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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/.
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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90
96
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.
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.
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.
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.
MODULE 1
MODULE 2
MODULE 3
WASH governance
MODULE 4
WASH policy
MODULE 5
MODULE 6
WASH policy
MODULE 7
MODULE 8
MODULE 9
MODULE 3
WASH governance
MODULE 1
MODULE 2
MODULE 3
WASH governance
Overview of WASH governance
Components of WASH governance
MODULE 4
MODULE 5
MODULE 6
MODULE 7
MODULE 8
MODULE 9
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
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.
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
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?
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.
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.
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.
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.
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.
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.
Advantages
Disadvantages
Internal
Inexpensive
Availability of equipment, labs, etc.
Classroom set-up for lectures
Exposure of the network members institution
External
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
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.
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)
Identification of facilitators
Facilitators identified
Facilitators notified + any special format for
material development
Done by
(date)
Course checklist
Activity
5
Responsible Person/
Institution
Done by
(date)
10
Registration Form
Form designed and ready
11
Course Certificate
Certificate designed and shared with partners
Design finalized
12
13
Training Pack
Preparation of training pack
Low
Medium
High
Very high
Low
Medium
High
Very high
3. Usefulness of the information/content that you have acquired for your work.
None
Low
Medium
High
Very high
Little
Just 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
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
Not relevant
Very good
Good
Regular
Bad
Regular
Bad
Very good
Good
Adequate
Insufficient
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
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?
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.
Module 1
Contextualizing WASH Services
Facilitators Notes
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.
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
Module Outline
Session title
Time
Session 1
60 minutes
Session 2
90 minutes
Session 3
60 minutes
Session 4
Sustainability issues
60 minutes
Session Plan
Session 1
60 minutes
FACILITATORS Notes
Session 1
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.
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
Session 1
60 minutes
FACILITATORS Notes
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.
Session 1
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.
Session 1
60 minutes
FACILITATORS Notes
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.
Session 2
90 minutes
FACILITATORS Notes
Session 2
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.
Storage in Dames
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?
Session 2
90 minutes
FACILITATORS Notes
Ask who is responsible for abstraction and indicate the role of a Bulk Water Services Provider.
Abstraction
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 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
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.
Session 2
90 minutes
FACILITATORS Notes
Reticulation
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.
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.
Session 2
90 minutes
FACILITATORS Notes
Water Collection
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
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.
Session 3
60 minutes
FACILITATORS Notes
Water Resource
Management Charge
Session 3
60 minutes
FACILITATORS Notes
Bulk Potable
Water Tariff
Session 3
60 minutes
FACILITATORS Notes
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.
Municipal
Sanitation Tariff
Session 3
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.
Session 3
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
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.
Notes
Module 2
WASH Services in Your Locality
Facilitators Notes
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.
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).
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
90 minutes
Session 2
90 minutes
Session 3
90 minutes
Session 4
90 minutes
90 minutes
FACILITATORS Notes
Status
quo map
preparation
Session 1
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
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
90 minutes
FACILITATORS Notes
WASH whos
who poster
preparation
Group
report backs
and plenary
discussion
Session 3
90 minutes
FACILITATORS Notes
WASH whos
who poster
preparation
Group report
backs and
plenary
discussion
Session 4
90 minutes
FACILITATORS Notes
Group
discussion
Session 4
90 minutes
FACILITATORS Notes
Group
inputs and
plenary
discussion
Group
inputs and
plenary
discussion
Module 3
WASH Governance
Facilitators Notes
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.
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?
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
90 minutes
Session 3
90 minutes
Session 4
90 minutes
Session 1
What is governance?
60 minutes
FACILITATORS Notes
Session 2
Good governance
90 minutes
FACILITATORS Notes
Video on
community
management
Small groups
Group work
Session 3
90 minutes
FACILITATORS Notes
Session 3
90 minutes
FACILITATORS Notes
Plenary
Session 4
90 minutes
FACILITATORS Notes
Session 4
90 minutes
FACILITATORS Notes
Group
discussion
Plenary
debate
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
Module 4
WASH Policy
Facilitators Notes
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.
