Uganda - Small Towns Water and Sanitation Project : report and proposed strategy on community-based monitoring

 71978 GOVERNMENT OF UGANDA Ministry of Natural Resources Report and Proposed Strategy on COMMUNITY-BASED MONITORING of the Small Towns Water and Sanitation Project Uganda By: Kathleen Shordt Patrick Nginya, NETWAS, Kenya David Saunders FILE cd .~nsultants, IRC International Water and Sanitation Centre Edward Bwengye Netherlands Uganda In collaboration with: Regional Water and San!tation Group - Eastern and Southern Africa -\\\\ 

Foreword The Regional Water and Sanitation Group Eastern and Southern Africa (RWSG­ ESA) is assisting the Small Towns Water and Sanitation Project (STWSP) in Uganda to improve the framework for qualitative projects Monitoring and Evaluation (M&E). The aim is to try to use experiences gained in the STWSP, to develop an M&E system that will be incorporated in the Management Information System (MIS) of the of the Rural Towns Water and Sanitation Program (RTWSP). In support of this effort a Participatory Monitoring and Evaluation Workshop was organized in collaboration with the Directorate of Water Development (DWD) and the National Water and Sewerage Corporation (NWSC) from September 23-26, 1997 at Crescent Crane Hotel in ...Iinja, Uganda. The workshop was facilitated by consultants from IRC, Hague; Combine Consultants, Uganda and a resource person from NETWAS. The workshop brought together 75 representatives from user groups, water and sanitation committees, urban councils, districts, project consultants and national project staff from both DWD and NWSC. The aim of the workshop was to involve sector partners and communities in designing key issues/concerns to be monitored during the various project phases (pre-construction, construction and post construction), define indicators, tools, methods and reporting formats for the monitoring process. The workshop produced three outputs, one of which is this report. This report details the proposed management strategy and action plan, while the other two separate reports will contain a proposal for sector capacity building in support of the M&E framework, and the participants report consolidating the workshop proceedings. This reports addresses the key issues and indicators to be monitored in the respective project phases, the proposed management strategy for overall sector monitoring, proposed roles and responsibilities of various partners/actors, linkages to the program MIS and a detailed out Action Plan to operationalize the system. The M&E system will draw experiences from within the RTWSP and other sector programs. RWSG-ESA would like to thank all partners who have contributed towards this valuable M&E process and looks forward to concerted efforts in implementation of sector wide M&E system in Uganda. an H. Doyen egional Manage

I I I I I I I I I I I I I I I I I I I  COMMUNITY·BASED MONITORING Small Towns Water and Sanitation Project, Uganda

Table of Contents Page 1. Introduction 1 1.1 The project, phases of operation and planning 1 1.2 Existing monitoring systems 1 1.3 Methodology and rationale for workshop 2 2. Participatory Monitoring 2 2.1 Best practices, opportunities 3

2.2 3. Challenge~ and stumbling blocks Strategy proposed 4 5

3.1 3.2 Components of the strategy Partners/actors and their responsibilities 6 11 4. Key issues and indicators, by project phase 12

5. Management 25 6. Capacity and training 26 7. Action Plan with dates 27 8. Links to MIS system 28 References 30 Appendix A Workshop Agenda Appendix B Indicators developed during the workshop Appendix C List of participants Appendix 0 Terms of reference I I I I I I I I I I I I I I I I I I I  COMMUNlTY-8ASED MONITORING Small Towns 'Nater and Sanitation Project, Uganda

