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Water, Sanitation and Hygiene (WASH)

Governance Training Program

Capacity Building of Local/National WASH NGOs/CBOs in Africa (Cap-WASH) Program

This training program is made possible by the generous support of the American people through the United States
Agency for International Development (USAID). The contents are the responsibility of the IRC International Water and
Sanitation Centre and do not necessarily reflect the views of USAID or the United States Government.

The publication of these materials is made possible by the Capacity Building of Local/National WASH NGOs/CBOs
in Africa (Cap-WASH) Program. The Cap-WASH Program is meant to contribute to capacity building and knowledge
management for African local/national WASH Community Based Organizations (CBOs) and Non-Governmental
Organizations (NGOs), and is managed by Florida International Universitys Global Water for Sustainability (GLOWS)
Program. www.globalwaters.net

This WASH governance program was prepared by IRC International Water and Sanitation Centre under the auspices
of IRCs local governance thematic program and the Global Water for Sustainability (GLOWS) Program of the Florida
International University. The program was designed and written by Jean de la Harpe with inputs from Alana Potter,
Deirdre Casella and Kerry Harris. The material draws upon the thematic content and contributions of various IRC staff
working in the WASH sector. IRC WASH governance training program by IRC International Water and Sanitation
Centre is licensed under the Creative Commons Attribution-ShareAlike 3.0 Unported License. The program is based on
materials at www.washgovernance.com/.

1 | Capacity Building of Local/National WASH NGOs/CBOsin Africa (Cap-WASH) Program

Table of Contents
WASH Governance Training Program Facilitators Guide CAP-WASH
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WASH Governance Training Program

Purpose

Objectives of the training program

Content areas

Overall approach of this WASH governance training program

Component parts of the WASH governance program

WASH Governance Training Program Facilitators Guide

Purpose of the Facilitators Guide

Wall Chart package

Content of the Training Modules

How to design your WASH governance training program

Step 1: Program objective and content

Step 2: Select the most appropriate modules

Step 3: Tailor the session plans in each module

Preparation by participants

Materials needed for the training

Supporting resources for facilitators

Annex 1: Participants preparation list

Annex 2: Effective Facilitation Skills

Annex 3: Options for exercises

Annex 4: Planning Short Training Courses

Annex 5: Example of a Training Course Evaluation Form

Annex 6: Useful Resources and Websites

Modules









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Module 1: WASH Contextualizing WASH Services


Module 2: WASH Services in Your Locality
Module 3: WASH Governance
Module 4: WASH Policy
Module 5: WASH Development Planning
Module 6: Infrastructure Development
Module 7: Institutional Arrangements for Service Provision
Module 8: Advocacy and Communication
Module 9: Mainstreaming Gender and Equity
Module 10: Monitoring and Evaluation

Additional materials such as guidelines, briefing notes, handouts and PowerPoint presentations can be found on a
CD in the back of this booklet, along with an electronic file of this book.

WASH Governance Training Program | 2

WASH Governance Training Program


Governance is about improving peoples livelihoods, alleviating poverty and
increasing the chances of sustainable development. One of the biggest challenges in
the water and sanitation sector in developing countries is the significant gap between
policymaking and implementation. There is no blueprint for good governance but
there are certain elements that need to be addressed towards improving governance.
This training program is about improving WASH governance with a focus on water
and sanitation sector policy, institutions and systems that are better able to respond
to sector challenges and ensure good governance and sustainable services.

Purpose
The purpose of this WASH Governance Training Program is to equip water and
sanitation sector practitioners (NGOs/CBOs, trainers, capacity builders, facilitators)
to develop training programs on water and sanitation governance and how to
advocate good governance and best practices. It has been developed to provide
a resource to strengthen governance and sustainability in the WASH sector. The
approach is based on the recognition that concepts are not sufficient to translate
theories into practice and therefore the program includes practical approaches to
promote good governance and sustainable services.
The program also aims to develop WASH institutional capacity through increased
knowledge, understanding and action in terms of strengthening and improving WASH policy, planning, financing, institutional
arrangements, and regulation with a focus on the local level.

Objectives of the training program


The objectives of the WASH Governance Training Program are:
To provide an overall grounding in the area of WASH governance, what it means, the different components of WASH
governance and its relevance to poverty reduction and sustainable services. To provide tools and methodologies to promote
good WASH governance within different contexts.

Content areas
The content of the program includes a set of topics relevant to WASH governance and sustainable services provision. The
content is designed to enable capacity builders, facilitators and trainers to meaningfully support the WASH sector in African
countries. The emphasis of the content is on supporting local government to fulfil its WASH governance role particularly in
terms of:
Contextualizing WASH services including institutional roles and responsibilities.
Contextualizing WASH challenges within a locality (district/municipal area).
Understanding what is meant by WASH governance.
The policy framework for WASH services.
Planning WASH services at the local government level (district/municipal).
Financing WASH services.
Developing WASH infrastructure through the WASH project cycle.
Selecting the most appropriate water services provider institutional arrangements
Regulation and monitoring.
Factors to ensure sustainability, including transparency and accountability, appropriate technology, dealing with HIV/AIDS,
equity and gender mainstreaming, advocacy and communication, capacity building and sector knowledge sharing.

Overall approach of this WASH governance training program


There are many ways to provide training and support to WASH governance. There are also many different definitions and

explanations of what WASH governance is. There is no right or wrong way to deal with a subject of this nature. This
training program uses a particular approach. The approach is described in the background paper entitled: WASH local
governance for improved services (de la Harpe, 2010). It is important to read this paper to understand the approach and logic
of the program and its modules.

3 | Capacity Building of Local/National WASH NGOs/CBOsin Africa (Cap-WASH) Program

Component parts of the WASH governance program


The WASH governance training program comprises a set of components for capacity builders and trainers to facilitate processes
towards improving WASH governance and the sustainability of water and sanitation services.
The components include the following:
A. This Facilitators Guide.
B. A set of training modules including presentations, briefing notes, handouts and supporting resources.
C. A WASH Wall Chart package with a set of interactive labels (which is part of Module 1).

WASH Governance Training Program Facilitators Guide


Purpose of the Facilitators Guide
The purpose of this Facilitators Guide is to provide a stand-alone guide to the WASH Governance Training
Program including:
An overview of the entire program.
Information on the content of the training program.
Guidance on how to use the training materials.
The Facilitators guide is supported by a set of modules.

MODULE 1

Contextualizing WASH services

MODULE 2

WASH services in your locality

MODULE 3

WASH governance

MODULE 4

WASH policy

MODULE 5

WASH development planning

MODULE 6

WASH policy

MODULE 7

Institutional arrangements for service


provision

MODULE 8

Advocacy and communication

MODULE 9

Mainstreaming gender and equity

Each module deals with a particular topic and includes a session


plan and a step by step training plan.
The modules also include supporting briefing notes,
presentations and hand-outs. The modules provide both the
content and suggested learning processes to facilitate learning in
WASH governance issues.

MODULE 3

WASH governance

MODULE 10 Monitoring and evaluation

WASH Governance Training Program | 4

Wall Chart package


The training program also includes a large interactive WASH Wall Chart Package as part of the introductory module, namely
Module One.
The WASH Wall Chart Package comprises:
The Wall Chart itself
Labels which are used to label different processes, institutions, costs and sustainability issues
A sustainability overlay
Detailed facilitator notes on how to present the various sessions associated with the Wall Chart.

Content of the Training Modules


This training program comprises 10 modules.
Seven modules form part of a core WASH governance training program, with modules one to three serving as
introductory modules to the entire program. In other words, these modules should be included in every tailor made
program.
The additional three modules address cross-cutting issues including advocacy and communication, mainstreaming gender
and equity, and monitoring and evaluation.

MODULE 1

Contextualizing WASH services


The water and sanitation business
Institutional roles and responsibilities

MODULE 2

WASH services in your locality


What is the statues of WASH services in your locality?
What are the challenges?

MODULE 3

WASH governance
Overview of WASH governance
Components of WASH governance

MODULE 4

WASH policy framework


Key components of a policy framework for WASH services
Policy Issues

MODULE 5

Planning for WASH services


Strategic planning for WASH services
Components of a water and sanitation development plan

MODULE 6

WASH infrastructure development


Phases in the project cycle
Ensuring sustainable services provision beyond the project cycle

MODULE 7

Institutional arrangements for service provision


Key stakeholders at local level
Institutional options for WASH services provision

MODULE 8

Advocacy and communication


Importance of advocacy and communication for good governance and sustainable WASH
services

MODULE 9

Mainstreaming gender and equity


Importance of mainstreaming gender and equity for good governance
Factors that contribute to mainstreaming gender and equity

MODULE 10 Monitoring and evaluation


Importance of M&E for WASH governance and sustainablity
Current trends and innovation
Strengthening WASH M&E

5 | Capacity Building of Local/National WASH NGOs/CBOsin Africa (Cap-WASH) Program

How to design your WASH governance training program


The WASH governance training program is a generic set of modules. These modules can be utilised to design a tailor made
training program.
Preparation time: Sufficient time should be allowed to prepare a tailor made training program. As a ball-park provision
should be made for approximately 2 days preparation time per one day of training. This is assuming that the existing modules
will be used but that they will be contextualized and adapted to the needs of the particular target group.

Step 1: Program objective and content


The first step is to design the overall objectives and content of the training program. Based on the objectives of the training, the
appropriate modules can be selected according to the content areas that need to be covered.
In designing the program objectives, it is a good idea to identify what the learners/participants need to know and understand at
the end of the program.

Step 2: Select the most appropriate modules


Once the program objectives and content areas have been identified, the appropriate modules can be selected.
If an overall WASH governance training program is being designed, it is recommended that the first three modules are included
as these modules set the scene for the entire program and the other modules build upon these modules.
Although there are strong linkages between the remaining 6 core modules, they are also designed as stand-alone modules so that
the different modules can be put together into a tailor made training program depending upon the specific needs of the learners.
If a one or two day training is required on a specific focus area, for example gender, transparency and accountability, etc., then
the relevant modules can be used outside of the entire WASH governance training.
For more information about the content of each module, refer to the first page of the facilitators notes for each module. This
provides a description of what the module is about and the suggested learning objectives.

Step 3: Tailor the session plans in each module


The modules are generic in the sense that they are not designed for any particular country context. Trainers need to adapt and
use the modules as appropriate for their target audience and country context.
For example, the session plans include a suggested time period to complete each session. However, the time needed to run a
session may be longer or shorter depending upon the number of participants, the level/s of understanding and the learning needs
of the participants. Those who are designing the training therefore need to work with the modules to ensure that each session is
tailor made as appropriate.
The Facilitator Note for each module includes the following:
Introduction to the topic
Purpose of the module
Learning objectives
Module outline
Session plan
Preparation required by participants
List of resources for the facilitator, such as supporting presentations, hand-outs etc.
Use the Facilitators Notes to tailor each module for example: the learning objectives, the module outline (which sessions to
include or not include), and the detailed session plan (which is the steps per session). It might also be necessary to make some
amendments to the presentations.

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Preparation by participants
Since this training program is designed to be as practical and useful as possible to participants current WASH contexts and
challenges, they need to make some preparations for the training program. This particularly applies to Module Two: WASH
services in your locality. Each module specifies the information that participants should bring where the information is
available. A Participants preparation list is included as Annexe 1 of this guide.
Participants do not need to find the actual answers for all the information outlined in the list. However it is important to
find out whether such information is available or not and to have some knowledge on the topics listed for each module. When
finding answers to the information required, participants should be encouraged to use the opportunity to discuss the issues with
their sector colleagues.
Training program invitation
It is important that the letter of invitation to participants provides information about the preparation required by participants
prior to attending the program. The invitation should therefore include the Participants preparation list.
The invitation should include the following information:
Purpose of the training
The overall program (which outlines the modules to be covered)
Number of days
Venue
Costs
Preparation required by participants
Any other information you wish to communicate with participants in advance

Materials needed for the training


The facilitator/trainer will need basic equipment and stationery for each of the modules, including the
following:
Laptop computer
Overhead projector
Flip chart X 2 (one flip chart for the facilitator
and one flip chart for participants to make posters
and notes)
A4 sheets of paper
Colored cards

Permanent marker pens including a selection


of different colors with at least one pen per
participant
Blue tag (sticky material to stick up cards)
String
Glue
Crayons

You will also need a training room that has a large wall to hang the Wall Chart for the first module. The Wall Chart is
approximately 1.5 x 2.5 meters tall.

Supporting resources for facilitators


Additional supporting resources are included in the annexures to this Facilitators Guide, for example notes on effective
facilitation, options for exercises, an example of a training program evaluation form.

Annex 1: Participants preparation list


Please prepare for your WASH governance training program by finding out the following information about your locality.
Some of the information may not be easily available. Even if you are not able to access specific answers, it is still important to
find out what information is available as this will also give you an indication of the different types of systems that are in place
and the overall institutional capacity of the local government. The process of finding out the information will also provide you
with the opportunity to gain greater knowledge about WASH services in your locality.

7 | Capacity Building of Local/National WASH NGOs/CBOsin Africa (Cap-WASH) Program

MODULE

Information required

Module 2
WASH services
in your locality

The name of the local government entity (e.g. municipality, district, etc)
Population/number of households/ total number of communities
Approximate size of area and settlement types
Infrastructure challenges (water backlogs and sanitation backlogs)
Number of towns
Average household income
Economic activities in the area (for example agriculture, commercial, forestry, mining,
manufacture)
Service levels
Available water resources
Institutional challenges
Financial challenges
Participants should broadly have knowledge of these issues (if the information is available)

Module 3
WASH governance

Does your local government have the following in place?

Yes

No

WASH policy
WASH bylaws
A water and sanitation services development plan
Targets for meeting the water and sanitation MDGs
A WASH budget
A WASH monitoring and/or reporting system
Contracts/agreements/arrangements with water and sanitation
service providers
Is your local government responsible for local infrastructure
development?

Module 4
WASH policy

Bring a copy of your countrys national policy for water and sanitation services. Some
countries may have more than one policy dealing with water and sanitation.

Module 5
WASH institutional
arrangements

What types of water and sanitation service providers are operating in your locality? (For
example, utility, a local government, a CBO, a private operator, etc.)
What are the capacity gaps of local government in fulfilling its governance role?
What are the institutional challenges for water and sanitation service providers operating
in your locality?

Module 6
Financing WASH
services

What is the tariff for water in the urban areas, and in the rural areas in your locality?
Does your local government receive a transfer or grant from national government for
WASH services? If so what for?
Do you receive any grants from donors directly?
Percent cost recovery
Does your local government use taxes to subsidise water and/or sanitation services?
Percent water and sanitation budget spent on O&M
What is the value of current projects being implemented in your locality?

Module 7
Institutional
arrangements for
service provision

What types of water and sanitation service providers are operating in your locality? (For
example, utility, a local government, a community-based organization (CBO), a private
operator, etc.)
What are the functions of the different water service providers in your locality?
Which water service provider do you think is providing the best service? Why?

WASH Governance Training Program | 8

Annex 2: Effective Facilitation Skills1


Interpersonal facilitation skills
Clarifying Checking whether you have understood correctly and probing for more information. For example, it sounds
like youre saying...? Clarifying always has an implicit question mark (?) at the end of the sentence. Leading through asking
questions rather than giving facts creates understanding and gives learners an opportunity to discover things for themselves.
Questions are more useful if they open up participation and discussion. It is therefore best to ask open questions that stimulate
participation rather than closed questions that close participation down. For example, closed questions ask for yes or no type
answers, while open questions ask for further information - could you tell me more about...?
Consensus testing Checking with the learners how much agreement has been reached or how near they are to a conclusion.
For example, I think we have reached agreement on this. How do others feel?
Encouraging Being warm, friendly and responsive to learners and their contributions, showing regard for them by giving
them an opportunity for recognition. Acknowledge and appreciate the inputs and contributions from all learners and really
listen to what they are saying.
Expressing group feelings Sensing feelings, moods, and relationships in the group and sharing your perceptions with them.
For example, It looks like we all need a short break.
Gatekeeping Attempting to keep communication channels open; facilitating the participation of as many people as possible.
For example, Sipho has been trying to say something for quite a while. Lets listen to him. This skill is also referred to as
blocking and opening, where the facilitator gently blocks more dominant learners and opens the way for less talkative
learners. This ensures that all learners are given an opportunity to contribute and learn and ask questions.
Gatekeeping is also a useful skill for off-the-topic questions or points. Capture the point and refer it to an appropriate place or
resource, or suggest that the participant discuss it with an appropriate person during a break. Gatekeeping is a bit like being a
referee.
Giving information Communicating facts, information or clarification. Giving information is most effective when there is
a demand for it from the learners.
Harmonizing Attempting to reconcile disagreements; reducing tension; getting people to explore differences constructively.
For example, maybe it would be a good idea to talk one at a time and give everybody a chance to say what they think.
Opening up Facilitators do not need to know all the answers to all the questions that may be raised use your team of
resource people and the learners to contribute their ideas and knowledge to the questions raised.
Opinion seeking Asking for suggestions or ideas. For example, Tebogo has suggested that we come back to this later, what
do others think?
Relieving tension By bringing the tension out into the open, putting a problem in a wider context, or using appropriate
humour. This is also important for energizing the group.
Summarizing Pulling together related ideas; concluding a section; pulling together the important elements of a discussion.
Use of language Use simple, accessible language that is appropriate to the group of learners. If there is a need for translation,
use it.
In summary, effective facilitation is about building good working relationships with and within groups of learners.

Technical facilitation skills


Time management It is the facilitators responsibility to ensure that the time available for each activity or session is used
well and for the benefit of the whole group. This implies the need to gauge the learners needs and manage limits.
Writing up/capturing skills (e.g. using the flipchart or board, etc.) Facilitators are often best placed to do this as it shows
the learners that their point has been heard, plus its a useful tool for managing discussion, keeping it on track and preventing
repetition of the same point. If you want support, ask one of the team to note ideas on the flipchart.

9 | Capacity Building of Local/National WASH NGOs/CBOsin Africa (Cap-WASH) Program

Giving clear instructions Where there are instructions or specific questions for discussion, it may be useful to write
these up for all to see. It is important that they are clear. Give thought to how you will break a large group into smaller
groups before it comes to breakaway sessions, as this saves time and ensures clarity.
Positioning the environment Seating arrangements and positioning of equipment in the room is an important part of
facilitating participation and ensuring that all the learners in the room can see audio visual projections, flipcharts, and so on.
Preparing or using appropriate and effective materials This is crucial for ensuring meaningful participation and for
achieving the objectives of sessions.
1 Potter, A (2008), Training Social Animators, Mvula Trust South Africa for Government of Mozambique.

Annex 3: Options for exercises


Introductory or setting the scene exercises
Setting the scene is essential to creating a safe and facilitative learning environment in which learners feel comfortable to
participate and learn from the course, and to take responsibility for their role as learners.
Regardless of the exercises used, it will be a good idea to explore the following questions in the introductory
session:
What are learners bringing to the workshop? This could include questions/concerns/experience/skills/expectations and so
on.
What are they missing out on by attending?
What are their hopes and fears for the training?
What kind of training environment do they want to create that will help them to participate freely and learn best? This gives
the trainer some ground-rules for the workshop, which should be placed somewhere easily visible throughout the training.
Examples of ground-rules include talking one at a time, keeping cellular phones off during sessions; respect everyones views,
no undermining each other, punctuality, and so on.
It may also be a good idea to introduce the parking lot idea here, or a place for capturing issues, concerns or questions raised
by learners that are important, but not directly relevant to the session or module being covered. Its important that the trainer
follows up on these parking lot issues, expectations or questions from the learners.
Overall purpose of and background to the training how and why it came about and the broad objectives to be achieved by
the end of the training.
How the training is structured and logistics in terms of session times, days, meals, breaks, and so on.
Presentation of the workshop or session objectives and agenda, which should be linked to the learners expectations.

