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GOVERNANCE TRAINING MANUAL
SUPPLY CHAIN PROGRAMME

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How to use this Manual
This Training Manual was designed for WASH supply chain players in servicing
communities in rural areas in accessing Wash products. It is a tool that equips NAC,
DWWSC, PWSSC and VWSSC under the WASH supply chain Programme implemented
by SNV.
Prepared By:
This guide was prepared by the SNV (Netherlands Development Organisation) Water
Supply and Sanitation Programme, supply chain management with facilitation support from
the National Action Committee (NAC) and PWSSC for Masvingo and Midlands , for use by
the institutions and organisations involved in the supply chain of water and sanitation sector
in Zimbabwe. The National Action Committee is an inter-ministerial committee tasked with
the responsibility of coordinating and mobilizing resources for the development of water
and sanitation facilities in rural areas of Zimbabwe including the resettlement areas.
SNV is a Zimbabwean non-profit organisation aiming to build capacity in the water and
sanitation sector through training, research, information dissemination and consultancy
services.
This document was compiled in 2014 with the facilitation of Wellington Hazangwi of
Skymail Investment (consultants), D Madzingamire for SNV and Ringisai Chikohomero
(consultant)
Acknowledgement
The documentation team would like to thank the National Action Committee for Rural
Water Supply and Sanitation Development, for making this documentation possible.
Special thanks go to SNV for their support and guidance. We would also like to thank all
those people who were involved in the drafting of the manual

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Objectives of the Supply chain Training Manual for
WASH.
Through this training programme SNV will achieve the following immediate objectives in
Zimbabwe:
o To improve capacities of actors in the WASH value chains.
o To improve the relationship of actors in the supply chain
o To improve accountability.
o To increase planning capabilities.
MINISTERIAL/DEPARTMENTAL ROLES & RESPONSIBILITIES
o What are the roles of the District Water Supply and Sanitation Subcommittee
(DWSSC)
o To what extent have we been fulfilling our collective roles; what are the challenges
and what are we doing about them.
Objective
o To co-ordinate planning and assist in the management of rural water supply and
sanitation activities in the District.
Membership
o The committee shall comprise all relevant sector agencies represented in the district.
o The sub-committee has the power to co-opt representatives from NGOs involved in
water supply and sanitation project implementation in the District, and other
members as required.
Reporting to
o The sub-committee reports to a committee of Council responsible for water and
sanitation service provision and to the Provincial Water and Sanitation
Subcommittee
TOR of DWSSC
Co-ordinate and monitor the activities of all agencies involved in the IRWSSP
implementation in the District, including NGOs.
o Ensure that planning and implementation of District rural water supply and
sanitation projects are in accordance with Provincial and National policies and
procedures.
o Co-ordinate the preparation of District plans for rural water supply and sanitation
development.
o Co-ordinate the preparation of District plans for rural water supply and sanitation
development.
o Periodic monitoring of project activities
o Regularly reports to appropriate Provincial authorities on District progress in water
and sanitation projects
o Co-ordinate the maintenance of updated inventories of all water and sanitation
facilities in the District

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Overview of a supply chain
An overview of the operational system which was used in piloting the WASH Supply Chains is given to the
participants. This system is depicted in the diagram below
WASH SUPPLY MODEL

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Contents
HOW TO USE THIS MANUAL ..........................................................................................................................2
OBJECTIVES OF THE SUPPLY CHAIN TRAINING MANUAL FOR WASH..............................................................3
OVERVIEW OF A SUPPLY CHAIN.....................................................................................................................4
UNIT 1 . ...................................................................................................................................................7
WASH GOVERNANCE.....................................................................................................................................7
1.1 INTRODUCTION: ..............................................................................................................................................7
1.2 ELEMENTS OF GOVERNANCE ..............................................................................................................................7
1.3 LOCAL GOVERNANCE ........................................................................................................................................8
1.4 ROLE OF DWSSC IN LOCAL WASH GOVERNANCE .................................................................................................9
1.5 WASH GOVERNANCE DIMENSIONS .................................................................................................................109
1.6 COMPONENTS OF WASH GOVERNANCE: ...........................................................................................................10
1.7 PRINCIPLES OF EFFECTIVE WASH GOVERNANCE ..................................................................................................10
1.8 ENABLERS FOR EFFECTIVE WASH GOVERNANCE ..................................................................................................11
1.9 STRENGTHENING ACCOUNTABILITY AND TRANSPARENCY IN INSTITUTIONS: ................................................................12
UNIT 2 . ..................................................................................................................................................14
WASH SUSTAINABILITY . ............................................................................................................................14
UNIT 3 . ..................................................................................................................................................16
TRANSPARENCY AND ACCOUNTABILLITY IN WASH . .................................................................................16
3.1 TRANSPARENCY AND ACCOUNTABILITY IN WASH ................................................................................................16
3.2 KEY CONCEPTS..............................................................................................................................................16
3.3 THE PUBLIC SERVICE ACCOUNTABILITY................................................................................................................17
3.4 STRATEGIES FOR STRENGTHENING ACCOUNTABILITY..............................................................................................17
UNIT 4 . ..................................................................................................................................................21
PUBLIC PRIVATE PARTNERSHIPS ...............................................................................................................21
4.1 PUBLIC PRIVATE PARTNERSHIP .........................................................................................................................21
4.3 WHAT TO CONSIDER WHEN CHOOSING A PPP MODEL...........................................................................................22
4.4. PROS AND CONS OF PPPS..............................................................................................................................23
UNIT 5 . ..................................................................................................................................................25
PROJECT MANAGEMENT ..........................................................................................................................25
1.1 MANAGEMENT .......................................................................................................................................25
1.1.2 INTRODUCTION: WHAT IS MANAGEMENT? .....................................................................................................25
WHO IS INVOLVED IN MANAGEMENT? ....................................................................................................................26
BASIC MANAGERIAL SKILLS ....................................................................................................................................26
ASPECTS OF POOR MANAGEMENT..........................................................................................................................26
1.2 PROJECT MANAGEMENT.................................................................................................................................27
1.2.1 Introduction to project management................................................................................................27
1.2.2 Project Management Objectives .......................................................................................................28
1.3 PROJECT MANAGEMENT LIFE CYCLE..................................................................................................................28
1.3.2 PROJECT INITIATION....................................................................................................................................28
1.3.3 Project Planning ................................................................................................................................29
1.3.4 Monitoring and Evaluation................................................................................................................32
UNIT 6 . ..............................................................................................................................................3433
MONITORING AND EVALUATION . ........................................................................................................3433
UNIT 7 ...........................................................................................................................................
3437

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

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UNIT 1 . ..
WASH GOVERNANCE.
OBJECTIVE: TO ENABLE YOU APPRECIATE INTERACTIONS, RELATIONSHIPS AND
NETWORKS BETWEEN THE DIFFERENT SECTORS (GOVERNMENT, PUBLIC SECTOR,
PRIVATE SECTOR AND CIVIL SOCIETY) INVOLVED IN SERVICE DELIVERY.
WASH governance
1.1 Introduction:
Governance is a very broad concept with many definitions. However there are some
salient issues that are recurrent in many definitions and the points below try to capture
the depth of the concept.
 Governance is about the processes by which decisions are made and
implemented.
 It is the result of interactions, relationships and networks between the different
sectors (government, public sector, private sector and civil society) involved in
service delivery.
 It involves decisions, negotiation, and different power relations between
stakeholders to determine who gets what, when and how.
 Governance includes more actors than just the government; many stakeholders
are involved.
 All those with a legitimate interest in the outcome of a decision-making process
could be involved; but who, and how powerful they are will determine how they
are able to influence the outcomes of any decision.
 Stakeholders include users, governmental organisations (such as municipalities),
utilities, service providers, NGOs, financiers, and civil society.
1.2 Elements of governance
Governance is embodied in the following elements
• Policy development.
• Primary and secondary legislation.
• Regulation and monitoring.
• Planning.
• Decision-making.
• Control: monitoring, policing, enforcement and sanctioning.

