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Ensuring Sustainability

Learn strategies for sustainable water and sanitation services, focusing on operation, maintenance, and participatory monitoring. Understand how to ensure long-term functionality and community involvement in improving water and sanitation systems.

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Ensuring Sustainability

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  1. Ensuring Sustainability Leonellha Barreto-Dillon, seecon gmbh

  2. Contents • A Sustainable Water and Sanitation Service • Ensuring Long-Term Operation & Maintenance (O&M) 2.1 Definition of O&M 2.2 Design for O&M 2.3 Community Management for O&M 2.4 Organising and Planning O&M • Internal Follow-up of Completed Projects 3.1 Purposes of Follow-up 3.2 Follow-up Programme Design • Participatory Monitoring and Evaluation (PM&E) 4.1 Definitions 4.2 Principles of PM&E 4.3 Development and Implementation of PM&E 4.4 Techniques and Tools for PM&E 4.5 Advantages and Disadvantages SOURCE: L. Barreto Dillon

  3. 1. A Sustainable Water and Sanitation Service A water and sanitation service is sustainable when: • it is functioning and being used; • it is able to deliver an appropriate level of benefits (quality, quantity, convenience, continuity, health) to all, including the poorest women and men; • it continues to function over a prolonged period of time (which goes beyond the life span of the original equipment); • its management is institutionalised; • its operation, maintenance, administrative and replacement costs are covered at the local level; • it can be operated and maintained at local level with limited but feasible external support; and • it does not affect the environment negatively. SOURCE: IRC- INTERNATIONAL WATER AND SANITATION CENTRE (2004): What is cost recovery? URL: http://www.irc.nl/page/7584 [Accessed: 28.05.2010]

  4. 2.1 Definition of O&M 2. Ensuring Long-Term Operation & Maintenance (O&M) Operation and maintenance (O&M) refers to all of the activities needed to run a water supply and sanitation scheme, except for the construction of new facilities. The overall aim of O&M is to ensure efficiency, effectiveness and sustainability of water supply and sanitation facilities. SOURCE: CASTRO, V., MSUYA, N. And MAKOYE, C. (2009): Sustainable Community Management of Urban Water and Sanitation Schemes (A Training Manual). Nairobi: Water and Sanitation Program-Africa, World Bank. Definition of Operation: Operation refers to the direct access to the system by the user, to the activities of any operational staff, and to the rules or by-laws which may be devised to govern who may access the system, when, and under what conditions. SOURCE: L. Barreto Dillon

  5. 2.1 Definition of O&M 2. Ensuring Long-Term Operation & Maintenance (O&M) Definition of Maintenance: Maintenance is to do with the technical activities, planned or reactive, which are needed to keep the system working. Maintenance requires skills, tools and spare parts. SOURCE: CARTER, R. C. (2009): Operation and Maintenance of Rural Water Supplies. In: Perspectives N° 2. St. Gallen: Rural Water Supply Network (RWSN). SOURCE: L. Barreto Dillon Maintenance can be classified as: Preventive maintenance:this includes work that is planned and carried out on a regular basis to maintain and keep the infrastructure in good condition. Corrective maintenance:replacing or repairing something that was done incorrectly or that needs to be changed. Reactive maintenance:this is a reaction to a crisis or public complaints; it normally occurs as a result of reported pipe breaks and the malfunctioning or breakdown of equipment. SOURCE: CASTRO, V., MSUYA, N. And MAKOYE, C. (2009): Sustainable Community Management of Urban Water and Sanitation Schemes (A Training Manual). Nairobi: Water and Sanitation Program-Africa, World Bank.

  6. 2.2 Design for O&M 2. Ensuring Long-Term Operation & Maintenance (O&M) The ease of operation and maintenance of a facility is central to its sustainability and must be given careful consideration in design. Rural situation: e.g. Village Level Operation and Maintenance Management (VLOM) Urban situations: where supply systems will generally be more complex, the design and technology chosen will shape the long-term operation and maintenance. • Thestandardisationof equipment, parts, designs, construction methods, etc., has many benefits: • Design is simpler • Choices are made from a limited range of options. • Requires lower skills level • Limits the range of spare parts. SOURCE: LSHTM/WEDC –LONDON SCHOOL OF HYGIENE & TROPICAL MEDICINE AND WATER, ENGINEERING AND DEVELOPMENT CENTRE- (1998): Guidance Manual on Water Supply and Sanitation Programmes. London: WEDC. SOURCE: L. Barreto Dillon

  7. 2.3 Community Management for O&M 2. Ensuring Long-Term Operation & Maintenance (O&M) To ensure the sustainability of the sanitation and improved water solution, it is necessary to have a community ownership and management approach, making the end-users directly responsible for the operation and maintenance of the installed facilities. Owner’s manual: prepared by the contractor or engineer giving an integral framework for operation and maintenance Capacity Building to ensure proper O&M: -Household level: Training of end-users (e.g. UDD toilets) -District level: communities and their organisations (CBOs) -NGOs: training of trainers -Local technicians and care-takers -Private operators or local engineering companies SOURCE: L. Barreto Dillon