Acknowledgement In a rapid monitoring assessment such as this, undertaken over a two week period in September 1997, it has of course been essential to draw on the expertise of many collaborators and partners. The consultants are deeply grateful to colleagues in the Directorate of Water Development and National Water and Sewerage Corporation. Mr. Patrick Kahangire, Director o~ Water Development, and Mr. Hillary Onek, Managing Director of the NWSC, graciously gave keynote addresses guiding the participatory monitoring workshop (23-27·September). Without the dedication of the Commissioner ISSD, Mr. Patrick Kagoro, who attended the entire monitoring workshop, and Mr Samuel Otuba of the ISSD the assignment could not have been carried out. Mr Maurice Ongandia and Mr Willy Kiirya from the NWSC provided essential and inSightful inputs for the mission. .' The consultants are particularly indebted to Mrs Rose Lidonde of The UNDP/ World Bank Regional Water and Sanitation Group - Eastern and Southern Africa. Mrs. Lidonde's tireless support and substantive inputs were of such high calibre that the consultants wish to express their special gratitude. Of the more than 75 participants from towns, districts and NGOs who attended the workshop, it is not possible to single out in a short paragraph those who provided important input for the task at hand. However as a group their dedication, exceptionally hard work and insights were remarkable. When these participants involve themselves in the activities they have planned in their towns, their work will, without doubt, ensure the success of this innovative project. We hope that they will also involve their local partners, colleagues and the men, women and children of their communities in these activities, sharing their knowledge and skills. The report of the participatory monitoring workshop has been produced separately by Mr. Edward Bwengye and distributed to those who attended the workshop, among others. Mr. Patrick Nginya has prepared a separate report on capacity building, including training needs which also serves' as a companion to this report. For the present report, the authors (Kathleen Shordt and David Saunders) bare responsibility for errors and over-sights. It is hoped that the present report will be used as a working document on the basis of which the DWD and NWSC develop their plans for and effective community-based monitoring linked to

an MIS system. For the staff of the World Bank and UNDPlWorid Bank Regional Group, this report is meant

to show a practical application of the learning project concept and of participatory monitoring as described in World Bank publications developed by the Sustainable Development Resources Department, among others.

 I I Abbreviations I I I District CAO District CD District chief administrative officer District community development officer I DWD Directorate of Water Development NWSC UNICEF National Water and Sewerage Corporation United Nations Children's Fund I UNDP UnJted Nations Development Programme UNDPIWB RG WSC UNDPlWorid Bank Regional Water and Sanitation Group - Eastern and Southern Africa Water and Sanitation Committee I WUA WUG Water Users' Association Water User Group I I Currency unit = Uganda shilling (Sh) US $1.00 = Sh 1100 (September 1997) I I I I I I I I I ­ EXECUTiV5 SUivlMARY The _90a:' of community-based mcnitoring is to ensure effe~tiveness, sustainability and optimum use of water an_d sanitation facilities. It operates through self-checking monitoring activities ~ithin the community that ar~ controlled by checks and balances. The pUrpose of the system is to so~ve problems, identify op~ortunities and 'stimulate fast reaction to -­ information in order to improve the programme over the short-term. Community-based monitoring is action-oriented and decentralized. It involves many groups of people. Because it is action-oriented, monitoring and management activities come close together. In some cases, in the proposed strategy described here, the principles of good management and good monitoring are almost identical. A participatory community-based monitoring workshop was held in September 1997 involving 75 people from towns, districts and headquarters of the DWD and NWSC. It tested the interest and capacity of participants to initiate a community-based monitoring programme. It also served to launch monitoring in the towns. Each group of participants prepared a small monitoring plan and dedicated themselves to implementil}g it in their towns. Principles that serve as the basis for the workshop and the proposed monitoring strategy shown in this paper are: SOME PRINCIPLES OF COMMUNITY·BASED MONITORING Community management of monitoring activities. It is participatory. • Planning for the useofmol')itoring information from the beginning. Ensuring that action to monitoring information can.be taken at the lowest possible level. • Building checks and balances through alternative flows of information, multiple collection of data which help ensure validity and quick response to monitoring information. • Targeting and limiting collection of information, rather than trying to cover all possible topics.

• Combining quantitative and qualitative strategies. • Simplifying procedures: Keeping data collection periods as short as feasible, and flows of information as short as possible. • Borrowing.techniquesand methodologies from other disciplines (mapping, pocket charts, focus group discussions and so on). . . . • Capacity building: Plannlngfor training or orientation.of those who collect and may use data. Putting those individuals anel groupswith new skills in situations where they can apply these skills. • . Building in monitoring activities with on-going; often decentralized management ratherthan establishing separate monitoring units. . Why involve the community? This question has been raised, by some colleagues. There are many reasons; however, on simple way of explaining why community members and users must be involved can be

shown schematically below. more water used ..