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1.3 Local governance
Local governance comprises a set of institutions, mechanisms and processes through
which citizens and their groups can articulate their interests and needs, mediate their
differences, and exercise their rights and obligations at the local level. The building
blocks of good local governance are many: citizen participation, partnerships among
key actors at the local level, capacity of local actors across all sectors, multiple flows of
information, institutions of accountability, and a pro‐poor orientation (UNDP 2004).
Local governance emphasises the need to look beyond the narrow perspective of legal
frameworks and local government entities. It seeks to include the multiplicity of formal
and informal relationships between different actors in development (e.g. local
government, the private sector, associations, de‐concentrated agencies, CSOs) that
shape and influence the output and effectiveness of political and administrative systems
at a sub‐national level. There is a large degree of synergy and coherence between
supporting national governance processes and local governance, as many of the
aspects are in fact the same. Therefore, it is necessary to work with governance
principles at local levels to strengthen local governance processes.
Requirements for good local governance
National Framework:
constitutional, policy, legislative
and fiscal environment
Enabling
policy
frameworks
Mechanisms for participation,
responsiveness, equity,
inclusiveness, transparency,
and accountability
Collaborative
stakeholder
relationships
Participatory
decision
making
processes
Inclusive
implementation
processes
Efficient, effective
and responsive
services
Good local
governance

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FIG1.2. Roles of DWSSC
Adapted from WASH and Sanitation Program: Building the Capacity of Local Government Role and Functions
of Local Government to Implement TSSM
1.4 Role of DWSSC in Local WASH governance
WASH governance are the systems that controls decision-making with regard to WASH
management and WASH service delivery; WASH governance is about who gets what
WASH, when and how. There is a profoundly political element to WASH governance,
particularly in areas where there is competition for limited WASH resources. As a result,
systems of WASH governance usually reflect the political and cultural realities at
national, provincial and local levels.
Mismanagement of WASH is often characterised by lack of adequate WASH institutions,
conflicting and competing interests amongst WASH users and weak decision making
structures, a fragmented management approach that deals with sectors in silos, lack of
mechanisms for public participation, and poor implementation of WASH policies, laws
and regulations. In a situation where the requirements for WASH are greater than the
available WASH, there are no transparent strategies for WASH allocation to achieve
equity and sustainable WASH development.
DWSSC
Coordination
Strategy and
planning
Advocacy and
promotion
Capacity
buildingMonitoring
and evaluation
Regulation
Supervision

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More effective WASH governance needs to start with good policy and legislative
frameworks that protect resources against over exploitation. Institutions for WASH
management must facilitate participation by all WASH users in a climate of trust, where
there is joint responsibility for protecting and controlling WASH facilities resources in an
open and transparent manner.
WASH governance systems are critical to achieving sustainable development,
particularly since WASH is key to development. WASH governance needs to achieve a
balance between socioeconomic development and ecological sustainability. This
requires the right mix of stakeholders, informed decision making, and an environment
where WASH laws and regulations are enforced.
1.5 WASH governance dimensions
 The social dimension refers to the equitable use of WASH resources.
 The economic dimension informs on efficient use of WASH resources and the
role of WASH in overall economic growth.
 The political empowerment dimension points to granting WASH stakeholders and
citizens at large equal opportunities to influence and monitor democratic political
processes and outcomes.
 The environmental sustainability dimension shows that improved governance
allows for more sustainable use of WASH resources to maintain ecosystems.
Effective WASH governance will seek to strike balance on the four dimensions
1.6 Components of WASH governance:
 Policy and legislative frameworks that protect WASH resources and ensure
WASH for social and economic development.
 Institutions for WASH management that facilitate participation of all
stakeholders in a transparent and accountable way.
 Decision-making mechanisms and regulations that achieve responsible use of
political power, optimal use of resources, sustainable development and
ecological sustainability.
1.7 Principles of effective WASH governance
Transparency
 Transparency comprises all means to facilitate citizens’ access to information
and their understanding of decision-making mechanisms.
 Guaranteeing transparency, integrity and accountability in IWRM is fundamental
to creating a peaceful and secure management structure for its implementation.
Accountability
Good governance and sound institutions play a huge role to promote accountability.
Accountability means an individual or institution must answer for their own actions. It
requires that citizens, civil society organisations and the private sector are able to
scrutinise actions taken and decisions made by leaders, public institutions and
governments and hold them answerable for what they have, or have not, done.
Participation

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 Participation implies that all stakeholders, including marginalised and resource
poor groups, are meaningfully involved in deciding how WASH is used,
protected, managed or allocated.
 IWRM can only be successful if all stakeholders can become meaningfully
involved, including marginalised and resource-poor groups.
 Governments should support the participation of all
 Legislation needs to not only grant communities and other stakeholders a right
to become involved in the WASH management process, but should also
encourage their participation in statutory institutions through incentives and
grant free access to information.
 This can enable a deeper understanding of WASH governance among the public.
Responsiveness
 Responsiveness refers to how well leaders and public organisations take the
needs of citizens into account and are able to uphold their rights.
 A WASH governance agenda addressing responsiveness could include the
following components: human rights, gender equity, pro-poor policies,
anticorruption, integrity and regulatory equality.
1.8 Enablers for effective WASH governance
Effective governance of WASH resources and services requires broader and well-
organised participation by civil society, including the media. Governments cannot solve
these problems working alone. Working with civil society, which may include the local
private sector, is essential.
To achieve more effective WASH governance it is necessary to create an enabling
environment, which facilitates private and public sector initiatives that fit within the
social, economic and cultural setting of the society. There is no single model for
competent WASH governance. There are, however, some basic principles and desirable
features that facilitate improved performance shown below.3
An enabling environment for effective WASH governance is:
Open and transparent:
 Institutions should work in an open manner;
 Use easy and understandable language to nurture trust and confidence of the
public in the bureaucratic structures, which are inherent to WASH institutions;
 All policy decisions should be taken in a transparent manner so that both
insiders and outsiders can easily follow the decision-making procedure.
Inclusive and communicative:
 The quality, relevance and effectiveness of government policies depend on their
ability to ensure wide participation throughout the policy chain, from planning to
ongoing service delivery;
 Improved participation means better results and better governance.

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Coherent and integrative:
 Dialogue is needed both horizontally between stakeholders at the same level
(e.g. inter-sectoral collaboration), and vertically between stakeholders at
community, district, basin and national levels;
 WASH-related institutions need to consider all uses and users within the
traditional WASH sector and their impact upon all other potential interconnected
users and sectors;
 Political leadership and institutional responsibility at all levels are the basic
ingredients of a consistent approach within a complex system.
Equitable and ethical:
 Equity between and among the various interest groups, stakeholders, and
consumer-voters should be assured throughout the process of policy
development and implementation;
 It is essential that WASH governance has to be strongly based upon the ethical
principles of the society in which it functions and based on the rule of law;
 Legal and regulatory frameworks should be fair and enforced impartially.
Accountable:
 Decision-makers and service providers need to take responsibility for their
decisions and services;
 Accountability is needed from all stakeholders involved in policy and decision-
making processes;
 Decision-makers in government, the private sector and civil society
organisations are accountable to the public, as well as to institutional
stakeholders; efficient:
 All types of efficiencies should be considered: economic, political, social, and
environmental. responsive:
 Responsiveness requires that policies are implemented in a proportionate
manner and decisions are taken at the most appropriate level;
 It is important that policies should be incentive-based to ensure a clear social or
economic gain to be achieved by following the policy;
 The institutions should also be built considering long-term sustainability to serve
both present and future users of WASH resources and WASH services.
Sustainability:
• The institutions should also be built considering long-term sustainability to serve
both present and future users of WASH resources and WASH services.
1.9 Strengthening accountability and transparency in institutions:
• WASH sector institutions generally function independently and rarely operate in
coordination with one another. Awareness raising and capacity building is needed within
these institutions so that they can work together more effectively to achieve their joint
vision and objectives for equitable, sustainable and effective WASH management and
service delivery.• All institutions need mechanisms and systems to enable the voice of
citizens/ users to be taken into account in the planning, allocation, regulation,
management and provision of WASH resources and WASH services.