Some examples of introductory activities


Learners introduce themselves one after the other by selecting an adjective that starts with the first letter of their name and
describes something about them.
Learners walk around to find an object from the environment that represents what they are bringing to the workshop. They
then present the item while introducing themselves and tell the participant group:

What they are bringing to the workshop.

What they want out of the workshop.

What they are missing by being at the workshop.
Learners are asked to stand up and to move into groups according to the following example instructions. After each grouping,
ask the learners to introduce themselves to the person on their right and the person on their left:

Move all the men on the left and the women on the right.

Ask the learners to group themselves according to the areas they come from.

Ask the learners to group themselves according to the color of their shirts or shoes.

Plenary exercises
Quick collective brainstorming on a particular question or issue. The trainer captures the main points made by learners
during the brainstorm on a flipchart and then facilitates a discussion.
Quick collective free association to an idea or concept, where the learners say what immediately comes to mind and the trainer
writes these words or phrases on the flipchart and then facilitates a discussion or gives further input on the ideas or concepts.

WASH Governance Training Program | 10

Learners write their ideas or opinions on half A4 cards, one idea per card, and put them on a wall, then discuss in plenary.
The learners find a partner and discuss or practice or consider a particular idea, concept or case study.
Learners work in buzz groups of 3s or 4s and then report their main ideas to the big group for further discussion based on
these report backs.
Remember also that people can learn by reflecting on their own experiences, distilling the main ideas and then generalizing
and applying these ideas to the issue being discussed. This can also happen in small groups.
On the whole, its better to use small groups of no more than eight learners for most exercises as this ensures that all learners
have an opportunity to speak and share their ideas, opinions and experiences.

Brainstorming
Brainstorming means giving free reign to the imagination by drawing out as many ideas about a topic as possible in a given
time. There are no rights or wrongs and no judgement is placed on any comments.
Brainstorming allows individuals and groups to try to capture all possible ideas or perspectives on a given topic within a given
(usually short) amount of time. The outputs are the ideas, thoughts, questions, etc. that are documented preferably visibly on a
flipchart so that the learners can interact with them as food for further idea.

General rules
Do not judge or criticise any ideas.
Let ideas flow be imaginative.
Free wheel build on other peoples ideas.
Go for quantity, not for quality.

Clarify items. Expand on an idea without evaluating it.


Record all ideas, no matter how trivial it might seem.
As soon as all ideas have been listed, assess and evaluate them
openly in a facilitated discussion with all brainstorm learners.

Using PowerPoint presentations


It takes on average two to three minutes to explain each slide. Therefore, do not have more than 1015 slides for a 45-minute
presentation.
Avoid large amounts of text on a slide and do not just read from the slide.
Put short statements on the slide as headings and reminders to yourself about what to say and in what order.
Avoid colors that are difficult to read, such as red and yellow.
Most importantly, check the slides yourself from where the learners will be sitting to see whether they are readable.
Use of images and illustrations often is clearer than use of text.
For more PowerPoint tips and tools visit: www.knowwiththeflow.org.

Annex 4: Planning Short Training Courses


(CAPNET 2007)2

Introduction
Short courses are effective instruments for continuous professional and adult education. Short courses distinguish themselves
from long term courses and educational programs not only by the length of the activity but also the format and type of training
offered. Typically they are interactive, build on the learners experience and emphasize facilitation rather than teaching.
With increasing emphasis on continuing education, trainers and educators find themselves required to organize and implement
short courses while often they may lack experience in managing such activities. This guide provides a brief summary of the
points to consider.
The organization of short courses can be a lot of work and you need to get it right. The success of the course comes as much
from the organization as the content.

1. Subject
The first step is to formulate an idea for a short course that is going to meet needs of the target group. This is obviously
important if you wish to attract learners and should be related to a knowledge of capacity needs and previous discussions with
potential partners and clients.

11 | Capacity Building of Local/National WASH NGOs/CBOsin Africa (Cap-WASH) Program

Once the subject matter is established you may ask yourself:


Has there been a short course delivered on this subject
recently, or is any useful literature, handbook or training
manual available;
What is the best way to deliver the required training;

Who are the best available facilitators;


Who has a particular interest in the subject;
What insights can be gained from learners;
Who will fund the training?

2. Target groups
Target groups need to be identified based on the objective of the course and the result expected. They may vary from water
management planners to local water authorities or water users associations. Another target group may consist of capacity
builders who will take the subject further in their day-to-day training and education activities. The potential client group will
also be determined by the likelihood and type of funding of the training course. It is therefore important to realize what the
intention of the course is and what you expect learners to do with it. The audience is also the determining factor when
deciding on the length and format of the training course. Are there particular institutions likely to be your target for the course
and who may want to partner with you?

3. Format
Be it a training-of trainers course or targeted to water professionals, the learners will always be adults and therefore the format
needs to be adapted to the audience. To keep the learners attention, it is important to vary between lectures, presentations,
working groups, role plays, field trips, etc. The rule of thumb that has had positive feedback from learners is that a module
(clusters of sessions on a particular subjects) is split in 1/3 presentation, 1/3 discussion and 1/3 interaction.
It is obvious but often forgotten that the contents of the training needs to reflect the level and work practices of the learners.

4. Programming
In programming the short course there are several issues to be considered. In terms of your target audience:
What is the ideal length of the course in relation to the target group (e.g. managers generally have less
time for continuous content-related education than professionals)?
Does the course set-up appeal to the target group and prepare them better for their tasks?
Program the course in such a way that all sessions, exercises, field trips, working group assignments are relevant to the subject
matter. It is generally considered appropriate to begin with introductory sessions into concepts and principles which are planned
at the beginning of the course, followed by more technical and interactive sessions. Sometimes we may see field trips planned
that have no other purpose than an organized outing for the learners. This may not be useful and may even interrupt the flow of
the course. If a field trip is organized, make sure that it has a relation with the course subject and contributes to the training of
the learners. Often specific assignments related to the field trip may be appropriate.
It is essential that the content of the course program has enough platforms and outlets for the learners to express themselves.
Interactivity is very important and adult education methods need to be used. Good methods to challenge the learners and extract
knowledge from them are discussion platforms, working group assignments, role plays, and other interactive formats. Enough
time should be allocated to these types of sessions.
The course content needs to be developed thoroughly and with partners if you expect them to send learners. Plan to make
course materials available immediately to learners. It is preferable if these are in the form of properly prepared training materials.
At all stages keep communication with potential sponsors/partners to gain their commitment to the course and develop a
brochure to promote the course through networks and partners.

5. Partners and facilitators


It is imperative that partners are involved in the organization of the course. Partners can bring in essential elements in the
program and provide facilitators for specific sessions.
Partner choice can be based on particular strengths of the partner in the subject area of the course. But it can also be a strategic
choice when bringing in a partner could lead to more dedication and buy-in in your program or organization.
Different types of facilitation and facilitators can be brought in the course that you are organizing. As mentioned in the previous

WASH Governance Training Program | 12

section, adult education requires a large degree of interactivity in the sessions and specific facilitation skills are required (see
Facilitation and Presentation Techniques in the Cap-Net Network Management Tools). A major advantage of organizing a course
for professionals is that you may rely to a large extent on the capacities of the learners. However it is important to have
knowledgeable and experienced facilitators in the subject matter of the course who know how to teach adult learners.

6. Choose a host and venue


Ideally in a network it is a member who proposes to host a particular network training activity. The host institution should have
credibility and experience in the subject area. Selecting a host institution that is specialized in the subject to be trained has clear
advantages for programming and facilitation.
This host then gets the credit for the course along with the network and the other partners. It is also important that the
responsibility is clearly allocated to this organization. Spreading the responsibility for activities around members brings them
benefits and reduces the workload of the network secretariat.
When facilities are not available in-house at the host institution, often external facilities (hotels, conference centres) are used.
Both options have advantages and disadvantages:

Advantages

Disadvantages

Internal

Inexpensive
Availability of equipment, labs, etc.
Classroom set-up for lectures
Exposure of the network members institution

Location may not always be convenient


Lodging and food facilities may not be adequate
IT facilities
Bureaucratic administrative procedures

External

Reduction on room rates or meeting rooms


Learners stay together
No transportation between hotel and venue

Ownership of the course


Interaction with faculties, professors
Costs may be higher in case lodging could be

required
Audio-visual facilities may be more adequate
Location may be more convenient

provided by host
Interference/noise of other events in the same

location

7. Develop a brochure/catalogue/concept note, and invite learners


The course brochure (or catalogue, concept note, or pamphlet) developed from the program and arrangements serves to invite
learners to the course, either internally in the network(s) and partners or externally through other organizations. The minimum
content of a brochure contains:
Introduction
Objective
Target group
Description of the content
Methodology
Organization
Contact details and registration fee (see next section) information
What the learners will gain from the course and what is expected after the training
Course program
Background materials references
Learner/participant preparation (where applicable)

8. Draft the budget


The course should be organized on the basis of cost recovery. This is the only basis of planning as even if you find a donor, they
need to see how costs and charges have been arrived at.
It is usually better to separate the management arrangements and costs of the course from the travel and per diem arrangements.
As far as possible get others, such as sponsors, to deal with the per diems and travel and that reduces the work load on you.

13 | Capacity Building of Local/National WASH NGOs/CBOsin Africa (Cap-WASH) Program

How do you calculate a course fee to cover the management costs? This is a bit more complicated as this is where you have to get
into detail (see box for example).
a) The course fee should include things such as:
Hiring venue,
Facilitators costs,
Teaching materials,
Field trip,
Local travel,
Preparation time of organizers,
Lunches and tea breaks.
b) Most of these costs will be fixed regardless of the number of learners. Items such as lunch and refreshments will depend on
the final number of learners. Make the budget based on a minimum of 15 or 20 learners. That way, if you get too few learners,
you know you will lose money and may have to cancel the course. If you get more learners you will make a small profit which
will help you plan the next course.
c) You may be able to avoid some of these costs or reduce them by negotiating with hotels or the host institution. An important
factor is the source of the trainers/facilitators, their number and fee. In the end, a regional course fee should be about US$500
for a week - it could be less. If it is much more expensive then you run the risk of not being attractive for learners or sponsors.

9. Some practical arrangements


There are some practical arrangements that you may want to consider when organizing a short course:
Disseminate the course announcement in time and to a wide audience.
Keep a distribution list so that it is easier to send out the announcement next time.
Solicit participation through network members, partners or external parties. Make sure that the target group is well-defined
and that criteria are clear.
Once learners have been identified, assist in application for visas. Sometimes a block-application for all learners directly with the
Ministry of Foreign Affairs is the most efficient way to do it.
Learners and facilitators need to know where to go when arriving at the airport. Just the name of the venue or hotel may not be
enough and they may require more specific instructions on what to do when they arrive. It is better to have them picked up but
that may not always be an option.
Make sure that before and during the course there is a functioning secretariat where learners can go with practical questions.
You may want to have a secretary present at lunch/coffee breaks. FAQs at workshop secretariats almost always concern flight
confirmations, per diems, internet facilities, shopping, etc.
Assure yourself that all necessary tools and equipment for the whole course are available before the course starts. Ask
facilitators beforehand what they need and if they have special requirements. It often turns out annoying when these things have
to be arranged when the course has already started. Frequently used tools and equipment are:
Flip charts
Colored markers, colored cards, tape, blue tag (sticky material) and additional pens
Overhead projectors and sheets (although they are getting outdated)
Laptop and projector for presentation
Organize transport to and fro between lodging and venue, and possibly for a field trip. If you organize a field trip, make sure
that it is relevant to the course and that learners do not spend half a day in a bus.
Guidance to the facilitators is essential for the success of the course. Check that there no overlap between facilitators. You
may prepare a session outline, suggest resource materials, and guide on presentation and interaction. It is good to have all session
outlines collected before the course and make them available to the learners.
Prepare for the proceedings to be available to the learners at the end of the course. The proceedings may consist of the
program, session outlines, presentations, and resource materials (articles, references). They are usually distributed on CD-ROM.

WASH Governance Training Program | 14

At the end of the course, it is useful to ask the learners to complete a course evaluation form. An example of a course
evaluation form is attached as Annex Four.
Any client will require a financial report after the course but it is also useful for your own administration. It is good to be
aware of that before and during the workshop and make sure all receipts are properly kept.

10. Checklist
Below is a short training course checklist developed by IWSD, Harare, Zimbabwe.

Course name:
Date:
Venue:
Partners:

Course checklist
Activity
1

Responsible Person/
Institution

Identification of learners
Course outline developed and agreed with partners
Course flyer developed
Electronically distributed to partners and other
interested parties.
Learners list finalized
Successful learners notified
Visa letters prepared for those who need them
Special preparatory requirements communicated to
learners (anything to be prepared prior to coming)

Development of course program


Draft program ready
Distributed to partners for comments
Program finalized
Final program communicated to partners, learners
and facilitators

Development of course budget


Draft budget prepared
Course fee set

Identification of facilitators
Facilitators identified
Facilitators notified + any special format for
material development

15 | Capacity Building of Local/National WASH NGOs/CBOsin Africa (Cap-WASH) Program

Done by
(date)

Course checklist
Activity
5

Responsible Person/
Institution

Done by
(date)

Preparation of course materials


Materials ready and sent to organizers
Material assessed for appropriateness
Feedback to facilitator

Travel arrangements (if managed by


organizer)
Itinerary ready and communicated to travellers
Arrangement for ticket collection/purchase
communicated
Arrival and departure dates communicated

Development of pre-and post-course


evaluation form
Pre-evaluation forms developed
Send to successful applicants
Feedback from learners received
Post-course evaluation forms developed

Purchase of course materials


Files, name tags, flip charts, VIP cards, markers, etc.

Preparation of Course Venue


Course venue ready + equipment and other teaching
aids

10

Registration Form
Form designed and ready

11

Course Certificate
Certificate designed and shared with partners
Design finalized

12

Preparation of Training Report


Training report

13

Training Pack
Preparation of training pack

11. Useful reading for preparing a training course


Candelo Reina, Carmen, Gracia Ana Ortiz R., Barbara Unger. 2003.
Organizing and Running Workshops; a practical guide for trainers. WWF-Colombia.
Friends of the Earth. 2004. How to organise events.
http://community.foe.co.uk/resource/how_tos/organise_events.pdf
James Madison University, Office of Sponsored Programs. 2005. Specialized Proposal Development Guides.
http://www.jmu.edu/sponsprog/writingtips.html
Generation Challenge Program. n.d. Guidelines for organizing workshops for the Generation Challenge Program.
CIMMYT, El Batn Texcoco, Mexico
http://www.generationcp.org/sccv10/sccv10_upload/WorkshopGuidelines.pdf
Mineralogical Society of America. 2005. Basic instructions on how to plan, organize, and execute a short course. Chantilly, US.
http://www.cap-net.org/databases/network-management-tools.

WASH Governance Training Program | 16

Annex 5: Example of a Training Course Evaluation Form


We invite you to complete this course-evaluation form to help us improve our training activities. Please be frank and open
with your ratings and comments. Your opinion whether positive or negative - is valuable to us and will be considered in the
preparation of future activities.
The average time it would you take to complete this form is around 10-15 minutes.
1. Relevance of the course to your current work or function.
None

Low

Medium

High

Very high

2. Extent to which you have acquired information/content that is new to you.


None

Low

Medium

High

Very high

3. Usefulness of the information/content that you have acquired for your work.
None

Low

Medium

High

Very high

4. Did the course reach your expectations and objectives?


No

Little

Just enough

More than enough

Completely

5. As a training of trainers course, did the course prepare you for you to lead a follow-up course in your
region/organization?
No

Little

Just enough

More than enough

Completely

What type of content/methodological support would you need to lead a follow-up course in your region/
organization? (excluding organization or financial issues).

6. Considering the implementation of IWRM and conflict resolution and negotiation, the sessions were:
Fully relevant

Most of them relevant

Only some were relevant

Not relevant

7. The presentation of the different sessions was:


Excellent

Very good

Good

Regular

Bad

Regular

Bad

8. Participation possibilities during the course were:


Excellent

Very good

Good

9. The length of the course in terms of hours per day was:


Excessive

Adequate

Insufficient

17 | Capacity Building of Local/National WASH NGOs/CBOsin Africa (Cap-WASH) Program

10. Content materials in support for the different sessions were:


Excellent

Very good

Good

Regular

Bad

Comments:

11. The presentation of case studies and experiences enabled you to appreciate the applicability of the
issues discussed:
Completely

Sufficiently but without covering all issues

Insufficiently

12. Has the course changed your perception of how training of trainers should be conducted?
Yes

No

If yes, how?

13. What particular elements are missing, or what elements should have been given more attention in the
course?

14. What did you find most useful in the course, and why?

15. What did you find least useful, and why?

Thank you for taking the time to fill out this survey. Your inputs will be considered to improve the
quality and significance of future activities and they are highly appreciated.

WASH Governance Training Program | 18

Annex 6: Useful Resources and Websites


Anticorruption, The World Bank, go.worldbank.org/QYRWVXVH40
Anti Corruption Coalition Uganda (ACCU), www.accu.or.ug
Cap-Net UNDP, International Network for Capacity Building in IWRM, www.cap-net.org
EU Water Initiative, www.euwi.net
Gender and Water Alliance, www.genderandwater.org
Global Water Partnership, www.gwpforum.org
Internet Center for Corruption Research, www.icgg.org
IRC International Water and Sanitation Centre, www.irc.nl
LA-WETnet, Latin America Water Education and Training Network, http://la-wetnet.org/
The Government Accountability Project, www.whistleblower.org/template/index.cfm
The Stockholm International Water Institute(SIWI), www.siwi.org
The Swedish Water House, www.swedishwaterhouse.se/opencms/en/
Transparency International, www.transparency.org
UN Economic Commission for Latin America and the Caribbean (ECLAC), http://www.cepal.cl/drni
UNDP Water Governance Facility, www.watergovernance.org
UNESCO Centre for Water Law, Policy and Science, www.dundee.ac.uk/water
Water and Sanitation Program, www.wsp.org
Water Integrity Network, www.waterintegritynetwork.net
Waternet, www.waternetonline.ihe.nl
World Bank Institute, Governance & Anti-Corruption, go.worldbank.org/KUDGZ5E6P0
World Bank, Water & Sanitation Program, www.wsp.org

19 | Capacity Building of Local/National WASH NGOs/CBOsin Africa (Cap-WASH) Program

Module 1
Contextualizing WASH Services
Facilitators Notes

WASH Governance Training Program | 20

Introduction
In order to improve WASH governance, it is important to understand the overall water business and how it functions. This
includes the water cycle, an overall institutional framework for water resource management and WASH services, and the cost
chain.

Purpose of this module


The purpose of this module is to contextualize WASH services in terms of the following:
The different water processes from rainfall through to the provision of a water and sanitation services
The institutions responsible for different water processes through the water cycle
The costs associated with water management and water and sanitation services provision
Sustainability issues in the provision of WASH services
This module is designed as an interactive module which centres around a Wall Chart. The Wall Chart and supporting materials
were designed by a multi-stakeholder group in South Africa under the auspices of the Department of Water Affairs and the
South Africa Local Government Association. They are made freely available here for use in local government WASH training.