more profit less water used disconnection of water point . less profit failure This implies that use of more safe water within the household and institution makes economic sense. In addition, it offers a health advantage. Currently many households use

far less than 20 liters per capita per day, an amount that is generally considered to be the level at which safe water offers a tangible health advantage. Thus, creating a greater demandior and use of water from safe sources would be an element of the project. What stimulates use of more water - more liters per capita per day from safe water points?  I Convenience good site selection I Pricing rational pricing based on information (low enough to , I stimulate use but high enoughJo ensure O&M) . I Create demand +7 hygiene education I For these reasons (ensuring good site selection, rational pricing, and hygiene education­ and for many other reasons-- it is therefore essential that the community and.user be involved as partners in the project and in monitoring. I In particular.... I Pre-conditions for community-based mon.itoring in the Small Towns Project I • A large amount'of human resource development actions should be undertaken. This involves, firstly, a significant amount of training. Secondly, to implement the proposed strategy field officers, currently attached to consultancy firms, need to I remain in place for a period of two to three years. This would serve not only for .. implementation of a monitoring system but more importantly would strengthen the currently fragile community capacity for management and ownership of water and I sanitation programmes. Thirdly, human resource needs should be reviewed and possibly additionar management! monitoring staff inserted at the municipal and! or district level. Training and HRD can present an over-head which must be provided in I the projects. If the systems and facilities are to last and be used as intended, this over-head is essential. • Consistent dedication from the two implementing agencies without which the I monitoring system will not succeed. • Sanitation activities and hygiene promotion should begin during the period between completion of the community contribution and construction of water supply. This is I 'opportunity time' during which community motivation and enthusiasm can be sustained through sanitation and hygiene programming. Moving the sanitation and hygiene promotion forward in the project phasing has several advantages: it ensures I that sanitation and hygiene will not be over-looked; it provides for meaningful activities during a time when the community wait often impatiently for water supply construction; it helps increase the demand for safe water from the new sources. I Proposed monitoring strategy The proposed strategy has nine elements which are described in greater detail in the main body of the report. I I I  Nine components in the pJ:oposed plan 1. Communities (users, committees, associations, Ipcal government): In-build monitoring of selected indicators with-checks and balances. This includes key indicators for each phase which appear in the consultant contracts, (component 5 below). 2. Town councils and District or sub-county level: Checking and referral for these selected indicators. Progressively taking over more responsibility for monitoring (and management). 3. Contractors: Their work is to be monitored by user groups, town/ district staff and consultants. 4. Building on local resources: Identify skilled people who can seTYe as key resources in developing monitoring capacity and 'trouble shooting'. 5. Consultants: Key indicators written into consultant contracts and used to monitor each project phase in the town. 6. Project implementors (DWD/ NWSC): They check on progress toward or compliance with the key indicators for each phase during site visits and through-consultant reports. 7. Project implementors (DWD/ NWSC): Develop a simple pro-active 'warning system' through simple visualized flow charts. 8. Project implementors (DWD/ NWSC): Spot checks based on agreed indicators. 9. World Bank and UNDP/ World Bank Regional Group: Spot field visits and formal assessments, follow-up on selected aspects of the monitoring plan such as the finalization of a list of indicators, review of terms of consultants including key indicators. A few observations are noted here on elements 1. and of the above table: 1. Communities: In-build monitoring of selected indicators with checks and balances. Within the towns, the strategy consists of self-checking cycle of activities. each focused on one indicator or set of related sub-indicators. Thus the monitoring activity consists of a set of steps: a) Identifying and agreeing on key concerns and indicators and ways of 'checking' (monitoring) them. b) Observing. checking. collecting only the most pertinent information related to that indicator. c) Analysing the information (for example, comparing the meter reading with the amount of money collected at the stand post) or intuitively (for example, the water has a strong taste). d) Carrying out or arranging for action on information which inclicates that follow-up is needed.  I - e) If the expected action does net take place. referring the informatien to other parties --until tlie information is acted upon. For exaniple. the users may refer complaints to I : their"ysc, to the association. to the consultant, to the district/town clerk or engineer an~, e,ventually, to Headquarters/Kampala. ._ , f) Applying checks and balances ('triangulation') as ne~ded to ensure that the data 1s . I valid and reliable. This may mean more than one group collecting information (fo'r example, construction would be monitored by the client/users, by district/municipal engineers. and by the consultant). I To implement the monitoring in the programme, one town-based workshop to initiate and advocate the system and another workshop to prepare for O&M would be very useful. I Much of training and organization for monitoring the other phases--mobililzation. planning and construction --could be carried out in smaller groups by the consultants and checked by DWD/NWSC. The initial planning-and-training workshop serves to start up monitoring I activities with ownership at the town level. It also serve to clarify the roles of the various parties (users. committees, association, town administration and council) are clarified. Thirdly. the workshop should educate the local leaders about basic financial. water use, sanitation and hygiene issues. It is interesting to note that these town-based workshops I were a strong. bufunsolicited request from participants attending the Jinja programme in September 1997. The town-based workshops could be organized by DWD/NWSC staff and/or consultants for which both groups would need training. I . 