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• Effective WASH governance is crucial for the implementation of IWRM. Problems
in management and governance go beyond technical challenges. Often, institutional
reform is needed to create the correct policies, viable political institutions, workable
financing arrangements, and self-governing and self-supporting local systems.
Institutions are frequently rooted in a centralised structure with fragmented subsector
approaches to WASH management. Local institutions many times lack capacity. As a
result, political leaders lack awareness on WASH issues and assign them low priority.
• Clarifying clear and separate roles and responsibilities between and within
institutions is a key aspect of WASH sector reforms. These reforms have the potential
to help prevent corruption, but could also make matters worse if mis-handled. New
organisations and new interfaces between organisations can create new opportunities
for corruption to emerge. Regulators are key and these are becoming more widespread.
However, a good regulatory framework does not necessarily mean good regulation. A
clear distinction between the functions of government, for example, as a provider of
services and as a regulator to ensure those services are properly delivered is important.
However, effective regulation systems requires both the capacity to regulate and
political will to ensure compliance. Weak regulation results in poor performance, poor
management, malpractices and inefficient services.
• WASH services providers should be monitored by WASH services authorities,
such as local government and regulators. If these roles become blurred, corruption can
arise.
Table 1 Legal Documents and Policy Framework
1. WASH policy
2. WASH by laws
3. A WASH and sanitation services development plan
4. Targets for meeting the WASH and sanitation MDGs
5. A WASH budget
6. A WASH monitoring and/or reporting system
7. Contracts / agreements / arrangements with WASH and sanitation service
providers

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UNIT 2 .
WASH SUSTAINABILITY .
OBJECTIVE: IMPROVE THE UNDERSTANDING OF DWSSC MEMBERS OF SUSTAINABILITY
AND TO IDENTIFY WHAT IS NEEDED TO MAKE WASH INTERVENTIONS SUSTAINABLE.
2.1 THE CONCEPT OF SUSTAINABILITY
Introduction:
Sustainability has become the clarion call for any development intervention world over.
The idea that any intervention should live longer than the project cycle has gained
much ground and interest to policy makers, development planners and even
beneficiaries. This session aims to get participants thinking about what a sustainable
WASH interventions really means.
Concept Definitions
We follow the definition of Abrams (1998) describing sustainability as: ’whether or not
something continues to work overtime‘, meaning, in this case, the indefinite provision
of a water service (with certain agreed characteristics) over time.
Table 2: Sustainability
Sustainability Factor Sustainability Qualifiers
Policy Context
 Policy does not dictate
management arrangements
 Capacity is sufficient to implement
relevant policies
 Donor practices promote local
procurement and/or production
 Government attitudes and practices
do not hinder indigenous private
sector participation
Management and institutional
arrangements
 Institutional support for community
management is budgeted and
provided for
 Private sector alternatives to
community
 management are investigated and
promoted
 Government capacity is sufficient to
fulfil regulatory and monitoring
roles
 External support is minimized and

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Financial Issues implementation strategies include
self-supply
 Sustainable subsidies are
developed to serve the poorest and
most vulnerable
 Transparency and accountability
measures are in place for financial
management bodies (Government
and non-governmental)
 Realistic cost-recovery targets are
clearly defined and water tariffs set
accordingly
 Sustainable community financing
strategies are provided
Community and Social Aspects  Communities are presented with a
range of management models to
choose from
 Demand is stimulated based on a
wide range of community needs
(i.e. not just health)
 Community cohesion is not
assumed and heterogeneity is
recognised as appropriate
 Differing levels of poverty are
recognized and targeted subsidies
developed where needed
Technology  Appropriate technology choice is
promoted, especially that which is
closest to the user
 Flexibility in technology options is
available and communities have a
real choice
 There is limited or no importation
of specialist equipment
 Private sector capacity is developed
for drilling and development
Environment  Groundwater monitoring systems
are in place for water quality and
quantity
 Government regulation and
monitoring of private sector
operators and water resources
occurs
Supply Chains  Supply chains for spare parts are
linked with manufacturing,
technical services and/or pump
sales
 Indigenous private sector
development is promoted with
realistic incentives
 Non-profit sector support is utilised
where no other options are
commercially viable

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UNIT 3 .
TRANSPARENCY AND ACCOUNTABILLITY IN
WASH .
OBJECTIVE: TO ENABLE CLEAR TRANSPARENCY AND ACCOUNTABILITY
MECHANISMS IN PLACE WITH THE PUBLIC AS IT CONTRIBUTE TO GOOD GOVERNANCE,
EFFICIENCY AND QUALITY SERVICE PROVISION
3.1 Transparency and Accountability in WASH1
Introduction:
Service provision is greatly compromised by the lack of transparency and lack of clear
accountability mechanisms in place with the public can hold the duty bearers and
service providers accountable. Transparency and accountability contribute to good
governance, efficiency and quality service provision.
Definition
Transparency: This refers to openness and public access to information so that
citizens can understand the decision-making processes that affect them, and are
knowledgeable about the standards to expect from public officials.
3.2 Key Concepts
Accountability:
The democratic principle that elected officials and those in public service account for
their actions and answer to those they serve. Accountability includes political,
administrative, and financial dimensions.
Political accountability:
Political accountability means that government must be held accountable to the citizens
of a country, and that it must not abuse its power. This also implies that the
appointment of specific individuals to various decision-making positions must be
justified based on objective criteria, and the individuals and their departments must
account for their activities and spending in transparent ways.
1
Training Manual on Water Integrity

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Administrative accountability:
This refers to accountability within administrative structures and standards concerned
with oversight over water governance. This includes regular evaluation and necessary
improvements, and ensuring that all bureaucrats, consultants and technical personnel
comply with professional codes of conduct and professional standards. Increasingly,
public and private service providers are required to produce annual reports of their
planning, performance and spending.
Financial accountability:
Individuals and institutions must truthfully and accurately document the intended and
actual use of resources allocated to it. It may also require that individuals with
discretionary powers account for their earnings through a programme of assets
declaration
3.3 The public service accountability
Public service accountability looks at how accountability relationships between citizens,
politicians, policy makers and service providers are structured. There are two specific
routes of accountability: a long route and a short route.
“Long route” accountability
The political process through which citizens try to influence politicians is called “voice”.
This influence occurs through the direct political process of citizens voting for their
political representatives and deciding whether or not the politician has adequately
represented them. It also occurs when citizens express their priorities and preferences
for particular policies to the politicians. Policy makers include staff in ministries,
provincial and local governments that frame particular policies, regulations, and
programmes and are responsible to oversee implementation.
Within the government, policy-makers create policy and reach agreements with service
providers. Service providers can be public, private or non-governmental. This covers
the relationship between politicians/ policy-makers and the service providers. This falls
under “vertical” accountability (covered in Module 4). If this agreement is solely
between agents within the public service, we will call it a “compact”. If government
hires a private or non-governmental provider to deliver the services, we will call the
agreement a “contract”.
“Short route” accountability
The short route to accountability is to empower citizens so that they can directly
influence service providers. This is also referred to as “client or citizen power”.
3.4 Strategies for strengthening accountability
The following are ideas for strategies to strengthen accountability.
1. Working on parallel fronts to influence policies and laws, their implementation
and monitoring, supporting action groups and NGOs, stakeholder and
community participation, coalitions, research and tools. To succeed, the focus
should not be exclusively on the national government or the public sector. Both
‘top-down’ and ‘bottom-up’ approaches are needed.