  8. 2.4 Organising and Planning O&M 2. Ensuring Long-Term Operation & Maintenance (O&M) The aspects to be organised are: What? When? Who? With what? O&M Requirements of a septic tank SOURCE: Adapted from CASTRO et al 2009

  9. 3.1 Purposes of Follow-up 3. Internal Follow-up of Completed Projects The continuous monitoring of the activities by the project implementers. Purposes: • Control of projects and their impact. • Maintain decision-making flexibility and promote an adaptative management approach • Improved scientific and technical knowledge • Improve public awareness and acceptance SOURCE: MORRISON-SAUNDERS, A. and ARTS, J. (2004): Assessing Impact, Handbook of EIA and SEA Follow-up. London: Earthscan.

  10. 3.2 Follow-up Programme Design 3. Internal Follow-up of Completed Projects 1. Determination of need and scope: In this step you should define the scope of the follow-up issues (what is to be supervised), specially the indicators that will help you to keep an eye on the project. 2. Defining tools, methodology and time-plan: This means the type of activities, such as visits to the project site, laboratory tests, interviews with the stakeholders and the frequency and time span of these activities 3. Financing the follow-up programme: One option is to cover the costs through beneficiaries’ contribution, in case there is a component of cost-recovery through end-user’s services. Another option is to cover the costs of the mandays, laboratory tests, field visits with the overheads or the annual budget of the organisation.

  11. 3.2 Follow-up Programme Design 3. Internal Follow-up of Completed Projects 4. Determination of roles and responsibilities: The most important issue to take care of is to assign completed projects to your staff members. 5. Gathering data and evaluation: Once the project is completed, and the internal follow-up starts, make sure to plan and integrate the visits, communication with stakeholders, laboratory analysis, etc. in your day-to-day activities. Evaluation should be carried out as it is a critical step in the process. 6. Reporting : To ensure that reporting of results is not neglected, it is recommended that a formal reporting and evaluation process be developed. In order to avoid extra work and allow for comparison, make sure to develop a simple template for all the members of the staff to report about their internal follow-up activities and the evaluation.

  12. 3.2 Follow-up Programme Design 3. Internal Follow-up of Completed Projects • The follow-up reports should include: • Short description of the project • Location of the project • Contact person in the project site (with contact information) • Description of the follow-up mechanisms (e.g. field visit, lab test, etc.) • Issues or problems identified • Results • Data analysis and evaluation • Corrective measurements undertaken • Further actions proposed to deal with the issue • Lessons learned

  13. More Tips for the Follow-up phase: 3. Internal Follow-up of Completed Projects 1. Always budget for a follow-up programme including costs for staff, assessments, baselines, monitoring systems and evaluation. 2. Include follow-up in the work plan and proposal, if possible. 3. Develop a follow-up plan and focus on just a few indicators. 4. Develop data collection and management processes-these should be made as simple as possible to ensure utilisation and should also capture staff roles and responsibilities. 5. Regularly hold meetings to reflect on monitoring and evaluation data- the emphasis here should be learning and building feedback into the programme. 6. Share results with beneficiaries and other stakeholders-avoid reporting only upwards. 7. Conduct a baseline at the beginning of the project/programme and final evaluation at the end so that results can be systematically captured SOURCE: INTERNATIONAL FEDERATION OF RED CROSS AND RED CRESCENT SOCIETIES (2007): Monitoring and Evaluation in a nutshell. URL: http://participation.110mb.com/PCD/M%20and%20E%20guide%20final.pdf [Accessed on 31.05.2010]

  14. 4.1 Definitions 4. Participatory Monitoring and Evaluation Definition of monitoring Monitoring is a continuous process of collecting and analysing information to compare how well a project, programme or policy is being implemented against expected results. SOURCE: L. Barreto Dillon Definition of evaluation Evaluation is the systematic and objective assessment of an ongoing or completed project, programme or policy, its design, implementation and results. Evaluation determines the relevance and fulfilment of objectives, efficiency, effectiveness, impact and sustainability. SOURCE: L. Barreto Dillon

  15. 4.1 Definitions 4. Participatory Monitoring and Evaluation Definition of participatory monitoring & evaluation Participatory monitoring & evaluation (PM&E) is a process through which stakeholders at various levels engage in monitoring or evaluating a particular project, program or policy, share control over the content, the process and the results of the M&E activity and engage in taking or identifying corrective actions. PM&E focuses on the active engagement of primary stakeholders SOURCE: THE WORLD BANK (2010a): Participatory Monitoring and Evaluation, in Topics: Participation and Civic Engagement URL:http://go.worldbank.org/G966Z73P30 [Accessed on 27.05.2010] • The stakeholder groups typically involved in a participatory M&E activity include: • the end users of project goods and services, including both men and women at the community level; • intermediary organisations, including NGOs; • private sector businesses involved in the project; and • government staff at all levels SOURCE: L. Barreto Dillon

  16. 4.2 Principles of Participatory Monitoring & Evaluation 4. Participatory Monitoring and Evaluation • Local people are active participants—not just sources of information. • Stakeholders evaluate, outsiders facilitate. • Focus on building stakeholder capacity for analysis and problem-solving. • Process builds commitment to implementing any recommended corrective actions. SOURCE: RIETBERGEN-MC CRACKEN, J. and NARAYAN, D. (1998): Participation and Social Assessment: Tools and Techniques. Washington, D.D: The International Bank for Reconstruction and Development, the World Bank.