2. Town councils and District or sub-county level: Checking and referral for these I selected indicators~ This is illustrated as follows: PERSONNEL MANDATE FOR MONITORING I Town clerk/CAO checks tenders, referrals of complaints. spot accounting I Health officers sanitation, sold waste disposal, hygiene promotion Engineering officers construction, technology choice, O&M I Community development officers mobilization, user satisfaction, functioning committees and associations I I 3. Contractors and construction: .A. simple plan invclvir.g three grol.\PS :n mcnitoring cohstruction is shcwn in this table: Construqion: User I WSC - Selected User I WSC members are trained members and check simple construction features, -­ such as number of bags of cement used, curing of concrete, water point located according to agreed site selection. Construction: Town, sub­ Engineering and selected administrative county and district staff and check for key construction authorities features. For example, check borehole casing and backfill, correct protection of the eye, pumps according to specification, pipe location, diameter and quality. Construction: Consultant Oriented and checks all work according to specifications. DWD checks and approves 5. Consultants: Key indicators written into consultant contracts and used to monitor each project phase in the town. It is recommended that the contracts of consultants be negotiated (or renegotiated) including the following elements: • Presence of extension staff (at least 1:10,000 or 1:20,000) on a continuous basis for a 2 to 3 year period, responsible for setting up community-based monitoring as well as the usual soft-ware activities (mobilization for water, for sanitation and hygiene promotion, post-construction O&M and appropriate use of facilities). • Organizing and training committees and probably voluntary mobilizers and relevant NGOs (for monitoring, water, sanitation and hygiene promotion). They should be provided with 'thank you' gratuities. • Indicative key indicators given in the contracts against which the progress of the project will be judged. Such indicators may need to be refined with a view to local conditions and opportunities that arise. • Responsibility for training and capacity building of committees and associations, including setting up continuing monitoring activities. The elements shown above should be included in the briefing programmes provided for consultants (and their staff). Field staff who work for the consultants require special training. Engineers may need special orientation (half-day) to the monitoring system. Key Indicators A menu of possible key indicators are shown for each phase in the body of the report. Also included for each indicator are the groups responsible for checking or collecting the information and referrals if action is not taken as expected. The referral points should be clearly told to the public through the consultants and the DWD/NWSC. The indicator list should be reduced in number and finalized by DWD/NWSC and in addition: • At the beginning of each phase in a town, the indicators should be negotiated, refined and adapted to suit local circumstances. . . • the key indicators should be known and agreed to by town leaders and administrators and district personnel who will be involved in monitoring. •  I Management of monitoring The initial activities Which would be undertaken in this monitoring strategy are listed --in I section 7 (Action. Plan). These initial activities include: ~ flow-charts, • fOllow-up -visits to the towns to advocate for the new system and learn how I monitoring of selected indicators worked, • refining indicator list and preparation of train(ngplan, • identifying local resource people and groups through meetings of field I workers, • training for headquarters' staff, • training consultants and their field staff, re-organization of consultant I contracts, • orientation of town/district administration (CD, CAO, town clerk. engineers, ~ health staff). I When the system is in place, continued input will be required. From the staff of the DWD and NWSC, this continuing work may consist of: I • at· least one visit each phase to monitor the key indicators for that phase. • support for district/town administration and trouble-shooting to ensure sustained operation of the systems and monitoring. I • possible accountant checks and rapid assessments, • setting up management and monitoring units at the district level and training their staff. I I Capacity building Capacity building refers basically to two things: development of skills usually though training and being in a position to use those skills. Thus capacity building is more than training. One I way of making this concept concrete - bringing capacity building to reality in a project - is to combine training with other activities. For example. on-the-job training ensures that the new skills will be used. Another approach is to combine training with planning. This approach I was used at the participatory monitoring workshop held in Jinja. The workshop gradually developed to the point where participants from each town made group plans for monitoring which many of them stated they would try to implement. I This combination of monitoring training with planning should be continued, where possible. For example, training workshops in the towns to prepare for monitoring O&M, financial I control and management of the water system should lead participants to draw up their own plans (including; indicators, how to collect information, referrals, responsibilities for collection and action on the data). In training. monitoring should also be combined with substantive aspects. The challenge is that many people lack basic tools about how to carry out their work - and they lack basic concepts about water and sanitation. One can not monitor something one does not know. I Thus, a monitoring-with planning and training workshop may be needed to prepare sanitation and hygiene activities. .. I 