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2. Preventive and positive approaches. Current experience shows that positive
approaches are needed. Transparency International, for example has a positive
focus that does not concentrate on “naming names” or sensational
investigations. This strategy helps to ensure that individuals and institutions are
willing to join and partner in improving accountability and transparency.
Preventive and proactive activities might include case studies of best practice,
surveys of the current situation, or action research identifying optimal
approaches to community management or
3. design of water schemes.
4. Seek greater transparency through; for example, establishing complaint
systems, ombudsman services and investigating alleged corruption. This can
focus on transactions that commonly take place in the sector, such as
beneficiary selection, tendering, construction, operation and so on.
5. Collaboration and partnerships. Building coalitions is essential and there are
many examples to prove that they work and get results. It is important to
increase the number and the mix of actors with representatives from
governmental and non-governmental organisations, public and private sectors,
as well as formal and informal groups.
6. In the water sector, some civil society organisations have been promoted as
independent monitors over both the tendering and execution of projects. The
challenge is to encourage the pendulum to shift towards external accountability
mechanisms with participatory approaches. This creates
7. monitoring and feedback mechanisms outside the
8. executive, which are less vulnerable to corruption.
9. Awareness raising and capacity building. Effective, informed and functional
institutions are needed. Focus should be on strengthening the capacity of
institutions and their personnel.
10. Apply and adapt existing tools. Many tools and strategies have been developed
to reduce corruption and improve transparency. The application of tools and
strategies do not automatically mean that the effort will succeed. It is important
to implement strategies and to check their real impact, which requires active
monitoring systems and indicators.
3.5 FINANCE AND FINANCING MECHANISMS
• Central to any WASH activity is the issue of funding
• Funding is required to put up new WASH services or rehabilitate the already
existing
• To this end WASH Funding Mechanisms need to be explored

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SOURCES OF FUNDING.
• Government- Through Public Sector Investment Programme (PSIP)
• Donors- These enter into bilateral agreements with government. Money usually
come in form of grants and loans
• NGOs-Get funds direct from donors and funds are controlled by them
• Community Contributions- mainly through provision of locally available
resources, time and labour
Funds disbursed through
1. Implementation Partners (ACF, SNV etc)
2. RDCs/DWSSC
3. Line Ministries
4. Directly to service providers
FUNDING THROUGH IP
• Is the major chunk of the programme funding
• Is programme funding that is for sub-district activities
• DWSSC should have access to this budget and the DWSSC and IP plan activities
together.
• Planning in advance and together makes you identify gaps in their contracts with
UNICEF and action taken to fill these especially from identified savings
elsewhere in the budget.
• IP accesses the resources quarterly
Accessing by IP
This on the strength of
1. Implementation plan
2. Budget for the coming quarterly
3. Acquittal of the last quarter’s disbursement
Funding through RDC/DWSSC
• Is for District level activities like
1. Meetings
2. District workshops
3. Monitoring and evaluations including support to sub-district planned by the
DWSSC

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4. Provincial Support (fuels, allowances, stationery, communication)
Funding Through RDC/DWSSC
• This is accesses quarterly through submission of
1. Coming quarter’s implementation plan
2. Related budget
3. Face Form and Covering letter from Council duly signed
ACQUITAL BY RDC/DWSSC
• Is made up of Reports on activities undertaken in the last quarter,
• statement of expenditure
• Face Form duly signed and
• a covering letter of acquittal duly signed
Funding through NAC
• Is accessed in the same way and acquittal is by same way
• Is for super structures above activities like where district/provincial staff are
participating in provincial/national activities

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UNIT 4 .
PUBLIC PRIVATE PARTNERSHIPS .
OBJECTIVE: TO ENABLE THE INNOVATION, CREATIVITY AND EFFICIENCY OF THE OF THE
PRIVATE SECTOR TO TAKE UP MUCH OF THE RESPONSIBILITIES IN WASH
4.1 Public Private Partnership2
Definitions
The World Bank: The term “PPP” refers to a number of elements including the
existence of a ‘partnership’ style approach to the provision of infrastructure as opposed
to an arm’s length ‘supplier’ relationship … Either each party takes responsibilities for
an element of the total enterprise and they work together; or both parties take joint
responsibility for each element… A PPP involves a sharing of risk, responsibility and
reward, and value.
Public-Private Infrastructure Advisory Facility:
Any form of partnership between public authorities and the private sector for the
construction, management and/or provision of an infrastructure or public service can be
considered a PPP. Indeed, PPPs rely on the expectation that the private sector is better
suited to provide an infrastructure or public service through:
• Higher operating efficiency
• Better service quality/reliability
• More cost-efficient use of public money on other public services
• Better value for money
• Transfer of some of the risks to the private sector
• Transparency
PPPs are a move towards greater shared responsibilities between the public institutions
and private sector. Government relinquish much of its control and allows the
innovation, creativity and efficiency of the of the private sector to take up much of the
responsibilities such as initial investments, management and operations. PPPs provide a
midway between State centred control and outright privatisation of public services.
4.2 Why are PPPs so attractive?
Why should Governments develop relationships with local and international private
companies with a view to using them to manage national utilities and to finance
essential investment requirements?
I. the private sector financing essential infrastructure needs will relieve pressure
on Governments’ budgetary requirements. These are extra resources and allow
resources from the Government’s budget to be released for other purposes.
2
Adapted from MENA-OECD Investment Programme and UNECE Capacity Building programme on Public-
Private Partnerships; training module “Introduction to public-private partnerships”

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II. the private sector can tackle inefficiency and respond more effectively to user
demands. In many infrastructure sectors in the world including in transition
economies, the problem is not one of expanding capacity but making it more
efficient. In the energy sector, for example, the measures to cut down on waste
and make power plants more efficient are the main priority.
III. Evidence from around the world suggests that the private sector is better in
building and operating more efficient energy structures and less glamorous
services such as waste disposal, water purification, etc, than the public sector.
IV. the private sector imposes discipline on projects through the profit motive and
ensure that project implementation - even for large-scale projects - is speeded
up: Where BOT projects have been implemented the speed in which the users
have benefited from these new projects finance schemes has been impressive.
V. The project finance structure is particularly suited to the environment found in
some transition economies where risks and uncertainties, both economic and
political, are much higher. This structure mitigates risk amongst many
participants through the employment of various financial instruments, such as
escrow accounts or a syndicated credit facility.
VI. Many of the benefits mentioned above would have been achieved by out-right
privatization of the government function. However, this middle way of public-
private partnerships can enable the general public to come to terms more easily
with private and foreign involvement in the running of their public utilities.
4.3 What to consider when choosing a PPP model
 Service contracts
 Management contracts
 Leasing arrangements
 Build-operate-transfer models
 Concessions
• PPP models also differ as to:
 Asset ownership
 Operation and maintenance obligations
 Commercial risk allocation
 Project duration
Table 3 Various PPP Arrangements
Option Asset
ownership
Operation
and
maintenance
Capital
investment
Commercial
risk
Duration
(years)
Service
contract
Public Public and
private
Public Public 1–2
Management
contract
Public Private Public Public 3–5
Lease Public Private Public Shared 8–15
Build-
operate-own
(BOO)
Private
(bulk
services)
Private Private Private 20–30