Using the WASH Wall Chart


The WASH Wall Chart Package comprises:
The Wall Chart itself
Labels which are used to label different processes, institutions, costs and sustainability issues
A sustainability overlay
The session plan outlined below
There are four sessions within the WASH Wall Chart Module. These are:
1. Water Processes
This session describes the processes water goes through from raw water to the consumer, through to treatment of waste water and
sewage.
The purple labels are used to describe the different water and sanitation processes.
2. Institutional Roles and Responsibilities in Water Services Delivery
This session briefly describes which institutions are responsible for the different water and sanitation processes. The orange
labels are used to describe institutions. The dark purple labels are used to describe the users. The session includes a
presentation on roles and responsibilities.
3. The Cost Chain for Water Services
This session illustrates the costs from raw water through to the consumer and back to the resource. The beaker labels are used
to illustrate tariffs.
4. Sustainability Issues
This session highlights issues that need to be addressed towards ensuring sustainability. This session includes a PowerPoint
presentation which illustrates sustainability problems that should be used to facilitate discussion concerning sustainability.
Each session is numbered with clear instructions and content points that should be made while presenting the WASH Wall
Chart and the accompanying presentations.

Learning objectives
By the end of this module participants will:
Be familiar with the different processes that water goes through to result in WASH services for the end users
Have an overview of the different institutions responsible for major processes in the management of water and provision of
water and sanitation services
Be introduced to various costs associated with the provision of water and sanitation services
Have identified sustainability issues and some solutions to address them

Duration

21 | Capacity Building of Local/National WASH NGOs/CBOsin Africa (Cap-WASH) Program

This module is designed for four hours.

Module Outline
Session title

Time

Session 1

Water processes in WASH services

60 minutes

Session 2

WASH roles and responsibilities

90 minutes

Session 3

The cost chain for WASH services

60 minutes

Session 4

Sustainability issues

60 minutes

Session Plan
Session 1

WASH Wall Chart and Water Processes

60 minutes

FACILITATORS Notes

Step 1: Introduce Module One


Introduce Module One and the
learning objectives of this module.
Use the introductory presentation
to Module One

Step 2: Introduce the Wall Chart

WASH Governance Training Program | 22

Session 1

WASH Wall Chart and Water Processes

60 minutes

FACILITATORS Notes

Draw the participants attention to the Wall Chart, where it is stuck visibly on a wall. Introduce
the Wall Chart exercise by saying:
This picture shows an overview of all the aspects of the water and sanitation business as a whole, as well
as the links between these different aspects and how they all fit together. Over the next session, we will be
labelling and unpacking the various processes water goes through to get to the users, and then we will look at
the broad roles, responsibilities and functions of the different institutions involved in the business of getting
services to users. Later we will look at financial issues and at the red flags or potential problem areas in the
business.
Step 3: Water Processes
Using inputs from participants, describe the different processes water goes through to reach
the various users. While you are describing these processes, you should label each process on the
chart using the relevant words. These words are blue labels. It is best to elicit the word from the
participants before sticking it on the chart. Start with rainfall. You can use the bullet points below
as content input.
Water comes from natural rainfall.
The amount and quality of the water that becomes available for use by the people of a country is dependent on
national land use policies and patterns.
Now ask the participants to identify water resources (raw water) in the Wall Chart. Place the
Water Resources Raw Water label on the river and on the ground water in the foreground of
the Wall Chart.

Water Resources Raw Water


Water resources (raw water) are the water that ends up in the rivers and streams, called surface water, and
underground aquifers as ground water.
The availability and quality of raw water is influenced by:
Floods and droughts, temperatures and other climatic conditions, and industrial and human pollution.
Ask the participants where raw water is stored and label the dam.

Storage in Dams
Raw water is stored in dams so that there is a security of supply for social and economic development.
Storage is normally measured in years (average is 2 5 years).
Most of the suitable locations for dams have been utilised.
The building of dams is very costly.
Move on to abstraction and place the abstraction labels next to the dam and in the foreground
rural community where groundwater is being abstracted by the borehole.

Abstraction
Raw water is abstracted from dams through a number methods such as:

1. Pumps and pipelines

2. Gravity flow and

3. Canals

23 | Capacity Building of Local/National WASH NGOs/CBOsin Africa (Cap-WASH) Program

Session 1

WASH Wall Chart and Water Processes

60 minutes

FACILITATORS Notes

Abstraction of raw water from dams is metered.


Underground water resources are normally abstracted by boreholes, pumps and pipes.
Now indicate that raw water is purified to become potable water.

Purification
The raw water that is abstracted from rivers and dams is delivered to a purification plant and then treated
with chemicals and filters until it is clean, healthy and fit for human consumption (potable standard).
Indicate the rural situation:
Underground and borehole water is often only treated with chlorine so that it is clean, healthy and fit for
human consumption (chlorinated water).
Some borehole water is not treated at all.
Illustrate that the potable water is distributed using the distribution label next to the major
pipeline.

Distribution
The potable water is distributed in bulk from the purification plant to various bulk users/consumers. This
typically involves:

4. Additional pumping systems

5. Major pipeline systems over many kilometers

6. Major reservoirs for reserve/ backup storage

7. Connections to the bulk supply distribution network

8. Meters to measure water distributed to each municipal authority and other bulk users
Ask participants to identify the reservoirs from where potable water is reticulated. Label one of the
reservoirs used by domestic users in the urban setting.

Reticulation
The bulk water is delivered into reservoirs (usually built by municipal authorities) and is then reticulated to
consumers.
The reticulation of water to urban consumers usually involves:

9. Extensive pipeline networks

10. Additional reservoirs

11. Connecting consumers to the pipeline network

12. Metering for each consumer
Use the rural illustration in the foreground to illustrate reticulation from a borehole.
Reticulation of water to rural consumers will usually involve:

13. Providing bore holes

14. Installing pumps and pipelines

15. Providing standpipes and communal supply points (RDP standards in remote rural areas)

16. It may also include connecting consumers to the pipeline network (yard connections)

17. Metering for each consumer connected to the pipeline network
Ask participants to identify all the different consumers and label these with the consumer labels.
Label domestic users in both the urban and the rural settings.

WASH Governance Training Program | 24

Session 1

WASH Wall Chart and Water Processes

60 minutes

FACILITATORS Notes

Industry

Domestic
Agriculture

Commercial Users
Mining

Note: Agriculture is not a consumer of water services (potable water) but normally abstracts raw water from
the resource themselves. Mines and some of the larger industries (paper mills) may be provided with potable
water through the water services infrastructure but may also abstract raw water from the source themselves.
Ask participants to point out the types and levels of water and sanitation services in the
different settlements depicted in the Wall Chart, as well as the source of water used. Clarify where
necessary:
Urban area: House connections and water borne sanitation.
Formal settlement: Connected to bulk water with house connections, and an on-site flush toilet system
that uses less water than a conventional flush toilet, called an aquaprivy.
Informal settlement: Stand pipes from bulk and VIPs. (Water might also be provided by tankers.)
Remote rural community: Stand pipes with water abstracted from the ground, and VIPs.
It is very important to link the level of water service provided to the level of sanitation that is affordable. The
kind of water supplies provided have a big impact on the kinds of sanitation systems that will be viable.
With a standard high pressure house connection, there is so much water coming into the house, that expensive
drainage systems are needed to take away the waste water. This requires sewers. Once there are sewers, it
makes sense to have a flush toilet.
But can residents afford the extra cost of a flush toilet? If the Municipality wants to put in house connections
in a low income settlement, options which use less water, such as low pressure roof tanks, should be considered.
With less water, the problem of managing waste water is reduced. Aquaprivies or VIPs can then be considered
as sanitation options, which are more affordable.
Similarly, VIPs should not be used on small stands with yard connections unless there are proper drainage
systems.
Lets stop here a moment to think about sanitation more broadly.
Many people believe that sanitation is all about toilets, and that good sanitation means a flush toilet. That is
a very narrow view.
Sanitation is about how human waste is managed, especially human excreta, to maintain good public
health. Toilets are an important part of achieving good sanitation, but it takes more than toilets to achieve
good sanitation. As cholera epidemics has shown, good sanitation is more about people than about providing
toilets because people need to understand why sanitation is so important for health, and how to practice good
hygiene.
To achieve this, it is important to define sanitation as having both a hygiene component, to promote health,
and a toilet component. Municipalities must provide residents with information on the links between health,
hygiene and sanitation, even in areas with high level systems like flush toilets. Promoting simple practices like
washing hands before preparing food and after using a toilet has a dramatic impact on peoples health.

25 | Capacity Building of Local/National WASH NGOs/CBOsin Africa (Cap-WASH) Program

Session 1

WASH Wall Chart and Water Processes

60 minutes

FACILITATORS Notes

There are many types of toilet systems:


Dry systems like a VIP, or
Wet systems, like a flush toilet
Point to the VIPs and to full water borne systems on the Wall Chart.
Wet and dry systems can be divided into:

18. On-site systems, like a septic tank or aquaprivy, where the pit or collecting tank is on

the property

19. Off-site systems, like a sewerage system, where the sewage is taken away to a remote

treatment site
Point to aquaprivy and VIP on the Wall Chart as examples of on-site systems. Point to urban
sewerage systems as examples of off-site systems.
There is no one best toilet system. There is a wide range, each developed for a particular need and
circumstance. The choice is far wider than a flush toilet or a VIP. It is important to educate residents about
the range of choices and their costs, and help them to make an informed choice about what they want and can
afford.
Ask participants what happens to waste water and sewage and label the sewerage pipes.

Waste Collection
The waste water and sewage from all consumers in an urban environment is collected by sewerage pipes.
The sewerage pipe network is connected to major out-fall sewerage pipes that take the waste water to a
treatment plant.
In a rural environment, toilet waste can be disposed of in a number of ways, such as a VIP. The most
important thing is to ensure all human excreta is covered or buried.
Ask participants where waste water and sewerage is treated and label the treatment plant.

Treatment and Discharge


Waste water and sewage is treated in treatment plants until it is cleaned to permissible/permit standards.
Once cleaned it is discharged back in to the raw water system via rivers and streams.
Wrap up the water processes session:
We have now identified and labeled all the water processes within the water and sanitation business.
We will now identify who is responsible for making these processes happen.

Session 2

WASH roles and responsibilities

90 minutes

FACILITATORS Notes

Step 4 WASH roles and responsibilities


Ask the participants to say who all the role players are in the system. Participants should link role
players to the different water processes. While you are labeling the water services institutions, ask
participants for examples from their area. Point out to participants that the water and sanitation

WASH Governance Training Program | 26

Session 2

WASH roles and responsibilities

90 minutes

FACILITATORS Notes

business is clearly about more than infrastructure. Its about different institutions working together
to provide different services to different users.
Which institutions work together to make all this happen?
Give the participants a broad idea of the roles and functions of the different institutions using
the content inputs below. Ask participants who is the custodian of all water resources. Place the
Department of Water label next to the Water Resources Raw Water label. In some countries
the custodian might be the Ministry of Water.

Water Resources Raw Water


Department of Water Affairs and Forestry
The State (usually in the form of the Ministry of Water) is the custodian of all water resources: both surface
and underground.
Explain the role of Catchment Management Agencies (CMAs) and place the CMA label near the
mountain/river.
Some countries have CMAs to manage and protect water resources in each of their water management or river
basement areas. Otherwise the Ministry or Department for Water normally undertakes this function. What
is the situation in your country? Do you have catchment management agencies, or a similar type agency? Or
does your Ministry take responsibility for protecting water resources in each catchment area?
There are a number of competing users for water resources:

20. Agriculture

21. Industry and mining

22. Water services to population

23. Tourism and recreation

24. Ecological reserve
CMAs or the appropriate institution will determine how much water is allocated to each user and how much
will be retained in the river or aquifer for the ecological reserve. They will also issue water licenses to users.
Move on to Storage in Dams and indicate National Governments role.

Storage in Dames

Department of Waters Affairs and Forestry

Typically the National Department for Water is responsible for building large multi-use dams used to store
raw water so that there is a security of supply for social and economic development. Who is responsible for
large dams in your country? Usually any user (even a private individual or a farmer) who has been granted
the appropriate storage license and who satisfies dam safety criteria may build a dam. Some towns own their
own dams.
The National Department or one of its agencies is also responsible for the operation and maintenance of their
dams and for dam safety and environmental impacts. Who operates and maintains large dams in your
country?
Who issues water use licenses to Bulk Water Services Providers (Bulk WSPs)? Is it the Department of Water,
is it a catchment management type agency or some other agency?

27 | Capacity Building of Local/National WASH NGOs/CBOsin Africa (Cap-WASH) Program

Session 2

WASH roles and responsibilities

90 minutes

FACILITATORS Notes

Ask who is responsible for abstraction and indicate the role of a Bulk Water Services Provider.

Abstraction

Bulk Water Services Provider

Bulk WSPs abstract raw water from dams. A Bulk WSP could be a municipality, a water services provider,
or a water utility.
Bulk WSPs provide the infrastructure and operate and maintain the abstraction works.
The primary function of Bulk WSPs is to provide water services to other water services institutions in its
service area.
Water is also abstracted from ground water sources, but the responsibility for operating and maintaining a
borehole does not require a Bulk WSP. This function is normally fulfilled by the Water Services Provider who
is also responsible for reticulation.
Point to the Bulk WSP and indicate that the Bulk WSP is also responsible for purification.

Purification

Bulk Water Services Provider

Bulk WSPs are also responsible for purification of raw water to a drinking water standard.
They must ensure the quality of the potable water provided.
They are responsible for providing, operating and maintaining the purification infrastructure.
Point to the Bulk WSP and indicate that the Bulk WSP is also responsible for distribution.

Distribution

Bulk Water Services Provider

The Bulk WSP is responsible for regional security and reliability of water supply to water services users.
They are typically responsible for:

25. Operating, repairing and maintaining the bulk distribution infrastructure

26. Entering into a formal contract with each bulk water user

27. Metering the amount of water supplied to each bulk water user

28. Setting the bulk water tariff

29. Billing bulk users for the full costs of supplying the amount of bulk water that they use

30. Water conservation and prevention of wasteful or unlawful use of bulk water
Now ask participants who is responsible for reticulation.

Water Services Authority

Water Services Provider

First indicate that:


Where water services have been decentralized, the local water services authority (WSA) which is usually a
municipality or form of local government is responsible for ensuring that all consumers within their
jurisdictional area have access to water services. This also includes sanitation services, even dry on-site toilet
systems like a VIP.
Place the Water Services Authority label next to the reticulation label

WASH Governance Training Program | 28

Session 2

WASH roles and responsibilities

90 minutes

FACILITATORS Notes

Reticulation

Water Services Authority

The WSA must ensure that the necessary water supply infrastructure is provided. This requires planning.
Often WSAs are also responsible for preparing a WASH Development Plan.
The WSA may also be responsible for providing the rules (bylaws) that will govern delivery of water services
to the different consumers.
The WSA must also ensure that a WSP is in place to provide the water services.
Place the Water Services Provider label next to the Water Services Authority label.

Water Services Provider


Explain that:
The WSP function can either be fulfilled by the WSA (local authority) itself, or it can contract another entity
to fulfill the WSP function.
The WSP is normally responsible for the following:

31. Daily operation of the reticulation infrastructure

32. Repairs and maintenance

33. Connecting consumers to the pipeline network or bore-hole supply

34. Customer relations

35. Customer awareness

36. Meter reading (for house connections)

37. Billing

38. Revenue collection

39. Monitoring

40. Reporting

41. Providing sanitation services which includes:









1. Providing information to all consumers on why sanitation matters for health, and how to achieve
it.
2. Monitoring health impacts and periodically evaluating the effectiveness of its sanitation
promotion programs.
3. Ensuring residents have adequate toilet systems, equivalent to at least a VIP. This does not
necessarily mean the municipality must provide the toilet, but it must be able to assist residents
with information on how to build a safe and 3. hygienic toilet.
4. Ensuring safe disposal of pit sludge and effluent.
5. Where the municipality runs a water-borne sanitation system and treatment works, it must keep
this system well maintained.

Now refer participants to the consumers that are already labeled and ask what the responsibilities of
consumers are.
The consumers of water services are responsible for:

6. Paying for the costs of the water services (water and sanitation) they receive

7. Reporting any problems to the water services provider

8. Efficient use of water services
Ask participants who is responsible for waste collection.

29 | Capacity Building of Local/National WASH NGOs/CBOsin Africa (Cap-WASH) Program

Session 2

WASH roles and responsibilities

90 minutes

FACILITATORS Notes

Water Collection

Water Services Provider

The local authority (WSA) or a contracted WSP are normally responsible for the infrastructure to collect waste
water and sewerage from all consumers in an urban environment.
The local authority or the WSP must operate and maintain the infrastructure.
Also indicate the rural situation:
Even in a rural environment where there is no water borne sewerage system, human waste and excreta still
needs to be disposed of safely. Individual households can easily manage safe disposal of their excreta - VIPs
and septic tanks with soakaways are just two examples of this.
Waste water should also be taken care of, for example soakaways at stand-pipes. Planting fruit trees is a
useful way of absorbing waste water.
Indicate that the WSP is also responsible for treatment and discharge.

Treatment Discharge

Water Services Provider

WSPs (the local authority or contracted WSP) are responsible for operating, maintaining and managing
sewage treatment plants to treat waste water and sewage.
The waste water and sewage must be treated to standards laid down by national government before it is
discharged back into the rivers and streams.
This function also requires revenue collection in the form of a tariff, usually built into the municipal water
tariff.
Wrap up the institutional roles and responsibilities session:
We have identified and labeled all the institutions within the water and sanitation services business. We will
now look in more detail at the role and responsibilities of the water service authority (WSA).
Step 5: WSA and WSP responsibilities
Present the presentation
on the roles and
responsibilities of WSAs
and WSPs.

WASH Governance Training Program | 30

Session 3

The cost chain for water and sanitation services

60 minutes

FACILITATORS Notes

Step 6: Cost chain


Draw participants attention back to the wall chart. You could say:
So far, we have looked at the different processes, users, infrastructure and roles and functions of the various
water services institutions involved in ensuring water reaches the end users, and especially the role of
local authorities (WSA). Now over the next 30 minutes, we will look at other factors that are critical to
sustainable water and sanitation services.
In order to introduce the issue of finances, you could ask participants what hasnt been covered that, without
it, none of this can work. The answer is money or finances.
There are costs associated with this entire infrastructure and all of these services. For infrastructure, there are
capital costs, interest costs, and depreciation of assets. These costs are called CAPEX costs. There are also
operation and maintenance costs, which are called OPEX costs. The flow of funds for CAPEX and OPEX is
critical to the sustainability of services and infrastructure.
Lets now look at the different costs and associated tariffs for water services.
Give the participants a broad idea of the costs and tariffs using the content inputs below. Start with
the CMA label on the Wall Chart. Use the purple labels to indicate charges and tariffs.