Indicative Worl<plan The following draft workplan should serve as a basis fer the DWD/j\I'NSC to delielcp their own list of activities and schedule of 'Ncrk. . short name description -­ dates , ­ advocacy Visits to the towns for advocacy and follow-up to Jinja workshop: Nov-Dec 97 prepare for implementation of the monitoring system, identify possible local indicators, find out what the participants to the workshop did with their plans upon their retum. flow-charts Flow charts: DWD/ NWSC staff develop a simple pro-active Nov-Dec 97 'warning system' through simple visualized flow charts. Examine indicators and limit where needed. Compare with MIS. limit indicators Identify overlap for upward transmission. Nov-Dec 97 I building on local ! Reinstate meetings among field staff: Identify skilled people or Nov-Dec 97 resources ! groups who can serve as key resources in developing monitoring capacity and 'trouble shooting'_ I capacity building · Workshops and training's of central staff: developing monitoring I Dec 97­ Headquarters packages, tools, combining monitoring on-going activities,TOT : continuing Final linking MIS to community-based monitoring training consultants Workshops/training of consultants. focus on technicians and Jan-Mar 98 and their field staff • (software) field staff, TOT planning, mobilization, sanitation and . hygiene, construction . Negotiate contracts with consultants: key indicators written into Feb-Mar 98 consultant contracts and used to monitor each project phase in the town TOT workshop on post-construction, O&M, financial management May-Aug 98 in towns baseline and mapping Baseline: Retrieve and organize existing baseline data including Nov 97­ community maps. If baselines do not exist, undertake them continuing focusing on limited data thatcan be collected quickly_ ... consultants and district staff training on post- construction Mar-Dec 98 monitoring, finance, repairs .. :. district/town authorities Town administration and District orsub--county level: checking Mar Dec 98 training · and referralfor these selected indicators. Progressively taking : over more responsibility for monitoring (and management). community training Committees: finance, priCing, hygiene, sanitation, construction, Mar 98­ post-construction continuing

Associations: as above but in greater depth, additional: contracting, UFW, technology of system, pricing and O&M, replacement (with clear policy) activating management · Follow-up project implementors (DWD/ NWSC): They check on Mar98 ­ through indicators progress toward or compliance with the key indicators for each continuing phase during site visits and through consultant reports. .. :

 I Linking to the MIS s.ystem A brief description ot.-information which could be channeled and h,eld in headquarters in the I form of MIS data is given aftheend of this report. This draws upon S. Stoveland's report, the Jinja workshop and DWO's~ current monitoring sheets. It assumes that periodical reporting will continue from the' consultants. I I I I I I I I I I I I I I  1. lntroquction 1.1 The Small-r:0wns Project The Small Towns Water and Sanitation Project focuses on eleven small communities and the peri-urban areas ofJinja-Njeru. It consists of: i) demand-based provision of water supply including piped services, wells and spring-fed systems; ii) environmental sanitation, iii) hygiene education iv) community participation in planning, implementation, operation and maintenance of facilities, and v) institutional strengthening and capacity building for the partners in the sector. The component of the project focusing on the greater Jinja-Njeru service area is being implemented by the National Water and Sewerage Corporation (NWSC). The Directorate of Water Development (DWD) is responsible for implementation in the 11 towns. The approach taken in the project is innovative and thus no pre-planned blueprint is available or relevant. This is a learning project in which the clients or users of facilities as well as the town and district officials have a decisive role to play in planning and implementing and, above all, becoming owners of their basic services. The project is innovative in that it goes beyond physical implementation seeking to ensure that the benefits of water and sanitation facilities will be realised in the form of improved health and more robust economic development in the towns. It is a demand-oriented project which offers choices of technology. The approach is particularly appropriate in light of the national decentralisation . policy which is currently being.implemented in Uganda. The innovative project approach project requires new strategies to monitoring and the application of strategies which have usually been restricted to smaller-scale efforts. For this, the DWD and NWSC will emphasize data collection strategies which are closely connected to remedial action. Monitoring as conceptualised in this project is meant to improve and help develop project activities over the short term, to prevent or solve problems and to build on opportunities. It involves identifying and collecting the key information, analysing the meaning of this information and acting on it. In participatory monitoring, the communities -- men, women, children, local committees, local government and special interest groups -- become leaders and planners of activities which often can be simply described as 'seeing', 'checking', 'measuring' and 'acting' on information 'if there is something wrong'. In this project, standard tools of participatory monitoring such as mapping and qualitative assessment are used, but unlike most past experience they are used on a large scale. This means that the monitoring agenda and activities must also be monitored. Vertical linkages must be planned with two-way information flow to municipal offices, district authorities and then to the headquarters of DWD and the NWSC. Elements of the monitoring activities can also readily be fed into an MIS system. 1.2 Current monitoring and related activities Monitoring has largely focused on measuring physical inputs, quantifying activities and financial utilization. The DWD, in particular, has expressed interest in developing community­