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Source: Cohen, Shams, Attia, 2002
Examples of PPPs
Table 4: Some Examples of PPP arrangements
PPP Schemes and Modalities
Schemes Modalities
Build-own-operate (BOO)
Build-develop-operate (BDO)
Design-construct-manage-finance
(DCMF)
The private sector designs, builds, owns,
develops, operates, and manages an asset
with no obligation to transfer ownership to
the government. These are variants of
design-build-finance-operate (DBFO)
schemes.
Buy-build-operate (BBO)
Lease-develop-operate (LDO)
Wrap-around addition (WAA)
The private sector buys or leases an
existing asset from the government;
renovates, modernizes, and/or expands it;
and then operates the asset, again with no
obligation to transfer ownership back to
the government.
Build-operate-transfer (BOT)
Build-own-operate-transfer (BOOT)
Build-rent-own-transfer (BROT)
Build-lease-operate-transfer (BLOT)
Build-transfer-operate (BTO)
The private sector designs and builds an
asset, operates it, and then transfers it to
the government when the operating
contract ends, or at some other
prespecified time. The private sector
partner may subsequently rent or lease
the asset from the government.
Source: Public-Private Partnerships, Government Guarantees, and Fiscal Risk.
International Monetary Fund
4.4. Pros and Cons of PPPs3
Pros
1. PPPs make projects affordable.
2. PPPs maximize the use of private sector skills.
3. Under PPPs, the private sector takes life cycle cost risk.
4. With PPPs, risks are allocated to the party best able to manage or absorb each
particular risk.
5. PPPs deliver budgetary certainty.
6. PPPs force the public sector to focus on outputs and benefits from the start.
7. With PPPs, the quality of service has to be maintained for the life of the PPP.
8. The public sector only pays when services are delivered.
9. PPPs encourage the development of specialist skills, such as life cycle costing.
10. PPPs allow the injection of private sector capital.
11. PPP transactions can be off balance sheet.
Cons
1. Does sufficient private sector expertise exist to warrant the PPP approach?
3
Source: Delivering the PPP Promise (PWC) 2008
Concession Public Private Private Private 25–30
Privatisation Private Private Private Private Indefinite

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2. Does the public sector have sufficient capacity and skills to adopt the PPP approach?
3. It is not always possible to transfer life cycle cost risk.
4. PPPs do not achieve absolute risk transfer.
5. PPPs imply a loss of management control by the public sector.
6. PPP procurement can be lengthy and costly.
7. The private sector has a higher cost of finance.
8. PPPs are long-term, relatively inflexible structures.

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UNIT 5 .
PROJECT MANAGEMENT .
OBJECTIVE: TO ENSURE PLANNING, ORGANIZING, STAFFING, LEADING/DIRECTING,
AND CONTROLLING/MONITORING OF WASH PROJECT:
5.1 Management
5.1.2 Introduction: What is Management?
In order to appreciate what management is, it is important to carry out a self-
assessment of your understanding of the subject. Attempt to answer the following
questions before you can read/ discuss ahead. This will be critical to your
understanding and appreciation of the subject in relation to your work.
Definition of Management
Management: it is the act of getting people together to accomplish desired goals and
objectives using available resources efficiently and effectively. Management comprises
planning, organizing, staffing, leading, and controlling an organization (a group of one
or more people or entities) or effort for the purpose of accomplishing a goal.
Basic functions/Roles
From the definition given above, it is clear that management operates through various
functions, often classified as planning, organizing, staffing, leading/directing, and
controlling/monitoring:
 Planning: Deciding what needs to happen in the future (today, next week,
next month, next year, over the next 5 years, etc.) and generating plans for
action
 Organizing: (Implementation) making optimum use of the resources required
to enable the successful carrying out of plans.
 Staffing: Job Analyzing, recruitment, and hiring individuals for appropriate
jobs.
 Leading/Directing: Determining what needs to be done in a situation and
getting people to do it.
 Controlling/Monitoring: Checking progress against plans.
 Motivation : Motivation is also a kind of basic function of management,
because without motivation, employees cannot work effectively. If
motivation doesn't take place in an organization, then employees may not
contribute to the other functions (which are usually set by top level
management).
Who is a manager?
Given the above management functions, it is agreeable that a manager is one who:

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 Has the responsibility of the planning, execution, and closing of any project
 Is accountable for accomplishing the stated project objectives.
 Has the responsibility of creating clear and attainable project objectives and
building the project requirements.
 Has the mandate to manage the triple constraint for projects, which are cost,
time, and scope.
Who is involved in Management?
Management functions are well perfomed at all levels of an organization and at all
stages of a project implementation. It therefore follows that everybody within a project
or organization has to be aware of management principles.
In a sanitation project this means latrine supervisor, district staff, provincial staff and
national or head office personnel. In short, if one has to achieve a goal by encouraging
other people to act then one is playing a management role.
Basic managerial Skills
1. Technical Skills: apply specific methods, procedures and techniques in a
specialized field.
2. Human/ Interpersonal Skills: ability to lead, motivate, manage conflict and work
with others.
1.3. Conceptual Skills: ability to coordinate and integrate all the organisation’s
activities and interests as well as creating linkages within and beyond the
organization
Aspects of Poor Management
We have outlined what management is, who is involved and the qualities needed by
managers. Now we need to examine the problems associated with poor management.
Poor management of a project is often associated with one or more of the
following:
• Lack of forecasting of required resources
• Insufficient or poorly designed budgets
• Projects out of step with schedules
• Objectives of targets not achieved
• Lack of staff control
• Lack of motivation of staff
• Poor control of resources including finance
• Inadequate delegation
• Poor communication
• Poor operating structure or organogram
• Insufficient evaluation
• High turnover of stuff
• Poor allocation of resources
• Poor financial controls
• Plans not followed

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Planning and Management Interface
This exercise should give one an idea of what planning is and its importance in our
homes, communities and workplaces. The above exercise shows that planning is
important as the primary management function that affects all other management
functions
5.2 Project Management
5.2.1 Introduction to project management
Project management is the discipline of planning, organizing, securing and managing
resources to bring about the successful completion of specific project goals and
objectives.
A project is a temporary endeavor, having a defined beginning and end (usually
constrained by date, but can be by funding or deliverables), undertaken to meet unique
goals and objectives, usually to bring about beneficial change or added value. The
temporary nature of projects stands in contrast to business as usual (or operations),
which are repetitive, permanent or semi-permanent functional work to produce
products or services. In practice, the management of these two systems is often found
to be quite different, and as such requires the development of distinct technical skills
and the adoption of separate management.
The primary challenge of project management is to achieve all of the project goals and
objectives while honoring the preconceived project constraints. Typical constraints are
scope, time, and budget. The secondary—and more ambitious—challenge is to optimize
the allocation and integration of inputs necessary to meet pre-defined objectives.
Project Management is the acquired knowledge and skills applied using a formal set of
tools and techniques to initiate, plan, execute, monitor, control and close projects.
Project Management provides:
 A clear project framework for achieving project specific goals and business
goals.
 An emphasis on phased development i.e. regular and measurable progress.
 A systematic approach to resolving high-risk factors associated with an
objective.
 A focus on team thus inculcating the concept of teamwork and skill specialization
– delegating tasks to team members selected for their skills that correspond to
the requirements of the project, leading to specialized input into the
development process.
 A built-in mechanism for assessing the feasibility of a proposed project –
assessing requirements and matching available resources to those requirements.
 A process for involving all concerned parties into project execution, ensuring
that the end product perfectly matches the requirements and thus avoiding last
minute glitches.
 A measure for incorporating Quality Assurance within the project life cycle thus
producing Quality Outputs.
The above list is by no means exhaustive, but it gives very accurate picture of what
value add Effective Project Management can do to the business and its projects. To get
a better understanding on what Project Management is, lets us now have a look on the
various Project Management Objectives.