Catchment Management Agency


We have seen that CMAs or similar type agencies
are responsible for managing and protecting water
resources within catchment management areas.
There are clearly costs that must be recovered
for water resource management, i.e. the CMAs
functions. These costs are passed on to the users.
The CMAs typically charge a Water Resource
Management Charge to all users who abstract
water either directly from the river or from a dam
or who own plantations that reduce the run off
of water into the rivers (stream flow reduction
activities). Small uses, such as the abstraction
of small quantities of water for an individual
dwelling or for stock watering are usually exempted
from this charge.
Now move onto the Department of Water
label next to the dam and explain the raw
water tariff.

Water Resource
Management Charge

31 | Capacity Building of Local/National WASH NGOs/CBOsin Africa (Cap-WASH) Program

Session 3

The cost chain for water and sanitation services

60 minutes

FACILITATORS Notes

Department of Waters Affairs and Forestry


There are a number of costs associated with transfer
schemes, canals, and water storage in dams. These
include:

42. The cost of constructing the water transfer schemes,


raw water abstraction works and the dams, which

is usually very costly and is normally funded


through loans. The loans and interest needs to be


repaid.

43. The raw water works need to be operated and

maintained.

44. Components of the raw water works need to be


replaced when they have reached the end of their


life and this is normally provided for through a


depreciation provision.

Raw Water Tariff


The full costs of developing, financing, operating and maintaining and refurbishing the raw water abstraction
and storage works need to be recovered from the users. The National Department of Water may charge a
tariff (for water resource development and use of water works) to cover these costs. This charge
would be added to the Water Resource Management Charge (charged by CMAs) and the total costs
are passed on to the users as a Raw Water Tariff.
The amount of the raw water tariff is determined by the input costs and may differ between catchments/water
management areas.
Now move onto the Bulk WSP next to abstraction, purification and distribution.

Bulk Water Services Provider


We know that raw water is abstracted, purified and distributed
by Bulk WSPs.

Bulk Potable
Water Tariff

The full costs of providing the infrastructure, operating,


maintaining and managing the abstraction plants, purification
plants and distribution infrastructure is passed on to the users.
These costs typically include:

45. Purchase of raw water, i.e. the raw water tariff;

46. Capital Costs such as:

Planning and design

Cost of constructing and financing the water


treatment plants, bulk reservoirs and bulk

distribution pump stations and pipelines etc.

Replacement of infrastructure usually through a


depreciation provision

Purchase of land and servitudes

47. Operations and maintenance costs such as:

Energy costs for pumping and other operations


costs

WASH Governance Training Program | 32

Session 3

The cost chain for water and sanitation services

60 minutes

FACILITATORS Notes

Purchase of chemicals and other treatment costs,


Operation of laboratories used for water quality testing,
Repairs and maintenance, and
Management and administration.

The full costs of all the bulk water services activities (abstraction, purification and distribution) including the
raw water tariff are charged to users as a bulk (potable) water tariff.
Now move onto the Water Services Provider label next to reticulation.

Water Services Provider


Reticulation costs include:

Purchase of bulk potable water, i.e. the bulk

potable water tariff; capital costs such as:

Planning and design

Construction of reticulation infrastructure such

as the municipal reservoirs and reticulation

pipelines

Purchase of land and servitudes

Provision for replacing bulk infrastructure
usually through a depreciation provision
Operations and maintenance costs such as:

Energy costs for pumping

Repairs and maintenance

Meter reading and billing

Management, monitoring and administration

Customer service and management

Municipal Water Tariff


The full costs of the raw water, the bulk water service activities (abstraction, purification and distribution)
and the reticulation costs are usually passed on to the consumer as the retail water tariff that the local
authority (municipality) charges.
Now move onto the Water Services Provider label next to waste collection and treatment and
discharge.

Water Services Provider


WSPs are responsible for waste water and sewage collection as
well as treating and discharging the waste water and sewage.

Municipal
Sanitation Tariff

The costs of the collection, treatment and discharge


process include:

Capital costs such as:

The cost of constructing and financing the

sewage treatment works and sewerage collection

pipeline

Provision for replacing old sewerage

infrastructure usually through a depreciation

provision

33 | Capacity Building of Local/National WASH NGOs/CBOsin Africa (Cap-WASH) Program

Session 3

The cost chain for water and sanitation services

60 minutes

FACILITATORS
Notes
Operations and maintenance costs such as:

Clearing blockages and repairing cracked or burst sewers

Purchase of chemicals and other sewage treatment costs

Cost of operating the sewage treatment plant and the sewerage pipelines and pump stations

Laboratories for quality testing

Management and administration
These costs all form part of the municipal sanitation tariff.
The full costs of waste water and sewage collection, treatment and discharge are passed on to the consumer as
the sanitation tariff for sanitation services.
Now move onto the consumer and use the domestic users in the urban area to illustrate that
consumers pay the entire costs of the water services industry.
The municipal water tariff includes water used in flush toilets. 70 to 80 percent of average household
consumption is for flushing.
Consider how much less water a household would use if they didnt have a flush toilet. Theyd need smaller
pipes, smaller reticulation system, smaller pumping system, less energy to pump, etc. The retail water tariff is
therefore much less for toilets that are not water-borne.
The consumers of water services pay the full costs of all of the activities and institutions involved in the
provision of the water and sanitation services that they receive.
They pay the retail water tariff and the sanitation tariff. The sanitation tariff applies to consumers who have
water borne sanitation.
Refer the participants to the rural community in the Wall Chart.
Lets briefly look at costs of water and sanitation services in a rural area.
We can see that there are costs associated with water abstraction, purification, distribution and reticulation.
These costs are charged to the consumer in the form of a single retail water tariff that is charged by the WSP.
Place the retail water tariff beaker next to the Water Services Provider in the rural area.

Water Services Provider


Often the local water services authority or national government
will subsidize the retail water tariff in poor areas so that poor
people are able to afford at least a basic water supply and
sanitation service. Capital subsidies, grants and cross subsidies
are used to make water and sanitation services more affordable
in rural areas.
Remember that if potable water is supplied to a rural area from
a Bulk WSP, then the retail water tariff will include the bulk
potable water tariff.

Municipal Water Tariff

Households are often responsible for providing and maintaining


their own toilet facilities, although the government may assist

WASH Governance Training Program | 34

Session 3

The cost chain for water and sanitation services

60 minutes

FACILITATORS Notes

them with a capital subsidy. Since local authorities tend to provide only a very limited service in relation to
sanitation in rural areas, there is typically no sewage treatment tariff.
Where the local authority provides assistance with desludging pits or septic tanks, it may charge a small
monthly tariff added to the water bill, or by charging a fee for desludging.
The local authority must make provision for the cost of promoting sanitation and providing information
on why sanitation matters for health and hygiene. Basic sanitation should include two parts: awareness on
sanitation, hygiene and health, and a toilet structure. How do local authorities in your country fund the
health and hygiene awareness component?
Ask for any questions for clarification.
Wrap up the cost chain session:
We have identified and labeled points where costs are incurred and how these costs can be passed on to users.
Sustainability is more than finance. We will now look at other sustainability issues.

Session 4

Sustainability issues

60 minutes

FACILITATORS Notes

Step 5: Identify sustainability issues


Place the sustainability overlay (which is part of the Wall Chart
Presentation Pack) on the Wall Chart bottom left hand quarter.
Brainstorm with participants all the problems depicted in the overlay.
What problems can you see in this picture?
User is sick
Stagnant pools of water
Tap is dry
Unauthorised connections
VIP is dirty, derelict, tilted with a simple
People are collecting water from the stream
(not improved) pit
Further up the stream someone is
The pit lining is gone and there is seepage
defecating near the river bed
into the groundwater
Feces and rubbish are lying around
How do you think these problems came about? What are the causes of the problems?
Find out from participants the possible causes
For example, there was no proper capacity building, contracting or monitoring of the WSP, so
the WSP is not fulfilling its functions adequately
Tariffs werent collected and fuel bills werent paid
The community wasnt sufficiently involved in technical decision-making
The sanitation facility was not properly designed and built
Unauthorized connections/vandalism resulted in breakdown of the scheme
There was no awareness built within the community concerning health and hygiene issues
Classify the problems as they are being mentioned into technical, social, institutional, O&M,
financial, and environmental.
Whilst this picture shows problems in the remote rural setting, many of these problems occur in informal and
peri-urban settlements. Often the problems are more serious in informal and peri-urban settlements because of
higher density populations.

35 | Capacity Building of Local/National WASH NGOs/CBOsin Africa (Cap-WASH) Program

Session 4

Sustainability issues

60 minutes

FACILITATORS Notes

Brainstorm with participants how these problems could have been avoided.
For example, in terms of financial sustainability:
Ensure services are affordable to the users they serve.
Get tariff structuring right.
Set up an effective billing, collection and accounting system.
Use the tariffs collected for the right things such as maintenance (it costs a lot more to repair derelict
infrastructure not maintained than to put in new infrastructure).
Budget properly for maintenance
In terms of institutional sustainability:
Ensure that the roles and responsibilities of all the institutions concerned are clear.
Ensure that the WSP has the necessary capacity to fulfill its role effectively (O&M, revenue collection,
customer relations, etc.).
Use enforceable contracts and monitor WSPs effectively.
Provide the necessary support to WSPs.
Ensure effective communication links between all role-players including the users.
In terms of sanitation, health and hygiene:
Ensure that sanitation is not approached as just an issue of toilets.
Ensure awareness creation and the necessary infrastructure for the safe and hygienic management of human
excreta.
Ensure good planning where water and sanitation is integrated into other development planning. Take the
broader local economy into account when considering levels of service.
Ensure access to information about why sanitation matters and how to achieve good sanitation. Build
strong linkages between health staff, technical staff and financial staff.
Ensure that appropriate sanitation technology is used. Water-borne sanitation is a high investment, high
risk sanitation technology. Flush toilet systems offer high status and great convenience, but they are
expensive to install and complex to maintain. If sewers block or leak, and if the treatment plant breaks
down, the health and pollution impacts can be far worse than a simpler system. On-site systems such as
VIPs are low investment, low risk.)
Ensure that the sanitation system continues to function well.
Ensure a balance between the level of water supply provided, and the sanitation technology that best matches
it. The more water you bring on to a plot, the more important it is to think about how you will manage
waste water. Managing waste water is an integral part of good sanitation. Waste water offers a breeding
zone for mosquitoes, and polluted waste water contaminates water sources.
Communal/shared toilets foul very quickly if they are not properly operated, so residents stop using them.
Often local residents who take responsibility for keeping the communal toilet clean, lock it and keep it for
their own use.
Ensure good solid waste management. Flush systems are very
vulnerable to blockages, and pit latrines fill rapidly when they are used
to dump refuse.
Wrap up the Sustainability Session with the 5-minute OHT
presentation on key sustainability issues.
This completes the Water and Sanitation Wall Chart Presentation.

Further reading:
Abrams, L. (1999) Understanding sustainability of local water services accessed at http://www.africanwater.org/sustainability.htm
WaterAid (2001). Sustainability Framework. London, United Kingdom.

WASH Governance Training Program | 36

Notes

39 | Capacity Building of Local/National WASH NGOs/CBOsin Africa (Cap-WASH) Program


37

Module 2
WASH Services in Your Locality
Facilitators Notes

WASH Governance Training Program | 38

Introduction
Every local government faces its own WASH challenges within in its own context. It is important to understand the WASH
status quo and challenges in your area in order to improve WASH governance and sustainability. Challenges often relate to
infrastructure backlogs, addressing difficulties related to remote rural areas and informal settlements, reducing costs, ensuring
financial sustainability, and ensuring the necessary institutional capacity to provide sustainable WASH services. Often the
most difficult challenge is all the WASH decisions that need to be made for your locality, for example: what service levels to
provide, what tariffs to charge, who should operate and maintain the services, which communities should be prioritized for new
infrastructure, how much money should be allocated to maintenance, and so on. Locality is the area of jurisdiction of the local
government entity.
Before you can make any of these decisions you need to know your local area and the challenges within your area. For example,
you need to know who your customers are, what level of services they require and what they can afford to pay for water and
sanitation services. You also need to know what water resources are available, who has access to infrastructure and whether the
infrastructure is operating and being maintained. Financial sustainability is crucial for WASH sustainability. What are your
total operating costs, how much revenue are you collecting from the sale of water, what subsidies are needed and is your overall
service running at a loss or is the income enough to cover all the costs? There are many issues around which you need status quo
information for your locality.

Purpose of this module


The purpose of this module is to ensure that participants relate the WASH training to their own locality, context and WASH
challenges. Throughout the WASH governance training program participants will be asked to provide examples and to apply
WASH concepts, approaches and mythologies to their own challenges. This module therefore lays the basis for contextualizing
local conditions so that all the modules have practical application to the local conditions of the participants.

Learning objectives
By the end of this module participants will have:
Shared information concerning the WASH status quo in their locality including levels of service
Identified stakeholders in the WASH sector and roles and responsibilities
Identified and shared WASH challenges in their locality
Analyzed WASH challenges in order to identify problems and solutions

Preparation by participants
Participants should have knowledge on the issues listed below. Where possible and available they should bring this information
to the training. Some of the actual information may not be readily available however it is important for participants to engage
with relevant officials within local government to gain at least a broad overview of the issues listed.

MODULE
Module 2
WASH services
in your locality

Information required
The name of the local government entity (e.g. municipality, district, etc.)
Population/number of households/total number of communities
Approximate size of area and settlement types
Infrastructure challenges (water backlogs and sanitation backlogs)
Number of towns
Average household income
Economic activities in the area (for example agriculture, commercial, forestry, mining,
manufacture)
Service levels
Available water resources
Institutional challenges
Financial challenges
Participants should broadly have knowledge of these issues (if the information is available).

39 | Capacity Building of Local/National WASH NGOs/CBOsin Africa (Cap-WASH) Program

Duration
This module is designed for one day comprising 6 hours of session time and 2 hours for lunch and tea breaks.

Module outline
Session title

Time

Session 1

WASH status quo in your locality

90 minutes

Session 2

WASH whos who

90 minutes

Session 3

WASH challenges in your locality

90 minutes

Session 4

WASH strategies and solutions

90 minutes

Resources for the facilitator


Presentations:
Introduction and learning objectives
WASH services in your locality
Session 1

WASH status quo in your locality

90 minutes

FACILITATORS Notes

Step 1: Introduce Module Two

Introduce Module Two and the


learning objectives of this module.
Use the Module Two Introduction
and objectives presentation
It is important to highlight that
this module is very practical and
involves participants actively
sharing information about their
locality.

Status
quo map
preparation

Step 2: Preparing WASH status quo map per locality

Ask participants to break into


groups according to their locality.
If there is only one person per
locality then each person works
individually.
Give each group a piece of flip
chart paper and pen.
Present the first 5 slides of the
WASH services in your locality
presentation which comprises the
instructions for preparing a

WASH Governance Training Program | 40

Session 1

WASH status quo in your locality

90 minutes

FACILITATORS Notes

Status
quo map
preparation

WASH status quo map. Leave the slide on the overhead projector. Ask, What information is
needed? while the groups are preparing their poster.

Group
report backs
and plenary
discussion

Step 3: Groups report back

Allow 45 minutes for this exercise.

Allow approximately 10 minutes for each group to present their WASH status quo poster. After
each presentation ask the plenary:
What are the geographical and settlement challenges in providing WASH services?
Allow a further 15 minutes for plenary discussion.

Session 2

WASH whos who

90 minutes

FACILITATORS Notes

Step 1: WASH whos who poster

WASH whos
who poster
preparation

Introduce the WASH whos who poster instruction


using Session 2 of the same presentation.

Step 2: Preparing WASH whos who poster per locality


Ask participants to break into their same groups.
Each group to prepare a new poster on WASH stakeholders that impact and/or operate within their
locality. Emphasize the importance of the links between the different stakeholders.
Allow 45 minutes for this step.

Group
report backs
and plenary
discussion

Step 3: Clarifying roles and responsibilities


Ask each group to report back briefly on the roles and responsibilities of the key stakeholders.
Ask them:
Are the roles and responsibilities clear?
What are the overlaps or duplication in roles?
What are the gaps?
Allow approximately 10 minutes for each group.
It is important in this session to focus on an analysis of roles and responsibilities rather than just
reporting on who the stakeholders are.
Allow 45 minutes for this step.

39 | Capacity Building of Local/National WASH NGOs/CBOsin Africa (Cap-WASH) Program


41

Session 3

WASH challenges in your locality

90 minutes

FACILITATORS Notes

Step 1: Introduce WASH challenges session


Introduce the WASH challenges
session using Session 3 of the same
presentation.

WASH whos
who poster
preparation

Step 2: Identifying WASH challenges per locality


Ask participants to break into their same groups.
Each group to write the challenges within their locality onto colored cards with one challenge per
card.
Allow 45 minutes for this step.

Group report
backs and
plenary
discussion

Step 3: Categorizing WASH challenges


Before the groups report back, place a card with each of the following category headings, visibly on
the wall. If necessary add categories appropriate to the challenges identified.
As the learners report back, ask them to place each card under the correct category heading. In this
way their WASH challenges cards are grouped into categories on the wall.
Facilitate discussion pointing out the similarity between the challenges from the different groups.
Allow 45 minutes for this step.

Session 4

WASH strategies and solutions

90 minutes

FACILITATORS Notes

Group
discussion

Step 1: Analyzing WASH challenges


Ask the participants to break into groups of approximately 5 people per group. Each group must
take one (or two) of the categories of challenges and discuss the following:
What are the causes of challenges identified?
Draw on your experience to generate ideas to address the problems and challenges.
Write up suggested solutions and strategies on different colored cards for each challenge.
Allow 45 minutes for this step.

WASH Governance Training Program | 42

Session 4

WASH strategies and solutions

90 minutes

FACILITATORS Notes

Group
inputs and
plenary
discussion

Step 2: Debating WASH strategies


Ask each group to report back on the strategies they have identified to address their different
WASH challenges and problems. Each group to place their cards clearly on the wall while they
present.
Facilitate discussion in the plenary concerning the feasibility of the different solutions suggested.
For example you can ask:
Will the proposed solution solve the problem? If not are there other solutions to the problem?
Is the solution a long term or short term solution?
Is the solution a national level policy solution or is it a local solution?
Does the solution involve additional finance? If so can the necessary finances be accessed and how?
Are the solutions sustainable?
Allow 30 minutes for this step.

Group
inputs and
plenary
discussion

Step 3: Linking strategies or solutions to governance issues


Use the report back cards from the different groups to identify different categories of strategies and
solutions, and place a card for each category visibly on the wall, for example:
Policy (for policy solutions)
Planning
Financial arrangements
Infrastructure and O&M
Water and sanitation services provider institutional arrangements
Monitoring and regulatory framework
WASH support strategy including capacity building
Accountability and transparency
Advocacy and communication
Explain that many WASH problems and challenges
are related to poor WASH governance. Use slides
11, 12 and 13 of the presentation to highlight these
WASH governance challenges. Indicate that this
WASH governance training program attempts to deal
with many of these governance challenges.
Allow 15 minutes for this step.