  17. 4.3 Development and Implementation of PM&E 4. Participatory Monitoring and Evaluation Step 1: Planning the PM&E process and determining objectives and indicators Step 2: Gathering data Step 3: Analyzing data Step 4: Sharing the information and defining actions to be taken SOURCE: AUBEL, J. (2004): Strategic Report 9, Participatory Monitoring & Evaluation for Hygiene Improvement, Beyond the Toolbox: What else is required for effective PM&E? A literature Review. Washington, D.C: Office of Health, Infectious Diseases and Nutrition, Bureau for Global Health U.S. Agency for International Development.

  18. 4.4 Techniques and tools for PM&E 4. Participatory Monitoring and Evaluation Participatory Rural Appraisal: visual methods, often to analyse “before and after” situations, through the use of community mapping, problem ranking, wealth ranking, seasonal and daily time charts, and other tools. SARAR: interactive and visual-based methods to facilitate community discussion with such methods as pocket charts, three pile sorting, and “story with a gap.” Beneficiary Assessment: conversational interviewing and focus group discussions on changes and impacts. • Other techniques: • Visual self-evaluation tools • Testimonials • Photographing the evidence • Community records and indicators SOURCE: RIETBERGEN-MC CRACKEN, J. and NARAYAN, D. (1998): Participation and Social Assessment: Tools and Techniques. Washington, D.D: The International Bank for Reconstruction and Development, the World Bank.

  19. 4.5 Advantages and Disadvantages 4. Participatory Monitoring and Evaluation Advantages Increases the reliability of evaluation Allows for flexibility Strengthens ownership Widens the knowledge base necessary for assessing and correcting Increases the motivation of stakeholders Creates trust in Local Government policy and action Contributes to the learning of all involved. Disadvantages: Needs skilled facilitator Can be dominated by strong voices in the community Can be time consuming - needs genuine commitment. Needs the support of donors as does not always use traditional indicators. Those responsible for implementation of certain projects may not want the administration or public to learn about failures or mistakes due to a fear of disciplinary action.

  20. References AUBEL, J. (2004): Strategic Report 9, Participatory Monitoring & Evaluation for Hygiene Improvement, Beyond the Toolbox: What else is required for effective PM&E? A literature Review. Washington, D.C: Office of Health, Infectious Diseases and Nutrition, Bureau for Global Health U.S. Agency for International Development. CARTER, R. C. (2009): Operation and Maintenance of Rural Water Supplies. In: Perspectives N° 2. St. Gallen: Rural Water Supply Network (RWSN). CASTRO, V., MSUYA, N. And MAKOYE, C. (2009): Sustainable Community Management of Urban Water and Sanitation Schemes (A Training Manual). Nairobi: Water and Sanitation Program-Africa, World Bank. IRC- INTERNATIONAL WATER AND SANITATION CENTRE (2004): What is cost recovery? URL: http://www.irc.nl/page/7584. [Accessed: 28.05.2010] INTERNATIONAL FEDERATION OF RED CROSS AND RED CRESCENT SOCIETIES (2007): Monitoring and Evaluation in a nutshell. Downloaded from URL: http://participation.110mb.com/PCD/M%20and%20E%20guide%20final.pdf [Accessed on 31.05.2010] LSHTM/WEDC –LONDON SCHOOL OF HYGIENE & TROPICAL MEDICINE AND WATER, ENGINEERING AND DEVELOPMENT CENTRE- (1998): Guidance Manual on Water Supply and Sanitation Programmes. London: WEDC. MORRISON-SAUNDERS, A. and ARTS, J. (2004): Assessing Impact, Handbook of EIA and SEA Follow-up. London: Earthscan. RIETBERGEN-MC CRACKEN, J. and NARAYAN, D. (1998): Participation and Social Assessment: Tools and Techniques. Washington, D.D: The International Bank for Reconstruction and Development, the World Bank. THE WORLD BANK (2010a): Participatory Monitoring and Evaluation, in Topics: Participation and Civic Engagement URL: http://go.worldbank.org/G966Z73P30 [Accessed on 27.05.2010] 20

  21. “Linking up Sustainable Sanitation, Water Management & Agriculture” SSWM is an initiative supported by: Compiled by: 21

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