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5.2.2 Project Management Objectives
Coordinate the various interrelated processes of the project.
Ensure project includes all the work required, and only the work required, to
complete the project successfully.
Ensure that the project is completed on time and within budget.
Ensure that the project will satisfy the needs for which it was undertaken.
Ensure the most effective use of the people involved with the project.
Promote effective communication between the projects team members and key
stakeholders.
Ensure that project risks are identified, analyzed, and responded.
In practice, Project Management follows a Phased Approach for Project Execution and
have a standard defined Project Life Cycle. Teamwork and Quality Assurance are few
important inherent characteristics of successful Project Management.
5.3 Project Management Life Cycle
5.3.1The Project Management Life Cycle comprises four phases:
 Initiation involves starting up the project, by documenting a business case,
feasibility study, terms of reference, appointing the team and setting up a
Project Office.
 Planning involves setting out the roadmap for the project by creating the
following plans: project plan, resource plan, financial plan, quality plan,
acceptance plan and communications plan.
 Execution involves building the deliverables and controlling the project delivery,
scope, costs, quality, risks and issues.
 Closure involves winding-down the project by releasing staff, handing over
deliverables to the customer and completing a post implementation review.
1.3.2 Project Initiation
Project Initiation is the first phase in the Project Life Cycle and essentially involves
starting up the project. You initiate a project by defining its purpose and scope, the
justification for initiating it and the solution to be implemented. You will also need to
recruit a suitably skilled project team, set up a Project Office and perform an end of
Phase Review. The Project Initiation phase involves the following six key steps:
The initiation stage should include a plan that encompasses the following
areas:
• Analyzing the project requirements in measurable goals
• Reviewing of the current operations
• Financial analysis of the costs and benefits including a budget
• Stakeholder analysis, including users, and support personnel for the project
• Project charter including costs, tasks, deliverables, and schedule
3.1.1 Project Initiation tools
 Business Case
 Feasibility Study
 Project Charter

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 Job Description
 Project Office Checklist
 Phase Review Form (Initiation)
5.3.3 Project Planning
After defining the project and appointing the project team, you're ready to enter the
detailed Project Planning phase. This involves creating a suite of planning documents to
help guide the team throughout the project delivery.
This second phase should include a detailed identification and assignment of each task
until the end of the project. It should also include a risk analysis and a definition of a
criteria for the successful completion of each deliverable. The governance process is
defined, stake holders identified and reporting frequency and channels agreed. The
most common tools or methodologies used in the planning stage are Business Plan and
Milestones Reviews.
The Planning Phase involves completing the following 10 key steps:
The Project Planning Phase follows the Project Initiation Phase and is the most
important phase in project management. The effort spent in planning can save
countless hours of confusion and rework in the subsequent phases.
The purpose of the Project Planning Phase is:
 Establish Business Requirements.
 Establish Cost, Schedule, List of Deliverables and Delivery Dates.
 Establish Resource Plan.
 Get Management Approval and proceed to next phases.
The basic processes of the Project Planning Phase are:
 Scope Planning. This specifies the in-scope requirements for the project.
 Preparing the Work Breakdown Structure. This specifies the breakdown of the
project into tasks and sub-tasks.
 Organizational Breakdown Structure. This specifies who all in the organization
need to be involved and referred for Project Completion.
 Resource Planning. This specifies who will do what work at which time of the
project.
 Project Schedule Development. This specifies the entire schedule of the activities
detailing their sequence of execution.
 Budget Planning. This specifies the budgeted cost to be incurred in the
completion of the Project.
Project Initiation Phase defines a few facilitating processes as well that are required for
successful Project Completion. These can be:
 Procurement Planning. Planning for procurement of all resources (staff and non-
staff).
 Communication Planning. Planning on the communication strategy with all
project stakeholders.
 Quality Planning. Planning for Quality Assurance to be applied to the Project.
 Risk Management Planning. Charting the risks, contingency plan and mitigation
strategies.

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 Configuration Management Planning. Defines how the various project artifacts
will get stored.
Both the basic processes and facilitating processes produces a Project Plan. During this
phase, Project Team is responsible for the following activities:
 Project Managers are responsible for developing the Project Plan thus ensuring
that all the project planning requirements are fulfilled.
 Functional / Management personnel are responsible ensures that adequate
resources are available for the project.
 Key Stakeholders should approve the Project Plan before moving to the next
phase.
Project Planning is essential for a project's success. Project Planning helps team
members to understand their responsibilities and expectations from them. Project
Planning Phase identifies scope, tasks, schedules, risks, quality and staffing needs.
Project Planning tools
 Project Plan
 Resource Plan
 Financial Plan
 Quality Plan
 Risk Plan
 Acceptance Plan
 Communications Plan
 Procurement Plan
 Tender Management Process
 Statement of Work
 Request for Information
 Request for Proposal
 Supplier Contract
 Tender Register
5.4 Project Execution
With a clear definition of the project and a suite of detailed project plans, you are now
ready to enter the Execution phase of the project.
This is the phase in which the deliverables are physically built and presented to the
customer for acceptance.
The most important issue in this phase is to ensure project activities are properly
executed and controlled. During the execution phase, the planned solution is
implemented to solve the problem specified in the project's requirements. The most
common tools or methodologies used in the execution phase are an update of Risk
Analysis and Score Cards, in addition to Business Plan and Milestones Reviews.
While each deliverable is being constructed, a suite of management processes are
undertaken to monitor and control the deliverables being output by the project.
These processes include managing time, cost, quality, change, risks, issues, suppliers,
customers and communication.

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Once all the deliverables have been produced and the customer has accepted the final
solution, the project is ready for closure.
Project Execution and Control Phase follows the Project Planning Phase and ideally
starts once the Project Plan has been approved and baselined. Project Execution is
characterized by the actual work on the tasks planned and project Control involves the
comparison of the actual performance with the planned performance and taking
appropriate corrective action to get the desired output.
During this phase, Project Team is responsible for the following activities:
 Team Members execute the tasks as planned by the Project Manager.
 Project Manager is responsible for performance measurement which includes
finding variances between planned and actual work, cost and schedule.
 Project manager is responsible for providing Project Status Report to all key
stakeholders to provide visibility.
 All Project Key stakeholders are responsible for the review of the matrices and
variances.
 All Project Key stakeholders are responsible for taking necessary action of the
variances thus determined so as to complete the project within time and budget.
The basic processes of the Project Execution and Control can be:
 Project Plan Execution.
 Review of Metrics and Status Reports.
 Change Control Process. This defines the procedures to handle the changes that
are introduced
 during Project Execution and Control.
The facilitating processes during Project Execution and Control can be:
 Quality Assurance and Quality Control.
 Performance Monitoring.
 Information Distribution or Status Reporting.
 Project Administration.
 Risk Monitoring and Control.
 Scope Control.
 Schedule and Cost Control.
 Contract Administration.
Project Execution and Control Phase has a direct correlation to project progress and
stakeholder's expectations. Even the minor issues, if unnoticed, can cause major impact
on cost, schedule and risk and deviate the project from the Project Plan, thus
emphasizing the importance for the Project Execution and Control Phase.
5.4.1 Project Execution tools
 Time Management Process
 Timesheet Form
 Timesheet Register
 Cost Management Process
 Expense Form
 Expense Register
 Quality Management Process
 Quality Review Form
 Deliverables Register
 Change Management Process
 Change Request Form
 Change Register
 Risk Management Process

