own local authority provide the necessary legal instruments, backup

services to ensure the effectiveness of the community managed process.

7.2 CBM Guiding Principles

Principle 1: Communities assume ownership of existing and future water and

sanitation

facilities.

· Communities plan for and ensure rehabilitation of non-functional facilities.

· The community of users has technical, managerial and organizational skills.

Principle 2: Communities are responsible for the development, management

operation and maintenance of their own primary water supplies and sanitation

facilities.

· Community, through their local leadership including development management

structures initiates the implementation of water supply and sanitation projects and

agrees to put in place systems and mechanisms, in consultation with their RDC, to

ensure future sustainability of the supply.

· Decision making on the type of technology rests with the community of users. To

facilitate this, support agencies provide information to the community on possible

choices and their long term financial implications especially on O&M.

39 | P a g e

· Village based plans should be the basis of channeling support.

· Community of users through their organizational structures manages their water

supply and sanitation facilities and monitor performance.

Principle 3: RDC is the custodian of the water supply and sanitation

development process.

· RDC shall incorporate in their district plans, water and sanitation projects.

· RDC is the entry point for channeling support to communities.

· RDC shall make it mandatory that villages have plans indicating priorities, options and

costs.

· RDC shall provide enabling environment to support and strengthen community

management structures.

· RDC shall put in place legal instruments to support community institutions.

· RDC shall establish a Water and Sanitation Revolving Fund to provide loans and grants

to deserving communities intending to improve their service level; to subsidize slow

moving components; and to cushion the vulnerable groups in times of crisis such as

drought and floods. A transparent operational criterion of the Water and Sanitation

Fund needs to be developed and communicated to all stake holders.

Principle 4: Users pay for all operation and maintenance costs

· Fast moving items such as leather cups, washers, nuts, bolts, fuel, filters, fan belts,

etc are supplied by the community of users at cost.

· Slow moving items such as pump heads, cylinders, rising mains, engines, etc are

subsidized by the RDC depending on type of item and community capacity.

· Responsibility for O & M and replacement of sanitation facilities lies with the user. All

labour costs are the responsibility of the users.

7.3. How to implement CBM

Phases

There are three main phases for introducing CBM summarised in Table.

Phase Main Activities Main areas of focus

1 Setting the framework There is need to generate consensus between the

RDC (as custodian of CBM) and the communities

(as the major players and beneficiaries) in the

implementation of CBM.

2 Capacity building All institutions (community, RDC and others) are

strengthened to ensure that they play their role

effectively.

3 Consolidating CBM It is important that there be a system that both

external and internal processes agree to, to

consolidate CBM. In this system, weaknesses of the

CBM process are easily identified and rectified.

Evidence of institutional growth are noted.

7.4. Phase 1: Setting the framework

There are three key Steps in setting the framework which are summarised in Table 3.

40 | P a g e

Table 7.3: Steps in Setting the Framework

Step Procedures Outputs Necessary

conditions 1 2 Explanator

y note

Introduce

the concept

of CMB

DWSSC

introduces

CBM to RDC

RDC

recommend

s CMB

concept to

full council

See

explanatory

note 1.1

RDC

resolution on

CBM

NAC

organise

Workshops

to

conscientise

PWSSC,

DWSSC and

CEO.

Disseminate

information

to

community.

Train

extension

workers/loca

l

leaders on

CBM.

Community

awareness

sessions.

See

explanatory

note 1.2

Community

awareness on

CBM concept.

Community

Agreement to

establish

Management

structures.

Trained

DWSSC.

Provision of

promotional

materials.

Set up

Community

Managemen

t

structures.

Develop ToR Election of

Managemen

t

Committees

See

explanatory

note 1.3

Organisationa

l

structures are

put in place.

Water and

Sanitation

Management

Committees

in

place.

RDC to

develop

by-laws

legalizing

formation

of

committees

.

Notes on Setting the framework

7.3.1. Introduce the Concept of Community Based Management to the Rural

District

Council

Step Output:

· Rural District Councils Resolution on CBM.

Step Indicator:

· Council resolution on CBM.

Step Procedures:

1. The District Water Supply and Sanitation Sub-Committee (DWSSC) discuss the

concept of CBM and recommend the idea to RDDC.