Resources for participants


Participant preparation list (sent out with the workshop invitation see Facilitators Guide )
Department of Water Affairs (2006) Central District Municipality Water Services Authority Status Quo Booklet. Pretoria, South Africa.
(This is an example of a status quo booklet for a district area. It looks at the following for the district:




WSA in relation to South Africa


WSA in relation to North West Province
Water Services Business Elements
Demographics and Settlement Distribution
Water Services Backlogs: Water Supply

Water Services Backlogs: Sanitation


Water Services Projects
Water Services Development Plan (WSDP) Status
Legislative Compliance Checklist)

39 | Capacity Building of Local/National WASH NGOs/CBOsin Africa (Cap-WASH) Program


43

Module 3
WASH Governance
Facilitators Notes

WASH Governance Training Program | 44

Introduction
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) with the purpose of
ensuring optimal services. It involves all the mechanisms, processes, institutions and relationships through which citizens
and groups articulate their interests and exercise their rights and obligations. It encompasses all the power relations between
stakeholders to determine who gets what, when and how.
Governance operates at different levels, from the national level to households within a community. Governance shapes the way
a service or set of services are planned, managed and regulated within a set of political social and economic systems to ensure
sustainable services. Many stakeholders are involved. At local level, stakeholders include local government (councilors and
officials), community based organizations, NGOs, water services providers, community representatives, local associations, and
possibly traditional leadership. Not least, stakeholders at local level include the users of services.
Water governance means rules and practices for decision-making about water policy and their implementation, i.e. the range
of political, institutional, and administrative processes through which stakeholders articulate their interests, their concerns are
considered, decisions are taken and implemented, and decision-makers are held accountable in the development and management
of water resources and delivery of water services. (OECD)
Good governance achieves water, sanitation and hygiene services that are sustainable, in which stakeholders, including the most
vulnerable in society, have a say in key decisions and where access is equitable and fair. Good governance involves constructive
co-operation between the different stakeholders and addresses gender, transparency, accountability, capacity, sector learning and
performance issues.

Purpose of this module


The purpose of this module is to ensure a common understanding about what governance, water governance, local governance
and WASH governance is. It aims to provide a conceptual approach to applying good governance practices to WASH
governance and services provision.

Learning objectives
By the end of this module participants will:
Understand the concepts and elements of governance, good governance and WASH governance
Have a working knowledge of principles for good WASH governance
Be familiar with the different components of a WASH service
Have an understanding of how to apply concepts of good governance to strengthening WASH services
provision within their locality

Preparation by participants
Participants should come to this session with answers to the WASH governance questions that were part of the preparation for
Module 3 of the WASH training program).

MODULE
Module 3
WASH Governance

Information required
Does your local government have the following in place?
WASH policy
WASH bylaws
A water and sanitation services development plan
Targets for meeting the water and sanitation MDGs
A WASH budget
A WASH monitoring and/or reporting system
Contracts/agreements/arrangements with water and sanitation
service providers
Is your local government responsible for local infrastructure
development?

39 | Capacity Building of Local/National WASH NGOs/CBOsin Africa (Cap-WASH) Program


45

Yes

No

Duration
This module is designed for one day comprising 6 hours of session time and 2 hours for lunch and tea breaks.
Module outline

Session title

Time

Session 1

What is governance?

60 minutes

Session 2

Good governance, water governance and local governance

90 minutes

Session 3

Governance elements of a WASH service

90 minutes

Session 4

Applying good governance to WASH services

90 minutes

Resources for the facilitator


Presentation: Introduction and learning objectives
Presentation: WASH governance
Background paper:
Session plan

Session 1

What is governance?

60 minutes

FACILITATORS Notes

Step 1: Introduce Module Three


Introduce the learning objectives of
this Module.
Use the introductory presentation to
Module Three
It is important to highlight that
this module is very practical and
involves participants actively sharing
information about their locality.

Step 2: What is governance?


Ask participants to write what
they understand governance
to mean in one sentence on a
card. Place the cards visibly on
a wall and use their ideas as a
basis for an introduction to what
is governance using slides 1 to
7 from the WASH governance
presentation to explain what
governance is.
Refer participants to the WASH
governance background paper.

WASH Governance Training Program | 46

Session 2

Good governance

90 minutes

FACILITATORS Notes

Video on
community
management

Step 1: Video on community management


Show The Seventh Video on Community Water Supply and Management. Ask the participants
to identify some of the causes of the problems raised in the video.
In plenary, summarize participants comments on what the causes of the problems are. These
should include issues such as: corruption, lack of leadership, poor communication, poor planning,
gender issues.

Small groups

Step 2: Examples of good governance


Ask participants to work in groups of three where each group member identifies one example of
good governance from their experience. Allow 15 minutes for this activity.
While each group feedbacks to plenary, capture the different elements of good governance in each
example on a flip chart.
Step 3: Good governance, water governance and local governance
Use slides 9 to 23 to give a presentation on good
governance, water governance and local governance.

Group work

Step 4: Good governance practices


Ask participants to break into small groups. Each group is to identify 5 good governance practices.
Each practice must be written on a separate card and placed on the wall.
Facilitate a gallery walk to review and categorize the different practices. Ask participants to start
grouping the practices under different categories, for example:
Allow approximately 40 minutes for this step.
Wrap up the session with slides 24 to 27.

Session 3

Governance elements of a WASH service

90 minutes

FACILITATORS Notes

Step 1: Presentation on governance elements of a WASH service


Introduce elements of a service by presenting slides 28 to 45.

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Session 3

Governance elements of a WASH service

90 minutes

FACILITATORS Notes

Plenary

Step 2: WASH governance elements in your locality


Refer to the participant preparation for Module 3. Write each of the different WASH governance
indicators onto a separate piece of flip chart paper.
WASH policy
WASH bylaws
WASH development plan
MDG targets are set for water and sanitation
WASH budget
WASH monitoring and/or reporting system
Contracts/agreements/arrangements with water and sanitation service providers
Is your local government responsible for local infrastructure development?
Ask each participant to indicate with a tick or a cross on each piece of flip chart paper whether the
item is in place or not. They can also write comments about the item, for example if they dont
know or if an item is particularly good, or not so good.
Together with the participants, review the results on each flip chart page. Ask the
participants the following questions for each item:
What do these results show?
If this item is not in place what does that mean for WASH governance?
Can WASH services be effectively and efficiently provided without this item in place? If not, why not? If
yes, how?
How does having this item help to provide sustainable services?
What needs to be done to improve this item in your locality?
The purpose of this exercise is to get participants to reflect on different WASH governance
indicators such as policy and bylaws and to see the importance of these indicators for WASH
governance. You may find that in many local authorities, these items are not in place, or only
partially in place. For example, many local authorities do not know the overall cost of providing
WASH services and therefore they do not have a WASH budget. Get participants to think about
the consequences of these items not being in place for example, without a Water and Sanitation
Services Development Plan, how does the local authority know where new projects should be built
and how will they know the costs?

Session 4

Applying good governance to WASH elements

90 minutes

FACILITATORS Notes

Step 1: WASH governance elements and good governance practices


Start the session by saying:
You are now familiar with the 6 different elements
for WASH governance that were illustrated in
the honey comb. You have also identified good
governance practices for WASH services
The challenge is how to apply good governance
practices to WASH services
Present slides 45 to 51 to illustrate the 6
governance elements together with good
governance practices.

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Session 4

Applying good governance to WASH elements

90 minutes

FACILITATORS Notes

Group
discussion

Step 2: Group discussion on good governance practices for WASH services


Ask participants to break into 6 groups.
Each group to take one of the WASH governance elements:
Policy and bylaws
Planning
Finance
Infrastructure development
Institutional arrangements for services provision
Regulation
Each group is to consider how good governance practices can improve the particular WASH
governance element that they are considering. For example: How can good governance practices,
such as stakeholder participation, gender mainstreaming, accountability etc. contribute to
improved WASH policy and bylaws? Some good governance practices may not be appropriate for
a particular element. The group should identify which are the most important practices to ensure
sustainable WASH services.

Plenary
debate

Step 3: Good governance practices that will make a difference

Ask each group to report back on the most important good governance practices for the WASH
governance element that they considered.
Make a table of the practices and the elements. Tick the appropriate boxes as the groups report
back on the most important good practices.
Wrap up the session by saying:
We have now seen that good governance practices which are often called cross cutting issues, can be applied
to each of the WASH governance elements. We have also seen that if good governance practices are not
incorporated into the different elements it is unlikely that we will achieve either good governance or sustainable
WASH services.
Resources for participants
De la Harpe, (2010) WASH governance for improved services, IRC, den Haag, Netherlands

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Module 4
WASH Policy
Facilitators Notes

WASH Governance Training Program | 50

Introduction
Everyone has opinions on policy because policy involves decision making. Some may think that a policy is good and will
achieve its objectives. Others may think that it is too expensive. Others may think that it does not address key priorities. Some
may think a policy is unfair and favors one group over another. The purpose of policy is to find equitable, affordable and
sustainable solutions.
Without WASH policy it becomes almost impossible to plan and implement sustainable WASH services. It sets out a countrys
response to the water and sanitation challenges it faces and determines the governance, institutional and financial framework for
the provision of WASH services. WASH policy highlights the sector priorities and clarifies what needs to be done, by who and
when. It identifies important policy decisions and how they should be implemented.

Purpose of this module


The purpose of this module is to illustrate the role of WASH policy in the governance and provision of water and sanitation
services.

Learning objectives
By the end of this module participants will:
Understand the role of WASH policy for the WASH sector and for the provision of water and sanitation
services
Be able to identify important components of WASH policy
Have identified critical issues that a national WASH policy needs to address in order for local
government to implement WASH services in their area of jurisdiction
Have analyzed a WASH policy to against a set of criteria
Be familiar with a framework for analyzing policy effectiveness
Understand why a local authority needs to developing local WASH policies
Have identified the issues that need to be addressed in local wash policy

Preparation by participants
Participants should come to this session with a copy of the national policy for water and sanitation services (which is part of the
preparation for Module 4 of the WASH training program).

Duration
This module is designed for one day comprising 6 hours of session time and 2 hours for lunch and tea breaks.

Module outline
Session title

Time

Session 1

What is WASH policy?

120 minutes

Session 2

WASH policy analysis

120 minutes

Session 3

Water service authority WASH policy (local level policy)

120 minutes

Resources for the facilitator


Presentation: Introduction and learning objectives
Presentation: WASH policy for the sector (national level)
Presentation: WASH policy at the local level (WSA policy)

Session plan

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Session 1

What is WASH policy?

120 minutes

FACILITATORS Notes

Step 1: Introduce Module Four


Introduce the learning objectives of this Module.
Use the introductory presentation to Module
Four.

Step 2: What is the purpose of policy?


Ask participants to write what they understand
the purpose of policy to mean in one sentence
on a card. Place the cards visibly on a wall and
use their ideas as a basis for an introduction to
the purpose of policy using slides 1 to 8 from
the WASH policy presentation.

Group
discussion

Step 3: Why do we need policy in the WASH sector


Ask participants to break into groups of 5 or 6 people to discuss the following questions:
Why do we need WASH policy?
What would be the worst consequence of no policy?
Ask each group to report back. Use slides 9 and 10 from the presentation to summarize the
purpose of WASH policy.

Plenary

Step 4: Components of WASH policy


In plenary ask participants to reflect on the
purpose of a WASH policy and to brainstorm
the different components that should be
covered in a national WASH policy.
Use slides 11 to 29 from the WASH policy
presentation to explain the various components
that should be covered.

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Session 1

What is WASH policy?

120 minutes

FACILITATORS Notes

Group
discussion

Step 5: Relevance of National WASH policy for local government


Ask participants to break into four groups:
Group 1: Institutional
Group 2: Financial
Group 3: Regulatory
Group 4: Support
Each group to answer the following question for their particular focus area:
As local government, what issues do you need clarified in the national WASH policy so that you can
implement WASH services in your local area of jurisdiction
Each group to report back to plenary. Capture and summarize the critical policy issues for each
component area.
Allow 40 minutes for this exercise

Session 2

WASH policy analysis

120 minutes

FACILITATORS Notes

Small groups

Step 1: Analysis of a water and sanitation policy


For this step it is preferable to use the water and sanitation policy of the country within which this
training is been given. If there is no policy easily available, then the sample policy included in this
module can be used, which is the Water Supply section of the Uganda National Water Policy of
1999.
Ask participants to break into groups of four. Give each group a copy of the relevant policy. Ask
the groups to discuss the following questions for approximately 45 minutes:
What is the main problem that the policy aims to address?
What are the main policy issues?
What solution/s does the policy propose to address the problem? Does the policy explain how to
implement the solution?
Are there any contradictory ideas?
Each group to give a 5 minute report back to the plenary on the main solution to the problem.
Wrap up this step by summarizing the main policy solution/s identified by the groups.

Buzz groups
Gallery walk

Step 2: Criteria for policy assessment


Once they have completed an overall strategic discussion on the purpose of the policy, ask the
participants to work in pairs. Each pair is to brainstorm criteria against which to assess the policy.
Ask the pairs to write each criteria on a separate piece of colored card and to place their cards
visibly on the wall.
Criteria include factors such as:
Costs: Are the costs to implement the policy affordable?
Will the benefits of the policy justify the expense of implementing it?
Will the policy ensure efficient and effective implementation?
Is the policy feasible to implement?
Does it clarify roles and responsibilities and relationships between institutions?

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Session 2

WASH policy analysis

120 minutes

FACILITATORS Notes

Gallery walk

Together with the participants, review the various criteria identified.


Ask participants to group the criteria into different categories, for example.

Group work

Step 3: Alternative policy objectives


Ask participants to break into small groups.
Give the groups the following exercise:
Using the same policy reviewed in step one above, identify two alternative policy objectives that could
contribute to the overall purpose of the policy. Write your policy objectives on a flip chart.
Use the criteria identified in the previous step to evaluate your alternative policy objectives and the extent to
which they will contribute to the policys intention.
If need be, improve your policy objectives using the criteria as a guide.
Each group to report to report back on two alternative policy objectives. For each report back ask
the plenary the following:
Is this a good WASH policy objective?
Why?
Wrap up the session by emphasizing the importance of having the right WASH policies in place
towards ensuring an enabling environment for good WASH governance and sustainable services
provision.
Allow approximately 40 minutes for this step.
Step 4: Analyzing policy effectiveness
Use slides 30 to 42 from the WASH
policy presentation to provide an
overall framework for analyzing
policy effectiveness.
In plenary discuss why it is
important to analyze policy
following implementation.

The next session shifts from national policy to local policy.

WASH Governance Training Program | 54

Session 3

WASH policy for local government

120 minutes

FACILITATORS Notes

Step 1: Presentation on WSA WASH policy


Introduce the importance of a local authority
developing its own WASH policy in line with
national policy by presenting slides 1 to 9 of
the Water Service Authority (WSA) WASH
policy presentation.

Plenary

Step 2: Issues to be addressed in a WSAs WASH policy


Ask participants to brainstorm in buzz groups the issues that they think should be addressed in a
local WASH policy. Remind the participants that the local WASH policy needs to set out how the
WSA will provide water and sanitation services in its area of jurisdiction.
Ask each buzz group to report back one issue they have identified. Capture all the issues on a flip
chart.
Present slides 10 to 20 of the Water Service Authority (WSA) WASH policy presentation to explain
all the issues that a WSA should address in its WASH policy.
The purpose of this exercise is to get participants to reflect on the type of issues and policy
decisions that a local government as the water services authority needs to address in order to fulfill
their water and sanitation responsibilities.
Refer participants to the guideline to develop local water and sanitation service policies
Step 3: Tariff, credit control and debt collection policies
Use slides number 21 to 30 of the Water Service
Authority (WSA) WASH policy presentation to
explain the WSA tariff policy.
The purpose of this step is to merely
familiarize participants with the need for local
government to have tariff and credit control
and debt collection policies in place to support
implementation of their WASH policy.
Wrap up the session by asking for any questions
of clarification. Ask participants what they
found most useful about this module.

Resources for participants


de la Harpe, (2012) Guideline to develop local
water and sanitation service policies
Principles underpinning WASH services

Water supply policy of Uganda


Example of Water Policy for Local Government
RWSN (2010) Myths of the rural water supply sector

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Module 5
WASH Development Planning
Facilitators Notes

WASH Governance Training Program | 56

Introduction
Planning for WASH services refers to WASH development planning at the local government level. The purpose of WASH
development planning is to ensure efficient, affordable, economical and sustainable water and sanitation services. A WASH
development plan is the product of the development planning process. It is a sectoral plan, which deals with socio-economic,
technical, financial, institutional and environmental issues as they pertain to water and sanitation services for a specific local
area. It also functions as a management tool towards ensuring universal coverage and sustainable water and sanitation service
provision.
The WASH Development plan is a critical part of planning for local integrated sustainable development where socio-economic,
environmental and institutional components are addressed. Different countries will have different frameworks for integrating
their various sectoral plans.
This module focuses on the WASH development planning including: the purpose of a WASH development plan; the
information that needs to be addressed in the plan; key stakeholders and the planning phases. The main components of a
WASH development plan are illustrated in the planning cycle below. Each of these components is translated into a chapter of
the plan.

Learning objectives
By the end of this module participants will:
Understand the importance of WASH development planning towards scaling up WASH services and ensuring sustainable
service provision
Be familiar with the purpose of a WASH development plan
Understand the importance of stakeholder participation in WASH development planning
Be aware of the different phases of the WASH planning cycle
Know what the different components of a WASH development plan are and how these components are linked within the
strategic planning process
Be familiar with the WASH development plan template and be able to assess its appropriateness to their specific local context

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Purpose of this module


The purpose of this module is for participants to understand the WASH planning cycle and how to prepare a WASH
development plan for a local area (typically a local government area of jurisdiction) towards scaling up sustainable WASH
services.

Duration
This module is designed for one day comprising 6 hours of session time and 2 hours for lunch and tea breaks.

Module outline
Session title

Time

Session 1

Purpose of WASH development planning

60 minutes

Session 2

Stakeholder participation in WASH development planning

30 minutes

Session 3

Using a strategic planning approach

60 minutes

Session 4

Components in WASH development planning

30 minutes

Session 5

Phases in the WASH planning process

90 minutes

Session 6

WASH development plan format

60 minutes

Resources for the facilitator


Presentation: Introduction and learning objectives
Presentation: WASH development planning
Briefing note: de la Harpe, J. (2011) Water and sanitation development planning within local government, IRC, Den Haag
WASH development plan template (2010)
Briefing note: Integrated development planning (2012), IRC, den Haag
Briefing note: Participatory strategic planning (2011), IRC, den Haag

Session plan
Session 1

Purpose of WASH development planning

60 minutes

FACILITATORS Notes

Step 1: Introduce Module Five


Introduce Module Five and
the learning objectives of this
Module. Use the Module Five
Introduction and objectives
presentation.

Group work

Step 2: WASH development planning

WASH Governance Training Program | 58

Session 1

Purpose of WASH development planning

60 minutes

FACILITATORS Notes

Use the first 5 slides of


the WASH development
planning presentation to
introduce what is meant by
development planning for
WASH services.
Ask participants to
break into groups of
approximately five to six
people. Give each group
a piece of flip chart paper
and pens. Ask each group
to discuss the type of
development planning
that takes place at local
government level and the
role of WASH in this
development planning.
Provide the following questions to help guide the group discussions:
Does your local government undertake integrated development planning?
If so what sectors does this cover (transport, water, electricity, housing, education, health, sanitation, etc.)
What planning is undertaken to address water, sanitation and hygiene development? Is a separate plan
produced for WASH development planning? If so, what is this plan called?
What is the purpose of the water, sanitation and hygiene development plan?
Ask participants to record their discussions on the flip chart paper in preparation for feedback to
the plenary session.
Plenary

Step 3: Plenary report backs

Ask each group to report


back on the integrated
development planning
and WASH planning that
takes place in their local
government/s.
On a flip chart paper
summarize the findings
of each group in terms of
the purpose of the WASH
development plans.
Use slide numbers 6 to 11
from the WASH planning
presentation to address
the purpose of WASH
development planning.