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 Risk Form
 Risk Register
 Issue Management Process
 Issue Form
 Issue Register
 Procurement Management Process
 Purchase Order Form
 Procurement Register
 Acceptance Management Process
 Acceptance Form
 Acceptance Register
 Communications Management Process
 Project Status Report
 Communications Register
 Phase Review Form (Execution)
5.5 Monitoring and Evaluation
M & E consists of those processes performed to observe project execution so that
potential problems can be identified in a timely manner and corrective action cab be
taken, when necessary to , to control the execution of the project. It basically focuses
on:
• Assessment of the project results against objectives
• Evaluation lessons that will influence future projects.
Monitoring and evaluation are very important aspects of project management and any
project manager has to have adequate monitoring and evaluation skills in order to
successfully run projects. In Fact, experienced project managers often emphasize that
if a project cannot be monitored and measured, it cannot be managed. This therefore
calls for a detailed understanding of what is involved in M & E.
5.6 Project Closure
Project Closure involves releasing the final deliverables to the customer, handing over
project documentation to the business, terminating supplier contracts, releasing project
resources and communicating project closure to all stakeholders. The last remaining
step is to undertake a Post Implementation Review to identify the level of project
success and note any lessons learned for future projects
In this last stage, the project manager must ensure that the project is brought to its
proper completion. The closure phase is characterized by a written formal project
review report containing the following components: a formal acceptance of the final
product by the client, Weighted Critical Measurements (matching the initial
requirements specified by the client with the final delivered product), rewarding the
team, a list of lessons learned, releasing project resources, and a formal project closure
notification to higher management. No special tool or methodology is needed during the
closure phase.
Project Closure Phase is the last phase of the Project Life Cycle. The commencement of
the Project Closure Phase is determined by the completion of all Project Objectives and
acceptance of the end product by the customer or community.
Project Closure includes the following tasks:

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 Release of the resources, both staff and non-staff, and their redistribution and
reallocation to other projects, if needed.
 al issues like labour, contract etc.
 Collection and Completion of All Project Records.
 Archiving of All Project Records.
 Documenting the Issues faced in the Project and their resolution. This helps
other projects to plan for such type of issues in the Project Initiation Phase itself.
 Recording Lessons Learned and conducting a session with the Project Team on
the same. This helps in the productivity improvement of the team and helps
identify the dos and don’ts of the Project.
 Celebrate the Project Completion.
The basic process of the Project Closure Phase involves:
 Administrative Closure. This is the process of preparation of closure documents
and process deliverables. This includes the release and redistribution of the
Project Resources.
 Development of Project Post Implementation Evaluation Report. It includes
 Project Sign-Off
 Staffing and Skills
 Project Organizational Structure
 Schedule Management
 Cost Management
 Quality Management
 Configuration Management
 Customer Expectations Management
 Lessons Learned
Lessons Learned form an integral part of the Project Closure Phase. It helps answer the
following typical question during Project Closure.
• Did the delivered product / solution meet the project requirements and
objectives?
• Was the customer satisfied?
• Was Project Schedule Met?
• Was the Project completed within Budgeted Cost?
• Were the risks identified and mitigated?
• What could be done to improve the process?
The outputs from Project Closure Phase provides as a stepping stone to execute the
next projects with much more efficiency and control.

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UNIT 6 .
MONITORING AND EVALUATION .
OBJECTIVE: TO ENABLE YOU TO ESTABLISH CONTINUOUS CHECKING WHETHER THE
PROJECT IS "ON TRACK" IN ACHIEVING ITS STATED OBJECTIVES.
Monitoring and Evaluation
Definition of “Monitoring” in the context of development cooperation:
“The regular collection and analysis of information to assist timely decision-making,
ensure accountability and provide the basis for evaluation and learning. It is a
continuing function that uses methodical collection of data to provide management and
the main stakeholders of an ongoing project or programme with early indicators of
progress and achievement of objectives." (IFAD 2002, p. A-7)
Monitoring
• Monitoring is an on-going process, taking place within a project or institution
(internal). It refers to a continuous checking whether the project is "on track" in
achieving its stated objectives.
• If problems or deviations are found, corrections might have to be taken. This is
also called project steering.
• An adaptation of objectives (and a revision of the logframe matrix) might be
necessary.
Monitoring Monitoring and Evaluation Plan
• A plan for monitoring and evaluation should be in place before implementation
starts => budget implications!
• The plan should determine the reporting system, mechanisms for ongoing
monitoring, timing of evaluations.
• Monitoring plans and reviews use elements of the logframe matrix.
• Monitoring starts when implementation starts.
Logframe Essentials
• Goal
• Purpose
• Outputs
• Activities
• Indicators
• Means of verifications

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Monitoring
“If you don’t ask the right questions, you will not get right answers.” (IFAD 2002, p. 5-
3)
Problem:
Choosing the right indicators and question of whom to involve in the process (e.g.
target group).
Developing the frame for Monitoring
Tasks:
- choosing the most adequate indicators
- information needs (which data are required)
- baseline information requirements, status and responsibilities (level of comparison,
e.g. with other projects or historical data)
- data-gathering methods, frequency and responsibilities
- required forms, planning, data management …
- analysis, reporting …

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Evaluation
Definition:
“…evaluation is defined as the systematic determination of the quality or value of
something." (Scriven 1991, cited in Davidson 2004, p. 1)
“The aim is to determine the relevance and fulfilment of objectives, development
efficiency, effectiveness, impact and sustainability. An evaluation should provide
information that is credible and useful, enabling the incorporation of lessons learned
into the decision-making process
(DAC 2002, pp. 21-22)
• As monitoring and evaluation fulfil different functions, they cannot be treated as
if they were synonymous.
• Function of monitoring: To enable project management to keep track of what is
happening and to check that progress is being made towards the achievement of
objectives (for on-going projects).
• Function of evaluation: accountability and/or lesson learning (for future
projects).

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UNIT 7 .
COMMUNITY BASED MANAGEMENT .
OBJECTIVE: TO ENABLE YOU TO MANAGE RESOURCES AND SERVICE DELIVERY WHICH
IS SET TO ADDRESS ISSUES OF SUSTAINABILITY, BROAD PARTICIPATION IN SERVICE
DELIVERY AND INCLUSION OF LOCAL PRIVATE PLAYERS.
7.1 Community based management
Community Based Management is an approach to resources and service delivery which
is set to address issues of sustainability, broad participation in service delivery and
inclusion of local private players.
In the context of the Water and Sanitation Sector, Community Based Management
implies that the beneficiary communities are in control, have full authority and
responsibility for the development of water and sanitation services. It also entails that
user community shall take responsibility for the operations and maintenance of the
facility and the attendant obligations such as raising resources for spares and upkeep.
The thrust of CBM is therefore community empowerment for enhanced community
management and ownership of water and sanitation services provision processes.
The CBM system may be through communities running their projects or they may do it
through an agency or in partnership at costs. Whichever method is used, the
community of users obligate themselves to pay, and take full responsibilities for
decision making. Sources of finance may be internally generated or sourced from
outside of the community as grants or loans. Representative bodies of the community
including their own local authority provide the necessary legal instruments, backup
services to ensure the effectiveness of the community managed process.
7.2 CBM Guiding Principles
Principle 1: Communities assume ownership of existing and future water and
sanitation
facilities.
· Communities plan for and ensure rehabilitation of non-functional facilities.
· The community of users has technical, managerial and organizational skills.
Principle 2: Communities are responsible for the development, management
operation and maintenance of their own primary water supplies and sanitation
facilities.
· Community, through their local leadership including development management
structures initiates the implementation of water supply and sanitation projects and
agrees to put in place systems and mechanisms, in consultation with their RDC, to
ensure future sustainability of the supply.
· Decision making on the type of technology rests with the community of users. To
facilitate this, support agencies provide information to the community on possible
choices and their long term financial implications especially on O&M.