based monitoring with strong qualitative elements that will enhance programme development over the short-term. At the same time, the DWD has developed -- and the NWSC is planning to develop -:.an MIS system while both organizations are embarking upon major HRD

exercises. Institutional development strategies are being planned to support the new national policy for decentralization of major functions to the district and sub-district levels. Taken altogether, this presents a heavy agenda for the small number of staff in DWD/NWSC Headquarters. In light of this, it is suggested that the present proposed strategy - which is indicative -- be reviewE~d, revised and implemented with deliberation before going to scale . 1.3 Methodoloav and rati a r o  I ,A.. participatory workshop on Community-based monitering was held from 23 ti}rough 27 September 1997 to test the interest and ability of communities to develop an action-orie.lted -I monitoring system. The workshop brought together seventy-five representatives from user groups, water and sanitation committees. urban councils, the district, consultants and headquarters among others. It demonstrated that community members have a high level of interest in monitoring their projects and hflve a strong sense of ownership. With appropriate' I . training and consistent follow-up after this workshop; the necessary skills can be developed for planning and managing monitoring activities in the towns. I It appeared during the workshop that some communities have a better foundation than others. Thus, it may be necessary to re-assess selection procedures for committees, the criteria under which consultants operate and to build in strong capacities at the headquarters I levels for monitoring in general and management of the proposed system. The dedication of the two implementation agencies, the DWD and the NWSC to community-based monitoring is somewhat different. Senior staff of the NWSC, whose implementation of the programme is I very recent, may benefit from special briefing activities as well as structured visits to some of the more advanced DWD sites. I The workshop also served another purpose, It was meant to launch community-based monitoring activities', Thus the participants prepared simple monitoring plans for selected indicators and dedicated themselves to implementing these plans, As rapid follow-up is essential so that the momentum of the workshop will not be lost, the DWD and NWSC staff I have planned sets of structured visits to each community. Their plan should include assessing the actual implementation of monitoring within communities and progressively adding new key indicators appropriate to the phase of activities in each town. I I 2. Participatory monitoring: background information Community-based and participatory monitoring, as currently being developed in the water I and sanitation sector represents the convergence of decades of experience in many disciplines. For example, it draws upon: agricultural development programming inspired, in part by FAO; earlier the Frierian work in Latin America; educational assessment practice in I North America. More recently, it builds upon the work of PROWESS and figures prominently in recent publications and policies of the World Bank. Among the latter there is a complementary emphasis on demand-sensitive programming predicated on community I participation and the initiation of formative project development ('learning projects'). These new approaches have, in large pact been stimulated by disappointment with the I results of traditional monitoring strategies as well as disappointment with outcomes of many sector projects. Water and sanitation programming over the past two decades which have' too often been characterized by limited effectiveness, high cost and concentration on I physical implementation of water facilities - and lack of sustainability. Participatory monitoring is meant to ensure the quality and consistent application of water and sanitation activities. It is meant to improve the value of the investment as well as the impact of I improved facilities. In this, the line between good management and good monitoring begins to disappear. Management (with managers at neighborhood, town, district and l'1ational levels) should incorporate monitoring as a consistent set of practices. Applying this to the I water and sanitation sector, some of the basic principles are described in the following chart. I SOME PRINCIPLES OF COMMUNITY-BASED MONITORING , . Community managementof monitoring ~ctiviti~s.ltisparticipatory. • Planning for the use of monitoring, iCIformation from the beginning. Ensuring that action to I monitorinQ information can be taken althe lowest possible level. I i· Building checks and balances through alternative flows of information, multiple collection of­ f data which help ensure validity ar~d quick response to monitoring information. _ • Targeting and fimiting collection of infonmation, rather than trying to cover all possible topics. • Combining quantitative and qualitative strategies. _ - . • Simplifying procedures: Keeping data collection periods as short as feasible, and flows of infonmation as short as possible.' . • Borrowing techniques and methodologies from other disciplines (mapping, pocket charts, focus group discussions and so on). • Capacity building: Planning for training or orientation of those who collect and may use data. Putting those individuals and groups with new skills in situations where they can apply these skills. • Building in monitoring activities with on-going, often decentralised management rather than establishin se arate monitorin units. Participatory, community-based monitoring is being implemented -- or about to start -- in many nations at this moment. These include: the national programme as well as the Danida­ support Volta project in Ghana, the communications-based national programme in Guinea Bissau, in Uttar Pradesh (India), in Indonesia, Togo, and in Bangladesh with the I\JGO­ Forum, to name a-few. At a certain moment, it maybe useful to visit one of these programmes to learn from experience in other settings. 2.1 Best practices, opportunities in Uganda Over the past decades some valuable experience has been developed in Uganda which should be built upon in monitoring. Some of these relate to specific project methodologies. For example, Many extension or field workers and communities are familiar with baseline surveys the results of which are fed back rapidly to village and town people to increase demand or motivation and to initiate planning. It is a short step from this point to using such surveys for planning of continuing monitoring activities and for before-and-after (longitudinal) evaluations. A second and related example is the development or improvement of base maps with the community. These are used for site selection and designing water systems. With relatively little effort, the maps can serve as key documents for planning extensions, additional point sources, for charting latrine coverage and solid waste disposal activities. They can also be used to chart home-visits and mobilization meetings. Thus the maps (currently at 1:2500) can help the community groups monitor and plan their own work. Some groups have already developed their own innovations. For example, very low-cost accounting and activity-monitoring tables using low-cost school booklets. Based on experience in an earlier project, this may be tried out in one town. It helps avoid the over­ elaborate accounting systems that sometimes plague community-based programming. A simple plan for identifying and building on similar experience and local innovations is presented later in this report.  