Facilitate a discussion on how WASH development planning supports local government to fulfill
its water and sanitation service functions and responsibilities.

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Session 2

Stakeholder participation in WASH development planning

30 minutes

FACILITATORS Notes

Plenary

Step 1: Identify stakeholders in WASH development planning


Brainstorm in plenary the range
of stakeholders that should
participate in WASH development
planning. Capture the list of all the
stakeholders on a flip chart.
For each stakeholder, ask
participants to motivate why the
stakeholders should be part of the
planning process.
Use slides 12 to 14 from the WASH
development planning presentation
to support the discussion on
stakeholders and their role in
WASH development planning.

Session 3

Strategic planning approach

60 minutes

FACILITATORS Notes

Step 1: Why a strategic planning approach?


Use the WASH development planning
presentation to explain why a strategic
planning approach is needed to undertake
WASH development planning. Present
slides 15 to 19.
Ask participants for any points of
clarification.

Group work

Step 2: What does strategic planning entail?


Ask participants to break into groups of approximately 4 people per group to discuss their
understanding of what is meant by strategic planning.
Indicate the following as part of the instruction to the groups:
What are the different phases in a strategic planning process?
Remember that strategic planning starts with the existing situation and ends with a plan that can be
implemented to achieve the future situation
Draw the phases on a piece of flip chart paper
Step 3: Phases in a strategic planning process

WASH Governance Training Program | 60

Session 3

Strategic planning approach

60 minutes

FACILITATORS Notes

Plenary
report backs

In this step each group will report back on the phases they think should be followed in a strategic
planning process.
Allow approximately 7 minutes per group and encourage the plenary to engage with each report
back. The purpose of this plenary session is to ensure that all the participants understand the
process towards making strategic decisions.
Use a piece of flip chart paper to summarize the
key phases or steps in a strategic planning process
based on the report backs the main phases
should include the following:

Capture key
report backs
on flip chart

Visioning the future situation


Assessing/analysis of the existing situation
Strategizing to determine the best options to
achieve the vision
Planning to convert the strategy into a plan with
objectives and actions
Use slides 20 to 30 from the WASH development planning presentation to describe a strategic
planning process, which also includes post implementation reflection.
Ask for questions of clarification. Explain to the participants that the next session will look at how
the strategic planning process is used for WASH development planning.

Session 4

Components in WASH development planning

30 minutes

FACILITATORS Notes

Buzz groups
in plenary

Step 1: Components or issues to consider in WASH development planning


The purpose of this session is to get
participants to think about all the
components or issues that need to
be considered within the WASH
development planning process.
Ask participants to break into pairs
in the plenary. Each pair is to
identify at least 5 components that
must be considered during a WASH
development planning process.
Give an example:
We cannot develop a WASH
development plan without considering
the consumer profile and what their needs are.
What else do we need to consider- in both the existing situation and in the future situation
Provide motivations for your answers
Allow 5 minutes for the buzz groups.

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Session 4

Components in WASH development planning

30 minutes

FACILITATORS Notes

Buzz groups
in plenary

In plenary ask each buzz group to report back two components that need to be considered and to
explain why the components are important. The components should include the following (or
similar)

Consumer profile
Service levels
Water balance
Water source and quality
Water services infrastructure

Demand management
Institutional and management arrangements
Finances
Affordability

Each of the above components or issues are important when planning future services.
For example service levels cannot be determined without knowing how much water is available, or
whether the community can afford the service level.
Wrap up the session with slide number 31 from the WASH planning presentation and an
explanation of the different components using the hand out: Components in the WASH
development planning process. Ask for questions of clarification.

Session 5

Phases in WASH development planning

90 minutes

FACILITATORS Notes

Plenary

Step 1: Planning Phases

In this session an introduction


is given of the different phases
in WASH development
planning. This is based on
a planning process that has
specifically been developed
for local government when
addressing development
planning. It is also designed
to link into an integrated
development planning process.
Present slides 32 to 44 from
the WASH development
planning presentation

Group
exercise

Step 2: Applying the process


In this step participants are going to practice using the strategic planning approach towards
developing a WASH development plan. The main purpose of the exercise is to get the participants
to think about the different components of a WASH development plan and how these relate to
each other when developing future strategies.
Ask the participants to break into groups of about 5 people per group. Explain the purpose of the
exercise:
In this exercise you will undertake a WASH development planning process for an imaginary local government
for a 5 year period.

WASH Governance Training Program | 62

Session 5

Phases in WASH development planning

90 minutes

FACILITATORS Notes

Group
exercise

First you need to analyze the existing situation of the local government based on the different components of
WASH development planning.
Refer participants to the different components.
Once you have developed the
existing situation you need to
undertake a visioning exercise
for the future you want to see in
your imaginary local government.
The future situation should also
be described according to each
component.
For example if currently there are
1000 households without access
to potable water, you may want
to ensure that these households
have access in the future. This
means determining levels of
service, affordability, finances and
whether these is a water service
provider to operate and maintain the service or whether a new provider needs to be established.
Once the future situation has been established, briefly outline a plan to achieve the future situation. For
example, the plan may include a project to construct new infrastructure, including the total finances required.
This is an imaginary exercise. It does not have to be very detailed, and it does not have to be perfect. The
main idea is to get you thinking about the different components you need to consider in WASH development
planning and why these components are important.
The process brings together consumers, service levels, infrastructure, water resources, institutions and finances.
Keep it simple and have fun.
Be prepared to talk about your imaginary local government in the plenary and your planning process.
Allow up to one hour for this exercise. Walk around the groups and provide guidance where
necessary.
Ensure that the groups are considering the different components when planning for the future.

Plenary

Step 3: Sharing plans


In the plenary, each group is to share what they learnt from undertaking the exercise.
Capture the group feedback on a flip chart. Review the responses. Have the participants indicated
the following:
Strategic planning is quite complex and requires consideration of a range of factors simultaneously
The components help to ensure that a WASH development plan is realistic, financially viable and can be
implemented
The process forces a focus on all the key issues, including customers, water, institutions, finances

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Session 5

Phases in WASH development planning

90 minutes

FACILITATORS Notes

Plenary

There is not one solution, but a range of solutions that need to be considered
The process of strategizing brings up different options
It is time consuming because the process is iterative
Indicate to the participants that the process of developing the actual WASH development plan is
also an iterative process.

Session 6

WASH development plan format

30 minutes

FACILITATORS Notes

Step 1: Presentation of the format

Use slide numbers 45 to 54 from


the WASH planning presentation
to present the format of the
WASH development plan.
Inform participants of the
template and how they can access
it. Clearly indicate that the
template is designed for a local
government that has capacity
to access and analyze data and
information as well as undertake
quite sophisticated development
planning. However it can be
simplified as necessary.
Wrap up the session with
questions for clarification.

Resources for participants


de la Harpe, J. (2011) WASH development planning (Briefing note), IRC, Den Haag
Infrastructure condition as part of WASH development planning, IRC, Den Haag
Integrated development planning (Briefing note), IRC, Den Haag
Participatory strategic planning (Briefing note), IRC, Den Haag
de la Harpe, J, (2010) WASH development plan template

WASH Governance Training Program | 64

Notes

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Module 6
Infrastructure Development
Facilitators Notes

WASH Governance Training Program | 66

Introduction
Infrastructure development refers to the development of WASH capital infrastructure, whether it is new infrastructure, or
upgrading or extending existing infrastructure. This module focuses on the project cycle through which WASH infrastructure is
developed.
The WASH project cycle comprises four phases:
Planning phase
Detailed design phase
Implementation phase
Operations and mentoring phase
The actual provision of water
supply services starts with
commissioning and is ongoing, and other sustainability
issues. This infrastructure
development module focuses
on activities that strengthen
good governance through
the project cycle, in particular:
Stakeholder participation
through a project steering
committee (PSC)
Community participation and
awareness (CPA)
The importance of identifying
the most appropriate water
services provider prior to project
commissioning.

Learning objectives
By the end of this module participants will:
Be familiar with the project cycle and the different phases of the WASH project cycle
Understand the importance of stakeholder participation, particularly in terms of the recipient
community
Be able to identify good governance practices through the WASH project cycle
Understand the links between the WASH project cycle and selecting the most appropriate water services
provider (WSP) for ongoing services provision

Purpose of this module


The purpose of this module is for participants to understand the project cycle for WASH infrastructure projects and to be
familiar with key activities that will ensure good governance and sustainability of WASH services in their locality.

Duration
This module is designed for one day comprising 6 hours of session time and 2 hours for lunch and tea breaks.

Module outline
Session title

Time

Session 1

The WASH project cycle

60 minutes

Session 2

Good governance through the project cycle

90 minutes

Session 3

Phases of the WASH project cycle and stakeholder activities

90 minutes

Session 4

Review of sustainability issues through the WASH project cycle

90 minutes

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Resources for the facilitator


Presentation: Introduction and learning objectives
Presentation: Infrastructure development
Hand-out: de la Harpe, J. (2011) The WASH life cycle towards sustainable services provision, IRC, Den Haag

Session plan
Session 1

The WASH project cycle

60 minutes

FACILITATORS Notes

Step 1: Introduce Module Seven


Introduce Module Seven and the
learning objectives of this module.
Use the Module Seven Introduction
and objectives presentation.

Step 2: Design a project cycle


Use the first 5 slides of the
infrastructure development for
WASH services presentation to
introduce the idea of a project
cycle.
Ask participants to break into
groups of up to six people. Give each
group a piece of flip chart paper and
pens.
Explain the following:
We are going to look at a WASH
project cycle for capital projects.
Each group must design a project
cycle for a capital project in your locality. (If you come from different localities, then produce a more-or-less
generic version.)
The project cycle should begin with the start of the project, and end at the point where the project is providing
an ongoing service.
Show the phases in the project cycle.
Indicate the main activities and outputs per phase.
Record your discussion on the flip chart paper preferably by means of a diagram with notes for feedback
in plenary.
Place your flip chart papers on the wall so they are clearly visible.

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Session 1

The WASH project cycle

60 minutes

FACILITATORS Notes

Plenary

Step 3: Plenary review of project cycle

In their groups, ask participants to walk past each


diagram, and to check similarities and differences.
Ask each group to present ONLY the main phases
(and milestones, if recorded) in their project
cycles. At this point participants should gain
consensus on the main phases of the project cycle.
(Activities per phase are looked at in more detail
in the next session).
Use slides 5 and 6 from the WASH infrastructure
development presentation to describe a generic
project cycle for a WASH capital project
highlighting phases and milestones.
Explain to participants that the phases of the
project cycle will differ from country to country
and perhaps even amongst different water service
institutions in the same country. The main point
is that they should be familiar with the generally
accepted project phases in that are used in their
locality.
Tell participants that you will use the generic
project cycle for the rest of the module, including
any changes that might have been agreed to in
plenary.

Session 2

Good governance through the WASH project cycle

90 minutes

FACILITATORS Notes

Step 1: Governance threads


Use slides 7 to 15 from the
infrastructure development
presentation to explain the focus
on three governance threads
to ensure good governance
and sustainability of a WASH
project:
A mechanism for good
governance project steering
committee (PSC)
Community participation and
awareness (CPA)
The importance of identifying
the most appropriate water
services provider (WSP)
prior to project commissioning

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Session 2

Plenary
brainstorm

Good governance through the WASH project cycle

FACILITATORS Notes

Step 2: Identify stakeholders in WASH capital project


Brainstorm in plenary the range of stakeholders for a WASH infrastructure project. Capture a list
of all the stakeholders on a flip chart.
These could include:
Community members
Community structures/forums
Local government
Politicians, councilors
National department/s for water

and sanitation

Group
discussions

90 minutes

Support agencies
Social and technical consultants
NGOs
Water service provider/s
Training and capacity building institutions
Contractors

Step 3: Group discussions on PSC, CPA and WSP


The exercise below is to get participants to start thinking about the project steering committee,
community participation and awareness and the water service provider in terms of a project.
Ask the participants to break into 3 groups and to discuss the following:
Group 1:

Group 2:

Group 3:

Who should be represented on the project steering committee and why?


What are the main functions of the PSC?
What type of community participation and awareness activities should take
place for a WASH project? What do they need to achieve?
What WSP issues need to be addressed during the WASH project?

Allow 30 minutes for this step.


Ask groups to report back to plenary. Capture main points of their report backs on a flip chart.
Wrap up the session by saying:
We have seen that there are a number of issues that need to be addressed in terms of the PSC, community
participation and awareness and WSP arrangements.
It is not easy to address all these issues in a vacuum.
The phases in the project cycle assist in planning and managing the different activities.
We will now look at the phases of the project cycle in more detail so it will become clearer how to structure
the different activities through the project cycle.

Session 3

Phases of the WASH project cycle and stakeholder activities

60 minutes

FACILITATORS Notes

Step 1: Phases of the WASH project cycle


Use the infrastructure development for WASH services
presentation to explain the different phases of the WASH
project cycle. Present slides 16 to 35.
Ask participants for any points of clarification.

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Session 3

Group work

Phases of the WASH project cycle and stakeholder activities

60 minutes

FACILITATORS Notes

Step 2: Stakeholder activities through the project phases


Ask participants to break into 5 groups according to the five main categories of stakeholders that
they identified in the brainstorm. These groups should include the following:
Group 1: Community members (including traditional leaders, any forums or structures within

the community)
Group 2: Local government (including any related structures)
Group 3: Water services provider
Group 4: Contractor (construction)
Group 5: Supporting agency/or consultants (those responsible for all the non-technical aspects,

for example community facilitation, awareness, communication, stakeholder

participation, etc.)
In some cases the contractor and the supporting social consultants may be the same entity.
Structure the key stakeholder groups according to what makes sense for the context.
Each group is to use the project cycle to discuss the role and key activities of their stakeholder
through the different phases.
What does this stakeholder need to know and do through the different phases of the WASH project cycle to
ensure that the project is successful and results in sustainable water and sanitation services.
What are the key decisions (if any) that this stakeholder needs to make during the project cycle?
Leave slide 35 on the screen so that the groups can refer to the different phases. The idea of this
exercise is to get each group to think about the entire project cycle from a particular stakeholder
perspective.

Plenary
report backs

Step 3: Roles and responsibilities for each phase of the WASH project cycle

Capture key
activities on
flip chart

Prepare a flip chart paper for each phase in the project cycle:
Planning phase
Design phase
Implementation phase
Operations and mentoring phase

In this step the report backs from each group will contribute to an overall picture of roles and
responsibilities for each phase of the project cycle. In this way the participants can start to see how
all the stakeholders contribute to the outcomes of each phase.

Ask each stakeholder group to report back on their key role for each phase in the project cycle.
Capture the main points for each phase. For example, when the first group reports back, capture
the main role of the community for each phase. Do the same for the second group.
At the end of the exercise you should have a sheet for each phase with the key roles of each
stakeholder for that phase.

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Session 4

Review of sustainability issues through the WASH project cycle 90 minutes

FACILITATORS Notes

Plenary

Step 1: Review of the Planning Phase


In this session the
participants are going to
review the flip charts for each
phase of the project cycle.
The purpose of the exercise
is to examine the different
activities and how they link
to ensuring that the project
will result in sustainable
WASH services.
This session reinforces the
presentation on the phases of
the project cycle and the
purpose of each phase.
Start with the Planning Phase flip chart. Put slide number 18 on the screen.
Ask participants to review all the key activities of the stakeholders in the Planning Phase. Ask the
participants:
We know that the planning phase needs to result in a Project Feasibility Study and the Project Proposal.
Look at all the key activities for all the different stakeholders in the Planning Phase.
Will all these activities result in a good Project Feasibility Study?
Will these activities result in a good Project Proposal?
Is there sufficient stakeholder participation in the key decisions?
Have the activities addressed who the water services provider will be?
What activities will ensure that the community is sufficiently aware of the project and that they have made
inputs to the key decisions?
Does anything else need to be done to address sustainability issues during this Phase?
Get participants to discuss the phase so that they fully understand the purpose of the Planning
Phase in terms of deciding options that will be sustainable.
Step 2: Review of the Design Phase
Now move to the Design Phase flip chart. Ask participants to review all the key activities of the
stakeholders in the Design Phase. Put slide 30 on the screen. Ask participants:
Do the activities ensuring stakeholder
participation and good governance of the
project?
What about community awareness activities
around the project?
Does this phase make provision for ensuring an
appropriate water service provider is in place
to operate and maintain the services?
Who is responsible for developing the supporting
plans? How can we ensure that the plans will
contribute to sustainability?
What is missing?

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Session 4

Review of sustainability issues through the WASH project cycle 90 minutes

FACILITATORS Notes

Step 3: Review of the Implementation Phase


Now move to the Implementation Phase flip chart.
Ask participants to review all the key activities during this
phase. Put slide 34 on the screen. Ask participants:
Do all the activities in this phase result in the outcomes for the
implementation phase?
Do the activities ensure capacity support where necessary?
Is provision made to ensure that the water service provider
will be ready to take on the operations once the project is
commissioned at the end of this phase?
Step 4: Review of the Operations and Maintenance Phase
Move to the Operations and Mentoring Phase flip chart.
Again review all the key activities during this phase. Ask
participants:
What could go wrong in this phase?
Do all the activities identified on the flip chart ensure that
the services will be sustainable?
What is missing?
Ask participants if the activities they identified for each phase are happening in practice in their
localities.
Which activities are not being properly addressed?
Are all the governance issues addressed, for example establishing a PSC, community participation and
awareness and ensuring that an appropriate water service provider is in place?
Are these issued dealt with before the project is completed?
Wrap up the session by asking each participant to suggest one action that could improve the
implementation of WASH capital projects in their locality.
Ask for any questions of clarification.
Refer participants to the hand-out: Using the project cycle to address WASH sustainability issues.
Step 5: The project life cycle
Present slides 37 and 38 to explain the WASH life cycle and how
the WASH project cycle fits into the life cycle.
Refer participants to the hand-out: The WASH project cycle: More
than a capital project.

Resources for participants


Hand-out: de la Harpe, J. (2011) The WASH life cycle towards sustainable services provision, IRC, Den Haag
List of contents for a WASH project proposal
Guideline for establishing a WASH project steering committee

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Module 7
Institutional Arrangements
for Service Provision
Facilitators Notes

WASH Governance Training Program | 74

Introduction
Water, sanitation and hygiene services can be provided by a range of entities depending upon a countrys policy and legislative
framework. These include local government itself, a community based organization (CBO), a large or small private entity, a state
owned utility, an NGO, or a combination of these. The entity that provides the service is typically called a service provider, or
water service provider.
Increasingly local governments are recognizing that they need to make use of other entities, particularly where they do not have
the capacity to provide efficient, effective and sustainable services, such as in remote rural areas.
Deciding which entity should provide WASH services in a particular area is one of the most important governance decisions for
a local authority. The location and size of the area to be served, the number of consumers, the type of technology to be operated,
the level of service and the financial arrangements all influence the type of service provider that is most appropriate to provide
the services. For example, in remote rural areas, a CBO is usually required since other entities do not have easy access to the
infrastructure.
Institutional arrangements for water and sanitation service provision is a big and complex topic. In order to clearly illustrate
the roles and functions of a service provider, this module addresses water service providers (for water supply) as an illustrative
example. This module therefore does not address service provider arrangements for sanitation or hygiene promotion.