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· Village based plans should be the basis of channeling support.
· Community of users through their organizational structures manages their water
supply and sanitation facilities and monitor performance.
Principle 3: RDC is the custodian of the water supply and sanitation
development process.
· RDC shall incorporate in their district plans, water and sanitation projects.
· RDC is the entry point for channeling support to communities.
· RDC shall make it mandatory that villages have plans indicating priorities, options and
costs.
· RDC shall provide enabling environment to support and strengthen community
management structures.
· RDC shall put in place legal instruments to support community institutions.
· RDC shall establish a Water and Sanitation Revolving Fund to provide loans and grants
to deserving communities intending to improve their service level; to subsidize slow
moving components; and to cushion the vulnerable groups in times of crisis such as
drought and floods. A transparent operational criterion of the Water and Sanitation
Fund needs to be developed and communicated to all stake holders.
Principle 4: Users pay for all operation and maintenance costs
· Fast moving items such as leather cups, washers, nuts, bolts, fuel, filters, fan belts,
etc are supplied by the community of users at cost.
· Slow moving items such as pump heads, cylinders, rising mains, engines, etc are
subsidized by the RDC depending on type of item and community capacity.
· Responsibility for O & M and replacement of sanitation facilities lies with the user. All
labour costs are the responsibility of the users.
7.3. How to implement CBM
Phases
There are three main phases for introducing CBM summarised in Table.
Phase Main Activities Main areas of focus
1 Setting the framework There is need to generate consensus between the
RDC (as custodian of CBM) and the communities
(as the major players and beneficiaries) in the
implementation of CBM.
2 Capacity building All institutions (community, RDC and others) are
strengthened to ensure that they play their role
effectively.
3 Consolidating CBM It is important that there be a system that both
external and internal processes agree to, to
consolidate CBM. In this system, weaknesses of the
CBM process are easily identified and rectified.
Evidence of institutional growth are noted.
7.4. Phase 1: Setting the framework
There are three key Steps in setting the framework which are summarised in Table 3.

40. 40 | P a g e
Table 7.3: Steps in Setting the Framework
Step Procedures Outputs Necessary
conditions
1 2 Explanator
y note
Introduce
the concept
of CMB
DWSSC
introduces
CBM to RDC
RDC
recommend
s CMB
concept to
full council
See
explanatory
note 1.1
RDC
resolution on
CBM
NAC
organise
Workshops
to
conscientise
PWSSC,
DWSSC and
CEO.
Disseminate
information
to
community.
Train
extension
workers/loca
l
leaders on
CBM.
Community
awareness
sessions.
See
explanatory
note 1.2
Community
awareness on
CBM concept.
Community
Agreement to
establish
Management
structures.
Trained
DWSSC.
Provision of
promotional
materials.
Set up
Community
Managemen
t
structures.
Develop ToR Election of
Managemen
t
Committees
See
explanatory
note 1.3
Organisationa
l
structures are
put in place.
Water and
Sanitation
Management
Committees
in
place.
RDC to
develop
by-laws
legalizing
formation
of
committees
.
Notes on Setting the framework
7.3.1. Introduce the Concept of Community Based Management to the Rural
District
Council
Step Output:
· Rural District Councils Resolution on CBM.
Step Indicator:
· Council resolution on CBM.
Step Procedures:
1. The District Water Supply and Sanitation Sub-Committee (DWSSC) discuss the
concept of CBM and recommend the idea to RDDC.
2. The CBM concept is discussed and adopted by the Rural District Development
Committee.

41. 41 | P a g e
3. The RDDC recommends the CBM concept to Full Council who agrees to the
introduction of the CBM concept in their area of jurisdiction.
4. A resolution on the implementation of CBM is passed by Council.
Necessary Condition
· National Action Committee (NAC) organises Workshops to conscientise the PWSSC,
DWSSC and Council Executive.
7.3.2. Disseminate information to communities.
Step Outputs:
· Community agreement to establish management structures.
· Community awareness of CBM concept.
Step Indicators:
· Agreement.
Step Procedures:
1. The DWSSC organise training of extension workers and local leaders on CBM.
2. The RDCs organise and hold community awareness sessions.
Necessary Conditions:
· RDC provide the requisite promotional materials.
· The District Water Supply and Sanitation Sub-Committee have the knowledge of CBM
concept.
7.3.3. Setting up Community Management Structures
1. Existing Structures
A number of development structures exist at the village level such as:
· Water Supply and Sanitation Management Committee
· Village Water Supply and Sanitation management sub-committees*
· Village Development Committee (VIDCO)
· Village Health Management Committee
· Ward Health Management Committee
· Ward Development Committee
· Ward Water Supply and Sanitation management committees (WADCO)*
* indicates possible new committees to be set up.
It is important that these are identified, their roles clearly understood and proper
linkages established with some of these.
Membership of the Village Water Supply and Sanitation management sub-committees
consist of
Chairmen and Secretaries of Water and Sanitation Management Committees in the
village.
7.3.4. Agree on terms of reference of each of these management structures
which may
include:
· planning responsibilities
· development of water and sanitation facilities

42. 42 | P a g e
· operation and maintenance of water and sanitation facilities
· resource mobilisation
· information management
· monitoring and reporting
· supervision
7.3.5. Election of a Water and Sanitation Management Committee
The community should develop a constitution which should contain the following:
· establishment of a Water and Sanitation Management Committee
· setting up of a fund
· contributions to the fund
· who is eligible to elect
· who is eligible to be elected
· size and composition of the Committee
· roles and responsibilities of the various actors
· vertical and horizontal communication
The position of Secretary of a committee should be occupied by someone who is literate
7.4. Phase 2: Building Capacity
There are six key steps in setting up the framework. Table 2 summaries the steps and
the procedures needed to achieve the outputs.
1 2 3 4 Output Conditions
Community
sessions on
community
awareness
Call and hold community meetings/ mini
workshops on participatory health &
hygiene
sessions; use & maintenance of facilities;
promotion of behaviour change; personal
hygiene; environmental and domestic
hygiene; gender participation; support for
latrine builder training & VPMs; promotion of
community participation and organisation and
O & M; development of local plans;
monitoring and evaluation.
See explanatory note 2.1
Communitie
s
being able
to
maintain
and
construct
facilities.
Imparting
of
skills to
other
villagers.
Organised,
responsible
and
empowered
communitie
. Council
bylaws.
. Training
manuals
Train
Manageme
nt
Committee
s
Session on PHHE
management technical
services organisational
skills
See explanatory
note
2.2
Provision
of
initial tools
by
RDC
Training
manuals
Technical
Training
Training sessions See explanatory
note
2.3

43. 43 | P a g e
s
Produce
Community
plans.
Gather
relevant
informatio
n
(VBCI)
Prioritise
needs
Develop
a
plan
(which is
costed)
Develop a
financing
mechanis
m
for water
and
sanitation
Community
Plan
See
explanator
y
note 2.4
External
support
readily
accessible
Willingness
to
participate
by
all
stakeholde
rs
Establish
Water and
Sanitation
revolving
Fund at
RDC.
Council
resolution
Set aside
resources
towards
the
fund.
Agree to
contribut
e
towards
the
funds
Set
paramete
rs
for use of
the fund.
Water and
Sanitation
Revolving
Fund.
See
explanator
y
note 2.5
Establish
Water and
Sanitation
Manageme
nt
Fund at
community
.
RDC
resolution
RDC sets
operation
al
paramete
rs
RDC identifies
sources
of funds
See explanatory
note
2.6
Water and
Sanitation
Manageme
nt
Fund
Council
resolution
on
willingness
to
pay