2. The CBM concept is discussed and adopted by the Rural District Development

Committee.

41 | P a g e

3. The RDDC recommends the CBM concept to Full Council who agrees to the

introduction of the CBM concept in their area of jurisdiction.

4. A resolution on the implementation of CBM is passed by Council.

Necessary Condition

· National Action Committee (NAC) organises Workshops to conscientise the PWSSC,

DWSSC and Council Executive.

7.3.2. Disseminate information to communities.

Step Outputs:

· Community agreement to establish management structures.

· Community awareness of CBM concept.

Step Indicators:

· Agreement.

Step Procedures:

1. The DWSSC organise training of extension workers and local leaders on CBM.

2. The RDCs organise and hold community awareness sessions.

Necessary Conditions:

· RDC provide the requisite promotional materials.

· The District Water Supply and Sanitation Sub-Committee have the knowledge of CBM

concept.

7.3.3. Setting up Community Management Structures

1. Existing Structures

A number of development structures exist at the village level such as:

· Water Supply and Sanitation Management Committee

· Village Water Supply and Sanitation management sub-committees*

· Village Development Committee (VIDCO)

· Village Health Management Committee

· Ward Health Management Committee

· Ward Development Committee

· Ward Water Supply and Sanitation management committees (WADCO)*

* indicates possible new committees to be set up.

It is important that these are identified, their roles clearly understood and proper

linkages established with some of these.

Membership of the Village Water Supply and Sanitation management sub-committees

consist of

Chairmen and Secretaries of Water and Sanitation Management Committees in the

village.

7.3.4. Agree on terms of reference of each of these management structures

which may

include:

· planning responsibilities

· development of water and sanitation facilities

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· operation and maintenance of water and sanitation facilities

· resource mobilisation

· information management

· monitoring and reporting

· supervision

7.3.5. Election of a Water and Sanitation Management Committee

The community should develop a constitution which should contain the following:

· establishment of a Water and Sanitation Management Committee

· setting up of a fund

· contributions to the fund

· who is eligible to elect

· who is eligible to be elected

· size and composition of the Committee

· roles and responsibilities of the various actors

· vertical and horizontal communication

The position of Secretary of a committee should be occupied by someone who is literate

7.4. Phase 2: Building Capacity

There are six key steps in setting up the framework. Table 2 summaries the steps and

the procedures needed to achieve the outputs.

1 2 3 4 Output Conditions

Community

sessions on

community

awareness

Call and hold community meetings/ mini

workshops on participatory health &

hygiene

sessions; use & maintenance of facilities;

promotion of behaviour change; personal

hygiene; environmental and domestic

hygiene; gender participation; support for

latrine builder training & VPMs; promotion of

community participation and organisation and

O & M; development of local plans;

monitoring and evaluation.

See explanatory note 2.1

Communitie

s

being able

to

maintain

and

construct

facilities.

Imparting

of

skills to

other

villagers.

Organised,

responsible

and

empowered

communitie

. Council

bylaws.

. Training

manuals

Train

Manageme

nt

Committee

s

Session on PHHE

management technical

services organisational

skills

See explanatory

note

2.2

Provision

of

initial tools

by

RDC

Training

manuals

Technical

Training

Training sessions See explanatory

note

2.3

43 | P a g e

s

Produce

Community

plans.

Gather

relevant

informatio

n

(VBCI)

Prioritise

needs

Develop

a

plan

(which is

costed)

Develop a

financing

mechanis

m

for water

and

sanitation

Community

Plan

See

explanator

y

note 2.4

External

support

readily

accessible

Willingness

to

participate

by

all

stakeholde

rs

Establish

Water and

Sanitation

revolving

Fund at

RDC.

Council

resolution

Set aside

resources

towards

the

fund.

Agree to

contribut

e

towards

the

funds

Set

paramete

rs

for use of

the fund.

Water and

Sanitation

Revolving

Fund.

See

explanator

y

note 2.5

Establish

Water and

Sanitation

Manageme

nt

Fund at

community

.

RDC

resolution

RDC sets

operation

al

paramete

rs

RDC identifies

sources

of funds

See explanatory

note

2.6

Water and

Sanitation

Manageme

nt

Fund

Council

resolution

on

willingness

to

pay