I 2.2 Challenges and stumbling biocks I There are some limitations to community-b"ased afld participatory monitoring, however. First, in large schemes which have complex design~, P9rticipatory apprQaches do not replace other forms of monitoring such as financial auditing or MIS activities. Rather, the various approaches are complementary. Secondly, the start-up period for community.;based I monitoring is longer and the initial investment is greater than with current approaches. Where more traditional approaches may start up with large-scale data collection exercises (often of limited utility), participatory approaches start up with consultation and jOint planning. I at first somewhat tentative, with trial and error. Once the momentum is built, however, the participatory approaches are far more robust and self-sustaining than other approaches. I In order to build an effective monitoring and management system it is, of course. necessary that the key partners have the same vision and subscribe to the same set of objectives. During field visits it became evident that some local groups were not aware or were barely I aware of the sanitation and hygiene components of the project. Within the NWSC, which has only been working within the project for a short time, there is not yet uniform dedication to the concepts of community management and participation. To respond to both of these I points, a simple paradigm was developed in two parts. It is as follows. Sample calculations were made to illustrate this: I more water used .. more profit I less water used .. less profit disconnection of .. failure I water point This implies that use of more safe water within the household and institution makes I economic sense. In addition, it offers a health advantage. Currently many households use far less than 20 Htres per capita per day, an amount that is generally considered to be the level at which safe water offers a tangible health advantage (see S. Esrey in attached I bibliography). Thus, creating a greater demand for and use of water from safe sources would be an element of the project. I What stimulates use of more water ­ more Htres per capita per day from safe water points? Convenience good site selection I Pricing rational pricing based on information (low enough to stimulate use but high enough to ensure O&M) I Create demand B hygiene education All of these (convenience, pricing, demand creation) require involvement of the community and management by local groups. For this, community-based monitoring is needed. Even if O&M functions are to be sub-contracted by towns to private businesses, these contractors still need to be monitored which requires the development of new monitoring skills at the town level.  - 3. Proposed Strategy The proposed strategy seeks to build mon-itoring activities into good management practices at many: levels. Experience in the water and sanitation sector in using separate monitoring units which lack a mandate for execution and management, has not ~een satisfying. MonitoriJlg systems require consistent' attention over the long-term. They too often suffer from over planning at the beginning and under-implementation subsequently. This is particularly the case since the monitoring effort can compete with other priorities assigned to the limited number of staff in the two implementing agencies. One approach to this which is developed in this paper, is to build monitoring in as a tool for management and day-to-day supervision. Thus it tends to disappear as a separate activity which requires special effort and becomes part of the regular management task at many levels. Based on the experience of the workshop. field visits and discussions with colleagues from the OWO, NWSC and UNOPI World Bank Regional Group, an indicative plan for a monitoring system has been developed. This monitoring system must be characterised by simplicity. validity. and must be self-sustainable over the long term. It is important to -emphasize again that the proposed monitoring strategy combines the standard functions of collection and analysis of information with action to improve project performance and effectiveness in the short term. It involves a large number of actors at all levels. If it succeeds, as experience elsewhere has .demonstrated it can significantly enhance the real value of the project investment while also . enabling the project to achieve it's twin goals of health improvement and economic viability. There are a few suggested pre-conditions required for implementing the proposed monitoring strategy. Some pre-conditions for community-based monitoring in the Small Towns Project • A large amount of human resource development actions should be undertaken .. This involves, firstly, a significant amount of training. Secondly, to implement the proposed strategy field officers, currently attached to consultancy firms, need to remain in place for a period of two to three years. This would serve not only for implementation of a monitoring system but more importantly would strengthen the currently fragile community capacity for management and ownership of water and sanitation programmes. Thirdly, human resource needs should be reviewed and possibly additional management I monitoring staff inserted at the municipal and! or district level. Training and HRD can present an over-head which must be provided in the projects. If the systems and facilities are to last and be used as intended, this over-head is essential. • Consistent dedication from the two implementing agencies without which the monitoring system will not succeed. • Sanitation activities and hygiene promotion should begin during the period between completion of the community contribution and construction of water supply. This is 'opportunity time' during which community motivation and enthusiasm can be sustained through sanitation and hygiene programming. Moving the sanitation and hygiene promotion forward in the project phasing has several advantages: it ensures that . sanitation and hygiene will not be over-looked; it provides for meaningful activities during a time when the community wait often impatiently for water supply construction; it helps increase the demand for safe water from the new sources.