Learning objectives
By the end of this module participants will:
Know the role and functions of a water service provider
Have an understanding of the relationship between a local authority, a water service provider and consumer
Be able to identify different water service provider institutional options
Know the advantages and disadvantages of different WSP options
Know what the criteria are for selecting the most appropriate water service provider and apply them to their locality

Preparation by participants

Participants should come to this session with answers to the WASH governance questions that were part of the preparation for
Module 7 of the WASH training program).

Information required
What types of water and sanitation service providers are operating in your locality? (For example, utility,
a local government, a community based organization (CBO), a private operator, etc.)
What are the functions of the different water service providers in your locality?
Which water service provider do you think is providing the best service? Why?

Duration
This module is designed for one day comprising 6 hours of session time and 2 hours for lunch and tea breaks.

Module outline

Session title

Time

Session 1

Role and functions of a water service provider

90 minutes

Session 2

The relationship between a local authority, a water service provider and consumers

60 minutes

Session 3

Water service provider institutional options

60 minutes

Session 4

Criteria for selecting the most appropriate water service provider

90 minutes

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Resources for the facilitator


Presentation: Introduction and learning objectives
Presentation: Institutional arrangements for water service provision
Group exercise hand-out
This module is content intensive, particularly in terms of the supporting presentation on institutional arrangements for water
service provision. It is important for the facilitator to ensure that they are completely familiar with the purpose and content
of the different parts of the presentation. Some parts may not be applicable depending upon the particular context and
participants. For example the presentation deals with service delivery partnerships.

Session plan
Session 1

Water service provider functions

90 minutes

FACILITATORS Notes

Step 1: Introduce Module Seven


Introduce the learning objectives of this Module.
Use the introductory presentation to Module Seven.

Group work

Step 2: What are the functions of a water service provider?


Ask participants to break into groups with 4 people
per group. Each group should preferably include a
mix of participants from different localities.
The group to discuss and record on a flip chart
The name/s of the water service providers within
their locality
What each provider does
Each group to report back to plenary. At the end of the report backs ask the plenary to identify the
main functions of a water service provider and capture these on a flip chart. These main functions
should include:
Management
Customer relations
Revenue collection
Hygiene awareness

Operations
Maintenance
Monitoring

The management function will include activities such as planning, financial management, asset
management, administrative and human resource issues.
The 3 Ms are where CBOs usually need another entity to fulfill the function are: management,
maintenance, and monitoring. They also typically require mentoring support.
Present slides 1 to 20 from the Institutional arrangements for service provision presentation to
explain the functions of water service providers.

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Session 2

Relationships and accountability

60 minutes

FACILITATORS Notes

Role play

Step 1: Role play WASH accountability relationships


Use the Group exercise instruction for WASH accountability relationships to brief the groups.
Give each group a copy of the group exercise instruction. The instructions are recorded below:
Scenario
The Madiba Local Authority (MLA) is the
authority for water in the Madiba Area of
jurisdiction.
The MLA has a service agreement with the Amanzi
water service provider to provide water to the
Amanzi community
The agreement states the conditions and standard
of the service that the Amanzi water service
provider must provide. One of the conditions is
that the service may not be interrupted for
longer than 24 hours.
The problem
The water service has broken down and the community has not had water for 5 days. This
happens at least twice a month. The community is very angry, especially those households that
have paid for their water every month.
Many households in the community have not paid for water over the last 3 months.
The Amanzi water service provider does not have the skills to fix all the problems. They also do
not have access to technical support to help them address the interruptions in the service. Over
the last few months they have not collected enough money to pay all the operating costs.
The meeting
The community has decided to call a meeting with the Madiba Local Authority. The Amanzi
water service provider has heard about the meeting and decides that they better be there too.
Instructions for the groups
Participants are to break into three groups: One group is the community members. One group is
the Madiba Local Authority and one group is the Amanzi water service provider.
Each group is to prepare for the meeting using the instructions below:
Community group: As the community you are angry and you are fed up with the Amanzi
water service provider. Some members in the group want a new water service provider. In your
group discuss the problem and how you are going to raise it with the local authority. Appoint 2
members to attend the meeting.
Madiba Local Authority (MLA): You have received the request for a meeting from the
community. In your group prepare for the meeting. How are you going to find out what the
problem is? What information do you want to know from the community? What do you need
to know from the Amanzi water service provider? Appoint one member of the group to act as
the water councillor and one other member to attend the meeting.
Amanzi water service provider: The members of the Amanzi water service provider include
a chairperson, the treasurer, the secretary and the operator. You have heard that the community
is meeting with the MLA. You have decided to go to the meeting to tell the MLA about your
problems. In your group discuss the problems you have and how you will raise these in the

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Session 2

Relationships and accountability

60 minutes

FACILITATORS Notes

meeting. Decide what action you would like the MLA to take. Appoint two members to attend
the meeting.
You have 20 minutes for this exercise.
Instructions for the plenary meeting
In plenary arrange the seating for the six
members to have the meeting. The water
councilor from the MLA is to chair the meeting.
Conduct the meeting for 15 to 20 minutes.
The remaining members of the groups are to
observe the meeting and make notes about what
you see happening.
Facilitate a discussion about the relationships
between the 3 parties.
Who is in charge of the meeting?
Where does the real problem seem to lie?
What is the relationship between the MLA and the community?
What is the relationship between the community and the Amanzi water service provider?
Who do you think is responsible for the problem? Why?
Who is solving the problem?
Wrap up the session with slides 21 to 25 from the Institutional arrangements for service provision
presentation.

Session 3

Water services provider options

60 minutes

FACILITATORS Notes

Plenary
discussion

Step 1: Identify different types of water service providers


Introduce this session by explaining that:
There are 5 basic types of water services providers. These are:
a) A water utility (a large state owned company)
b) A local government (municipality, district, governorate, etc.)
c) A community based organization (CBO)
d) A private operator (this can be a big or small institution)
e) An NGO
Participants to divide into groups of 4 and do a gallery walk around the flip charts from the first
session. Each group to agree on the type of service provider/s on each flip chart and mark each
provider with a card. They must use one of the 5 types, namely: water utility, a local government, a
CBO, private sector, and NGO.
Step 2: Plenary discussion to gain consensus on types
In plenary review the cards on the flip charts. Discuss each example to come to consensus on the
type of water service provider. In some cases the institutional arrangement for water service

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Session 3

Water services provider options

60 minutes

FACILITATORS Notes

provision may include more than one entity.


Explain that this will be addressed in WSP institutional options in the presentation.
Step 3: Water service provider institutional options
Introduce the different institutional options by presenting
slides 1 to 20 of the Water service provider institutional
options presentation.

Buzz groups

Step 4: WSP options in your locality


Ask participants to break into buzz groups of 2 to 3 people and to reflect on the different WSP
options given in the presentation. Ask participants:
What WSP options are operating in your locality?
Are the WSP institutional arrangements clear to the users (community members) in terms of who is the
responsible WSP?
What problems arise when there is a lack of clarity about the WSP?
Allow 10 minutes for this step.

Plenary
discussion

In plenary ask the buzz groups to report back. On a flip chart paper capture all the problems that
are identified when WSP arrangements are not clear.

Small
groups

Step 5: Advantages and disadvantages of WSP options


Outline the advantages and disadvantages of different
options by presenting slides 21 to 26 of the Water service
provider institutional options presentation.
Ask participants to break into groups of 4 to 5 people
and to select one example of a WSP institutional
arrangement that includes community management. Ask
participants to record the following on a piece of flip
chart paper:
List all the advantages of the community based arrangement for sustainable services provision
List all the disadvantages of the arrangement
Identify some solutions to address the disadvantages
Allow 20 minutes for this step.

Plenary
report backs

Step 6: Solutions to improve community management


Each group to report back to plenary. Capture the main solutions and strategies to address the
disadvantages or weaknesses of community management.

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Session 4
Plenary
brainstorm

Criteria for selecting appropriate water service providers

60 minutes

FACILITATORS Notes

Step 1: Factors when considering WSP options


Ask participants what factors need to be taken into
account when considering WSP options for a particular
community. For example location of the community.
Capture their points on a flip chart.
Outline the factors that influence the WSP option by
presenting slides 1 to 11 of the Factors and criteria when
deciding WSP options presentation.

Plenary
brainstorm

Step 2: Criteria for selecting WSP options


Now ask participants to think about criteria to help select
the best WSP option. For example, issues around efficiency,
effectiveness and sustainability.
Capture their points on a flip chart.
Outline the criteria for selecting the most appropriate WSP
option by presenting slides 12 to 24 of the Factors and
criteria when deciding WSP options presentation.

Group
discussion

Step 3: Applying criteria to a WSP in your locality


Ask participants to break into groups of 5 people.
Ask each group to identify a water service provider
operating in their area and to rate the WSP
according to the criteria in the table below.
For each criteria a rating of between 1 and 5 must
be given, where 1 is very weak and 5 is very
good.
The total points per criteria should be added to
give an overall rating out of 35. Allow 20 minutes
for this exercise.

Plenary
discussion
and wrap up

Step 4: The best WSP option


Ask each group to report back the total rating for the WSP they selected. The group that gives
the highest rating is to motivate why the WSP received such a high rating. The other participants
should comment on the rating and indicate whether they agree with the final rating.
Wrap up the session:
There is no single perfect WSP arrangement WSP arrangements depend upon many factors. The challenge
is to find the best option for the particular context and conditions within which the WSP has to operate.
WSPs should be assessed for efficiency, effectiveness and sustainability as part of an on-gong performance
assessment.

Resources for participants


Water service provider arrangements for rural areas

WASH Governance Training Program | 80

Notes

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Module 8
Advocacy and Communication
Facilitators Notes

WASH Governance Training Program | 82

Introduction
Advocacy and communication are concepts used throughout the WASH sector. However, the value they add to good governance
of WASH services is largely unknown and, consequently, advocacy and communication are generally not prioritized nor
properly resourced.
Advocacy and communication are what are known as cross-cutting issues they are not a stage in a project, program or
service, but are rather a set of important actions applicable throughout the project cycle and the ongoing provision of the
WASH service. A project, program or service can be provided without advocacy and communication; however, experience has
shown that even the most well designed programs and services will often fail because of poor advocacy and communication
which includes mobilization, awareness creation, consultation, education and information sharing.
It is there very important for local government and other WASH sector role players to understand what it meant by advocacy
and communication in WASH services, and the value of advocacy and communication to achieving good governance of WASH
services.
It is also of utmost importance that these activities are appropriately resourced with personnel and a budget.

Purpose of this module


The purpose of this module is for participants to recognize the value of advocacy and communication in the WASH sector, and
to examine practical ways to apply advocacy and communication to good governance of WASH services in their locality (or
organization).

Learning objectives

By the end of this module participants will have:


Enriched their understanding of the terms advocacy and communication, and the importance of both to good governance
of WASH services.
Developed an outline for an advocacy and/or communication plan for their locality or organization.
Grown their appreciation for the range and value of advocacy and communication materials and activities for different WASH
contexts and audiences
Applied their minds to their own role in improved advocacy and communication in their locality and/or organization

Preparation by participants
Where possible and available, participants should bring the following to the training:

Preparation required
Examples of advocacy or communication materials used in their own organization or locality (e.g.
posters, pamphlets, t-shirts, etc.). These examples can be from the WASH sector or other sectors (e.g.
health).
A list of any known WASH advocacy and communication activities in the area (including awareness and
education, consultation, information sharing and mobilization), and who is driving them.
Any organizational or local government plans/strategies to do with advocacy and communication.

Preparation by the facilitator


In case participants do not bring examples of advocacy or communication materials, the facilitator should bring a few examples
of both good and bad advocacy and communication materials.

Duration
This module is designed for four hours.

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Module outline
Session title

Time

Session 1

Unpacking the concepts advocacy and communication

60 minutes

Session 2

The content and process to develop advocacy and communication plans for your locality 60 minutes

Session 3

The value and range of advocacy and communication materials for WASH governance

60 minutes

Session 4

Applying advocacy and communication to good governance

60 minutes

Resources for the facilitator


Presentations
Module Eight Introduction and learning objectives presentation
Advocacy and communication for strengthening governance of WASH services presentation
Hand outs
Briefing note: Advocacy and communication for change
Example layout for an advocacy plan
Communication plan format

Session 1

Unpacking the concepts advocacy and communication

60 minutes

FACILITATORS Notes

Step 1: Introduce Module Eight


Introduce Module Eight and the learning objectives of
this Module. Use the Module Eight Introduction and
objectives presentation.
It is important to highlight that this module is very
practical and involves participants actively sharing their
experiences. It also highlights the cross cutting nature
of advocacy and communication in terms of the six
components of WASH governance.

Plenary
brainstorm
and
presentation

Step 2: Define the terms advocacy and communication


Ask participants to brainstorm what they
understand by the term advocacy. Capture their
comments on flip chart paper without query or
explanations. Encourage participants to think
creatively and stress that there are no right and
wrong answers.
Ask participants to brainstorm what they
understand by the term communication. Capture
their comments on flip chart paper, again without
query or explanations.
Present slides 2 4 of the Advocacy and communication for strengthening governance of WASH
services presentation which define the terms advocacy and communication.
Hand out:
Briefing note: Advocacy and communication for change

WASH Governance Training Program | 84

Session 1
Debates
in groups
of four
participants

Unpacking the concepts advocacy and communication

60 minutes

FACILITATORS Notes

Step 3: Debate the importance of advocacy and communication for our WASH
services
In this step participants will debate whether advocacy is more important for good governance of
WASH services, or whether communication is more important i.e. which one is likely to bring
more benefits.
The purpose of the exercise is to get people thinking about why both are vital. Therefore, stress
there are no right and wrong answers but that participants should think laterally and creatively.
Ask participants to break into groups of four. Two people should argue for the greater benefits of
advocacy, and two people should argue for the greater benefits of communication. They should use
concrete examples from their locality and/or organization. The groups should note particularly
good points made by either side in order to capture the real value of both.

Plenary
report
back and
presentation

Step 4: Report back on critical issues


Use two separate pages of flip chart paper one headed
Critical importance of advocacy and the other headed
Critical importance of communication.
Ask participants to raise the most important and wellargued points from their debates, and list them on the
appropriate flip chart papers.
Present slides 5 8 of the Advocacy and
communication for strengthening governance of
WASH services presentation on the importance of
advocacy and communication for WASH services.

Session 2
Group
activity

The content and process to develop advocacy and communication plans 60 minutes

FACILITATORS Notes
Step 1: Develop a contents page for an advocacy plan and communication plan
Ask participants to divide more or less in half. Group
1 will develop the contents page for an advocacy
plan. Group 2 will develop the contents page for a
communication plan.
Give each group pieces of colored cardboard, pens and
Presstick.
Use slide 9 of the Advocacy and communication
for strengthening governance of WASH services
presentation to give the following instructions:
Use the flip chart paper from session 1 and the notes you made during your debates as resources.
Develop a checklist of all the elements of an advocacy plan OR a communication plan.

1. List each element of the plan on a separate card.

2. Place the cards on the wall in the order of a contents page for your plan.

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Session 2
Group
activity
Gallery walk
and
presentation

The content and process to develop advocacy and communication plans 60 minutes

FACILITATORS Notes

3. Move and change the cards until you reach consensus on the elements of your plan, and the order in which
they should make up the contents page of your plan.
Step 2: Share and strengthen contents pages
Ask all participants to focus on the contents list of Group 1s advocacy plan. Ask Group 1 to
explain and justify content items and the order in which they are placed. Allow time for discussion
and changes (where there is consensus).
Repeat the exercise with Group 2s communication plan.
Present slides 10 13 of the Advocacy and communication for strengthening governance of WASH
services presentation on key elements of an advocacy plan and a communication plan.
Hand outs:
Example layout for an advocacy plan
Communication plan format

Development
of plans in
small groups

Step 3: Laying the groundwork for an advocacy plan and communication plan
Once again, ask participants to choose to focus either on an advocacy plan OR a communication
plan. In groups of 2 4, participants should identify their advocacy OR communication challenges
in their localities or organizations.
Use slide 14 of the Advocacy and communication for strengthening governance of WASH services
presentation to ask the questions the group work must answer:
What activities would you put in your advocacy plan to ensure WASH services are better promoted and
resourced in your locality/organization?
OR
What activities would you put in your communication plan to ensure improved WASH communication
with key stakeholders?
What participatory process is required to develop such a plan for your locality or organization?

Plenary
report back
and
presentation

Step 4: Report back on critical issues


Use two separate pages of flip chat paper one headed What advocacy needs to be undertaken?
and the other headed What communication needs to be undertaken?.
Ask groups to provide brief summaries of their discussions, and list points on the appropriate flip
chart papers.
If there is time, talk about the important elements of a participatory process to develop these plans
based on the group discussions.

Session 3
Gallery walk

The value of advocacy and communication materials 60 minutes

FACILITATORS Notes

Step 1: Share examples of materials and campaigns


This session is to illustrate to participants the value and range of advocacy and communication
materials for WASH governance.

WASH Governance Training Program | 86

Session 3
Gallery walk

The value of advocacy and communication materials 60 minutes

FACILITATORS Notes

Ask participants to put up their examples


of advocacy and communication materials
and media posters, pamphlets, t-shirts,
etc. in the form of an art exhibition.
Walk as a group around the room and
examine each example. Ask one member of
the group to record POSITIVE comments
made. Ask a second member of the group
to record NEGATIVE comments made.
(Comments will be fed into the discussion
following the gallery walk.)

Use slide 15 of the Advocacy and


communication for strengthening
governance of WASH services presentation, and leave it up for the gallery walk. Ask each
participant who has displayed one or more articles:
What is this?
Why was it developed (for what occasion or campaign)?
To whom was it given?
What was the message?
Did it meet its objective?
Is it an effective advocacy or communication tool?
If yes, why is it effective? If no, why is it not effective?
If there are too many articles on display, use the time by focusing on some of the good and some
of the bad examples.

Plenary
feedback

Step 2: Draw conclusions from our own experiences


At the end of the gallery walk, ask
the two recorders to briefly list the
positive and negative comments.
While they are reporting back,
capture the comments in point form
on two separate pieces of flip chart
paper (Positive comments and
Negative comments).
Facilitate participants to find some
level of consensus on what makes
for an effective advocacy and/or
communication tool, as well as things
that should be avoided. (Encourage
comments such as media in local
languages, lots of pictures, attractive
layout, etc. are good; lots of small text with unclear messages are not good.)
Present slides 16 19 of the Advocacy and communication for strengthening governance of WASH
services presentation on pointers for the development of media.

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Session 4
Group work

Applying advocacy and communication to good governance 60 minutes

FACILITATORS Notes

Step 1: Identify advocacy and communication activities across the WASH governance
elements
Present slides 20 and 21 of the
Advocacy and communication for
strengthening governance of WASH
services presentation to introduce
participants to this session.
Ask participants to break into six
groups of more or less equal size where
each group will focus on ONE WASH
governance element. Give each group
a piece of flip chart paper and pens to
record their discussion.
Use slides 22 and 23 of the Advocacy
and communication for strengthening
governance of WASH services
presentation to provide instructions for the next group activity. Leave slide 23 up for the group
discussions.
Explain the following:
We are going to look at the role of advocacy and/or communication through each of the six WASH
governance elements.
For example, if we focus on the Policy and bylaws element, what sort of advocacy and/or communication
activities should take place to ensure good policy and bylaws?
In your group
4. Define two to four critical advocacy activities that should be undertaken. For each activity, look at who
should undertake the activity, how it should be undertaken, what resources will be required, and what your
role is in ensuring this happens.
5. Do the same for communication activities.
Be guided by your own experiences of good and bad practice.