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
120 minutes
Session 2
120 minutes
Session 3
120 minutes
Session plan
Session 1
120 minutes
FACILITATORS Notes
Group
discussion
Plenary
Session 1
120 minutes
FACILITATORS Notes
Group
discussion
Session 2
120 minutes
FACILITATORS Notes
Small groups
Buzz groups
Gallery walk
Session 2
120 minutes
FACILITATORS Notes
Gallery walk
Group work
Session 3
120 minutes
FACILITATORS Notes
Plenary
Module 5
WASH Development Planning
Facilitators Notes
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
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
60 minutes
Session 2
30 minutes
Session 3
60 minutes
Session 4
30 minutes
Session 5
90 minutes
Session 6
60 minutes
Session plan
Session 1
60 minutes
FACILITATORS Notes
Group work
Session 1
60 minutes
FACILITATORS Notes
Facilitate a discussion on how WASH development planning supports local government to fulfill
its water and sanitation service functions and responsibilities.
Session 2
30 minutes
FACILITATORS Notes
Plenary
Session 3
60 minutes
FACILITATORS Notes
Group work
Session 3
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
Session 4
30 minutes
FACILITATORS Notes
Buzz groups
in plenary
Session 4
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
90 minutes
FACILITATORS Notes
Plenary
Group
exercise
Session 5
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
Session 5
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
30 minutes
FACILITATORS Notes
Notes
Module 6
Infrastructure Development
Facilitators Notes
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
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
60 minutes
Session 2
90 minutes
Session 3
90 minutes
Session 4
90 minutes
Session plan
Session 1
60 minutes
FACILITATORS Notes
Session 1
60 minutes
FACILITATORS Notes
Plenary
Session 2
90 minutes
FACILITATORS Notes
Session 2
Plenary
brainstorm
FACILITATORS Notes
Group
discussions
90 minutes
Support agencies
Social and technical consultants
NGOs
Water service provider/s
Training and capacity building institutions
Contractors
Session 3
60 minutes
FACILITATORS Notes
Session 3
Group work
60 minutes
FACILITATORS Notes
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.
Session 4
FACILITATORS Notes
Plenary
Session 4
FACILITATORS Notes
Module 7
Institutional Arrangements
for Service Provision
Facilitators Notes
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
90 minutes
Session 2
The relationship between a local authority, a water service provider and consumers
60 minutes
Session 3
60 minutes
Session 4
90 minutes
Session plan
Session 1
90 minutes
FACILITATORS Notes
Group work
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.
Session 2
60 minutes
FACILITATORS Notes
Role play
Session 2
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
60 minutes
FACILITATORS Notes
Plenary
discussion
Session 3
60 minutes
FACILITATORS Notes
Buzz groups
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
Plenary
report backs
Session 4
Plenary
brainstorm
60 minutes
FACILITATORS Notes
Plenary
brainstorm
Group
discussion
Plenary
discussion
and wrap up
Notes
Module 8
Advocacy and Communication
Facilitators Notes
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.
Learning objectives
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.
Duration
This module is designed for four hours.
Module outline
Session title
Time
Session 1
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
60 minutes
Session 1
60 minutes
FACILITATORS Notes
Plenary
brainstorm
and
presentation
Session 1
Debates
in groups
of four
participants
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
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.
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
Session 3
Gallery walk
FACILITATORS Notes
Session 3
Gallery walk
FACILITATORS Notes
Plenary
feedback
Session 4
Group work
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
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)
Module 9
Mainstreaming Gender and Equity
Facilitators Notes
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.
Learning objectives
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
Session title
Time
Session 1
90 minutes
Session 2
90 minutes
Session 3
60 minutes
Session plan
Session 1
90 minutes
FACILITATORS Notes
Presentation
and plenary
discussion
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.
Session 1
Small group
discussion
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
Session 2
Group work
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:
Session 2
Group work
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
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
Session 3
Small group
work
60 minutes
FACILITATORS Notes
Plenary
discussion
and closure
Module 10
Monitoring and Evaluation of
WASH Services
Facilitators Notes
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.
Learning objectives
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
90 minutes
Session 2
30 minutes
Session 3
120 minutes
Session 4
Types of monitoring
30 minutes
Session 5
30 minutes
Session 6
60 minutes
Session plan
Session 1
Small group
work
90 minutes
FACILITATORS Notes
Interactive
plenary
brainstorm
plus
presentation
Plenary
brainstorm
Buzz groups
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
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.
Session 2
Small
groups
Session 3
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?
Group work
They should capture their discussion on flipcharts using the following matrix:
Key issues
Indicators
Source of INFORMATION
Session 3
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
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
30 minutes
FACILITATORS Notes
Group work
Session 6
60 minutes
FACILITATORS Notes
Notes
Notes
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