Group
report backs
and plenary
wrap up

Step 2: Share ideas and good practice.


In plenary, ask each group to present the main points of their discussion. Allow time for
clarification.
Write up key points on a flip chart. Highlight low budget activities that can be implemented fairly
easily and quickly.
Use the final slide 24 of the Advocacy and communication for strengthening governance of WASH
services presentation to wrap up the training by seeking undertakings from participants.
Conclude the discussion with undertakings by participants for what they can do differently, and
what advocacy and communication activities they are willing to undertake to mainstream advocacy
and communication in their localities/organizations.
Encourage them to keep in touch with each other and share successes and lessons in implementing
their undertakings.

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Resources for participants


Participant preparation list
Briefing note: Advocacy and communication for change
Example layout for an advocacy plan
Communication plan format

Further reading
Advocacy books, papers, articles, manuals
Advocacy sourcebook: A Guide to advocacy for WSSCC co-ordinators working on the WASH campaign (WaterAid/WSSCC 2003)
Advocacy Targets, indicators and monitoring
Communication in Water Supply and Sanitation Resource Booklet (IRC, 1994)
Examples of advocacy
FAQ: Advocacy and communication
Municipal Infrastructure Grant Communication Strategy (2004) (Example of a communication strategy)
Sidestream or Mainstream (Example of an advocacy leaflet) (GWA)

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Module 9
Mainstreaming Gender and Equity
Facilitators Notes

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Introduction
Gender refers to the roles and responsibilities of both men and women in a society or culture. A gender approach to WASH
analyses the roles and responsibilities of women and men and involves them in planning, designing, implementing and
managing WASH services. It identifies ways to support men and women both by recognizing traditional tasks and by supporting
changing roles. This has been demonstrated to improve effectiveness. For example, services can reduce the amount of time that
women spend collecting water, while hygiene promotion focused on men can enable them to support new behaviors within
the home. Gender dynamics are culturally specific, but not static. Because they are not determined biologically, but socioeconomically and culturally, they change over time.
Equity refers to fairness and justice in this context, fairness to the poorest and most disadvantaged of the population. The
poorest 10 to 30% of the population systematically miss out on the benefits of water and sanitation programs. Some groups
are especially disadvantaged because they are marginalized within society. There are also critical situations such as war, conflict,
refugee camps and natural disasters when the poorest are most at risk of losing basic services. Approaches that address the needs
of the poorest, such as socio-economic mapping and participatory monitoring, are about ensuring equity.
Gender and equity are known as cross-cutting issues they are not stages in a project, program or service, but rather an
approach to a project and the ongoing provision of the WASH service. An approach which prioritizes hearing all voices
particularly the very marginalized (most of whom are women and/or poor) who are generally most affected by issues of water
and sanitation, and yet are the least consulted.
A project, program or service can be provided without taking cognizance of gender and equity. However, a gender and equity
(poverty-sensitive) approach to WASH services leads to greater efficiency, effectiveness and equity.
It is very important that gender and equity are championed by those who understand their value.

Purpose of this module


The purpose of this module is for participants to recognize the importance of gender and equity in the WASH sector, and
to examine practical ways to mainstream issues of gender and equity to improve good governance of WASH services in their
locality (or organization).

Learning objectives

By the end of this module participants will have:


Developed their understanding of the terms gender and equity
Understood the importance of gender and equity for WASH governance
Identified problems of gender and inequity in their localities
Applied their minds to their own role in mainstreaming gender and equity in their locality

Preparation by participants
Where possible and available, participants should bring the following to the training:

Preparation required
A list of any known WASH gender and equity activities in the area (including advocacy, awareness and
education), and who is driving them
Any organizational or government quotas for representation of women on WASH structures

Duration
This module is designed for 4 hours.

Module outline

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Session title

Time

Session 1

Unpacking the concepts gender and equity

90 minutes

Session 2

Applying gender and equity to WASH good governance

90 minutes

Session 3

Advocating for mainstreaming gender and equity

60 minutes

Resources for participants


Presentations
Module Nine Introduction and learning objectives presentation
Mainstreaming gender and equity for strengthening governance of WASH services presentation
Hand outs
Briefing note: Gender and equity
Ten Golden Rules for a Gender and Equity Approach for planners, managers and local leaders in WASH services

Session plan
Session 1

Unpacking the concepts gender and equity

90 minutes

FACILITATORS Notes

Step 1: Introduce Module Nine


Introduce Module Nine and the learning objectives of
this module. Use the Module Nine Introduction and
objectives presentation.
It is important to highlight that this module is very
practical and involves participants actively sharing their
experiences. It also highlights the cross cutting nature
of gender and equity in terms of the six components of
WASH governance.

Presentation
and plenary
discussion

Step 2: Input and discussion on poverty, WASH and development


Use slides 2 4 of the Mainstreaming gender and
equity for strengthening governance of WASH
services presentation to present key facts about
poverty, WASH and development.
Encourage discussion on the facts presented in the
three slides. Ask participants whether they can give
similar figures or support the figures from their own
experiences in their locality.

Small group
discussion

Step 3: Women and men explore the terms gender and equity from their perspectives
Ask participants to break into small groups of all women or all men.
Use slides 5-7 (Who questions) of the Mainstreaming gender and equity for strengthening
governance of WASH services. Ask the groups to answer the questions on each slide before moving
to the next slide.

WASH Governance Training Program | 92

Session 1
Small group
discussion

Unpacking the concepts gender and equity

90 minutes

FACILITATORS Notes

With their answers in mind, use slide 8 of the Mainstreaming gender and equity for strengthening
governance of WASH services, and ask participants to answer the following questions:
What is gender?
What is equity?
Why are gender and equity often linked?
Why should we bother about gender and equity?
Encourage participants to think creatively and stress that there are not necessarily right and
wrong answers.

Groups
report back
and
presentation

Step 4: Developing a common understanding of the terms


Capture feedback on flip chart paper. See whether
participants can identify different understandings
between women and men of gender and equity. If
yes, explore why, If not, explore why not.
Present slides 9 19 of the Mainstreaming gender
and equity for strengthening governance of WASH
services presentation which cover key concepts, and
summarize this session.
Ask participants whether and to what extent their
understandings of the terms have changed or
deepened, and encourage them to comment on each others inputs.
Hand out:
Briefing note: Gender and equity

Session 2
Group work

Applying issues of gender and equity to good governance

FACILITATORS Notes

90 minutes

Step 1: Identify gender and equity issues and activities to prioritize across the WASH
governance elements in your locality
Ask participants to break into six groups of
more or less equal size where each group will
focus on ONE WASH governance element.
Give each group flip chart paper and pens to
record their discussion.
Present slides 20 23 of the Mainstreaming
gender and equity for strengthening
governance of WASH services presentation
to introduce the cross-cutting nature of
gender and equity through all the elements
of WASH governance.
Use slide 24 of the Mainstreaming gender
and equity for strengthening governance of WASH services presentation which contains the four
questions, and leave it up for the group discussions. Explain the following:

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Session 2
Group work

Applying issues of gender and equity to good governance

90 minutes

FACILITATORS Notes

We are going to look at the role of gender and equity through each of the six WASH governance
elements.
For example, if we focus on the policy and bylaws, what sort of gender and equity activities should
take place to ensure good policy and bylaws?
Answer the following questions in your group:
1. How should women, gender and access for the poor be prioritized in this WASH element?
2. Is it prioritized in my locality?
3. If yes, what supports this?
4. If no, what blocking it?
Record your four answers separately on your flip chart paper. Be guided by your own experiences.
When you are done, put your paper up on the wall.

Group
report backs
through
gallery walk

Step 2: Sharing experiences on factors that enable and block


Walk around the room. For each groups answers, ask someone to present the main points of their
discussion. Allow time for clarification, and ensure a focus on factors that enable and block.
Draw conclusions as you walk regarding similarities and differences between the answers from the
groups.

Group work

Step 3: Identify practical actions to mainstream gender and equity in your locality
Ask participants to go back into their previous groups, again with flip chart paper and pens to
record their discussion.
Use slide 25 of the Mainstreaming gender and equity for strengthening governance of WASH
services presentation which contains the next four questions, and leave it up for the group
discussions:
Answer the following four questions in your group:
5. What practical actions need to be taken in my locality to unblock/advance mainstreaming gender and
equity?
6. Who needs to undertake them?
7. How should they be undertaken?
8. What resources are required? (money as well as tools to support)
When you are done, again put your paper up on the wall.

Group
report backs
through
gallery walk

Step 4: Sharing ideas on practical actions to mainstream gender and equity


Walk around the room. For each groups answers, ask someone to present the main points of their
discussion. Allow time for clarification, and ensure a focus on practical actions, particularly those
that are easy to implement and do not require huge budgets.
Draw conclusions as you walk regarding similarities and differences between the groups
encouraging emerging consensus of what can be done.

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Session 3
Small group
work

Advocating for mainstreaming gender and equity

60 minutes

FACILITATORS Notes

Step 1: Focus on advocacy


Ask participants to get into small groups of 2 or 3 people to discuss what each of them can do to
advocate for mainstreaming gender and equity in their locality.
Use slide 26 of the Mainstreaming gender and equity for strengthening governance of WASH
services presentation which contains two final questions, and leave it up for the group discussions:
Answer the following two questions:
How do I get support (political will, budgets, other) from my leaders to mainstream gender and equity in
my locality?
What is my role? (look at commitments and time frames)

Plenary
discussion
and closure

Step 2: Sharing commitments


In plenary capture participants ideas to obtain support for mainstreaming gender and equity.
Discuss which may be easier and which may be more difficult to implement.
Secondly, capture participants commitments to what they are willing to undertake to mainstream
gender and equity in their localities/organizations.
Thank participants for their commitments, and ask them to be in touch with each other to share
any successes and lessons in implementing their commitments.
Hand out:
Ten Golden Rules for a Gender and Equity Approach for planners, managers and local leaders
in WASH services

Resources for participants


Advocacy manual for gender and water ambassadors (GWA, 2004)
FAQ1: What is the difference between sex and gender issues in WASH?
FAQ2: Why is gender and equity important in WASH?
FAQ3: What approaches have been tried to increase gender equity in WASH programs and projects?
FAQ4: What is the difference between a gender approach and a Women in Development (WID) approach?
FAQ5: Are women and girls really at a disadvantage in WASH?
FAQ6: Is a gender approach costly?
FAQ7: What is the best way to involve men in gender issues in WASH?
FAQ8: How is it possible to get local and intermediary leaders interested in gender and equity?
Gender and equity key references
Gender manual: a practical guide for development policy makers and practitioners (DFID, 2002)
Gender roles and realities references
Gender, water and sanitation: a policy brief (GWTF)
Linking water supply and poverty alleviation (IRC, 2004)
Participatory Wealth Ranking or Economic mapping exercise
Sidestream or Mainstream (an example of an advocacy leaflet) (GWA)
Together for water and sanitation: Tools to apply a gender approach the Asian experience (IRC, 1994)
WELL Factsheet: Gender and poverty (2004)
WELL Briefing note no 25: What is good for women is good for all

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Module 10
Monitoring and Evaluation of
WASH Services
Facilitators Notes

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Introduction
Monitoring and evaluation tend to get bundled into one concept (M&E), although they are linked, monitoring and evaluation
are separate activities and processes.
Monitoring is the systematic collection and analysis of information throughout the planning, implementation and on-going
life of a project, program or service. In the context of WASH services governance, it is aimed at improving the efficiency,
effectiveness and sustainability of WASH services. It is based on targets set and activities planned, helps to keep the work on
track, and can signal when things are going wrong. If done properly, it is an invaluable tool for good management and oversight,
which is a key governance function and it provides a useful base for evaluation. Analysis of information collected enables
problems to be identified and corrective action to be taken where necessary.
Evaluation is the comparison of actual activities, outcomes and impacts against planned activities, outcomes and impacts.
What monitoring and evaluation have in common is that they are geared towards learning from what is being done and how it is
being done by focusing on efficiency, effectiveness and impact. Monitoring and evaluation can provide very valuable lessons and
should be linked to a systematic learning agenda.
In short, M&E enables WASH service managers and implementers to review progress, to identify problems and make
adjustments in order to ensure desired outcomes and impacts, such as sustainable WASH services delivery.

Purpose of this module


The purpose of this module is to ensure a common understanding of the monitoring and evaluation and how it links to
sustainable WASH service delivery. It aims to provide a conceptual approach to monitoring good governance practices in WASH
governance and services provision.

Learning objectives

By the end of this module participants will have:


Understand the concepts related to monitoring and evaluation
Have a working knowledge of the purpose, principles and objectives of M&E of WASH services
Have thought through what needs to be monitored in the governance and provision of WASH services
Understand global monitoring trends and how these can be strengthened to monitor service-related, rather than only
infrastructural and financial indicators of progress
Have an understanding of how to apply monitoring good governance to strengthen WASH services provision within their
locality

Duration
This module is designed for one day comprising 6 hours of session time and 2 hours for lunch and tea breaks.

Module outline
Session title

Time

Session 1

Monitoring and evaluation: what and why?

90 minutes

Session 2

M&E for learning and action

30 minutes

Session 3

Monitoring service delivery: Governance elements of a WASH service

120 minutes

Session 4

Types of monitoring

30 minutes

Session 5

Global trends and gaps

30 minutes

Session 6

Challenges and opportunities

60 minutes

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Resources for the facilitator


Presentation: Introduction and learning objectives
Presentation: Monitoring and evaluation
Handouts: Monitoring and Evaluation Q&A; Community Based M&E; Participatory Evaluation

Session plan
Session 1
Small group
work

The what and why of monitoring and evaluation

90 minutes

FACILITATORS Notes

Step 1: Introduce Module Seventeen


Introduce the learning objectives of this module using the introductory presentation to Module
17.
It is important to highlight that this module is very practical and involves participants actively
sharing their experiences with monitoring and evaluation of WASH.

Interactive
plenary
brainstorm
plus
presentation

Step 2: What does monitoring tell us?

Plenary
brainstorm

Step 3: Why do M&E?

Buzz groups

Step 4: What do all these terms mean?

Present slides 2 and 3 of the WASH Monitoring and Evaluation presentation and ask the
participants what these maps tell us. Also ask what they dont tell us.
Then present slides 4 and 5 as a basis for a facilitated discussion on the potential shortfalls of
monitoring infrastructure provision only, and from a global perspective.

Facilitate a plenary brainstorm on why do we do WASH M&E? Note down points made by
participants on a flipchart and add to their contributions and ideas from slides 6-9.

Divide the participants into eight buzz groups, one per term/concept.
Each buzz group comes up with a definition of the following terms:
Monitoring; evaluation; effectiveness; efficiency; indicator; benchmark; impact; and
outcome.
After each buzz group has presented their definition, add to these with reference to slides 10-15.
Clarify as needed.
Summarise this session with an interactive presentation of slides 16 and 17.

Session 2
Small
groups

Monitoring, evaluation and learning

30 minutes

FACILITATORS Notes
Step 1: How does monitoring lead to learning and action?
Divide the participants into groups of 5 or 6.
Introduce this quick exercise by pointing out that monitoring is very often seen as a tedious process
of collecting information and drafting reports that seem to go nowhere.

WASH Governance Training Program | 98

Session 2
Small
groups

Session 3

Monitoring, evaluation and learning

30 minutes

FACILITATORS Notes

Ask the groups to brainstorm and set out steps for getting from monitoring to learning and action.
Add to their ideas and contributions by presenting and discussing slide 18. Is this what happens
in their experience? What needs to be done to ensure that monitoring is used for learning and
corrective action?

Monitoring the Governance elements of a WASH service 120 minutes


FACILITATORS Notes
Step 1: Presentation on governance elements of a WASH service

Introduce elements of a service by presenting slides 19


23, which set out the 6 main governance elements
of a service.
The key question to be addressed is how to ensure
that monitoring supports the governance and
provision of on-going WASH services, not only
infrastructure development?

Group work

Step 2: Monitoring each element


Divide the participants into six groups, one for each of the six service elements, namely;

Policies and bylaws

Planning (for the municipal/district/local area)

Finance (capital and operating and setting tariffs)

Infrastructure (development of new infrastructure and maintaining existing

infrastructure)

Institutional arrangements for the on-going provision of the services (a water service

provider)

Regulating
Ask each group to reflect on their allocated element.


What are the key issues to monitor in this element?


What indicators will tell you these issues are being addressed?
How can the information be collected? (from which sources)

They should capture their discussion on flipcharts using the following matrix:
Key issues

Indicators

Source of INFORMATION

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Session 3

Monitoring the Governance elements of a WASH service 120 minutes


FACILITATORS Notes
Step 3: Issues, indicators and sources of information for monitoring WASH
governance elements

Plenary
discussion
and
presentation With reference to plenary feedback from each of the groups, present and discuss key monitoring
issues and indicators using slides 24-36 as a reference.

Session 4

Various approaches to monitoring: An overview

30 minutes

FACILITATORS Notes
Step 1: Different monitoring methods and approaches

Plenary
discussion
Using slides 37-43, facilitate a plenary discussion on the various approaches to monitoring used in
and
presentation the sector currently, with reference to participants experiences of these methods and approaches.

Session 5

Monitoring: Global trends and gaps

30 minutes

FACILITATORS Notes

Step 1: Global trends MDGs and JMP


Plenary
discussion
Present slides 44-46 and facilitate a brainstorm discussion on the JMP global achievement of MDG
and
presentation targets monitoring system and indicators.

Group work

Step 2: Whats missing?


In groups of 5, ask the participants to discuss what is missing/what the JMP monitoring system
does NOT tell us.
Summarize their feedback using slides 47-50, using the example of sustainable sanitation service
indicators set out.

Session 6

Challenges and opportunities

60 minutes

FACILITATORS Notes

Step 1: Challenges and opportunities


Country
groups and
Using slides 51-58 for guidance facilitate a plenary discussion on the various approaches to
plenary
presentation monitoring used in the sector currently, with reference to participants experiences of these methods
and approaches.

Resources for participants


Module 10: WASH Monitoring and Evaluation Handout
WASHCost Working Paper 3 (2nd edition): Assessing sanitation service levels, Potter with Klutse, Mekala, Batchelor, Uandela,
Naafs, Fonseca and Moriarty, IRC International Water and Sanitation Centre, July 2011. http://www.washcost.info/page/902
WASHCost Briefing Note 02: Assessing services in rural and peri-urban Mozambique, Potter, Uandela and Naafs, WASHCost
Mozambique, February 2011.
WASHCost Working Paper 6: Assessing hygiene cost-effectiveness, Potter, van de Reep, Burr, Dub with Krukkert, IRC
International Water and Sanitation Centre, December 2011. http://www.washcost.info/page/1629

WASH Governance Training Program | 100

Notes

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Notes

WASH Governance Training Program | 102

Global Water for Sustainability Program


Florida International University

Biscayne Bay Campus | 3000 NE 151 St. | ACI-Bld. No. 2, 267 | North Miami, FL 33181
Phone: (+1-305) 919-4112 | Fax: (+1-305) 919-4117 | www.globalwaters.net
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