 I 3.1 Description of proposed system The proposed monitoring system is comprised of nine Key elements. These components are I explained in greater detail in the pages which follow. . I Nine components in the proposed plan I 1. Communities (users, committees, associations, local government): In-build I monitoring of selected indicators with checks and balances. This includes key indicators for each phase which appear in the consultant contracts, (component 5 below). I 2. Town councils and District or sub-county level: Checking and referral for these selected indicators. Progressively taking over more responsibility for I monitoring (and management). 3. Contractors: Their work is to be monitored by user groups, town! district staff I and consultants. I 4. Building on local resources: Identify skilled people who can serve as key resourcesJn developing monitoring capacity and 'trouble shooting'. I 5. Consultants: Key indicators written into consultant contracts and used to monitor each project phase in the town. I 6. Project implementors (DWD! NWSC): They check on progress toward or compliance with the key indicators for each phase during site visits and through consultant reports. I 7. Project implementors (DWD! NWSC): Develop a simple pro-active Iwarning system' through simple visualised flow charts. I 8. Project implementors (DWD! NWSC): Spot checks based on agreed indicators. I 9. World Bank and UNDP! World Bank Regional Group: Spot field visits and· formal assessments, follow-up on selected aspects of the monitoring plan I such as the finalization of a list of indicators, review of terms of consultants including key indicators. I Each of these elements is described in the following paragraphs: I 1. Communities (users, Water and Sanitation Committees, Water User Associations, local government, special interest groups, NGOs): In-build monitoring of selected indicators with checks and balances. This includes key indicators for each phase which appear in the consultant contracts. Within the towns, the strategy consists of self-checking cycle of activities. each focused I on one indicator or set of related SUb-indicators.  The process begins with agree,ment about the indicator among :he partners participating in the monitoring activity. The indicator implies a norm or behaviour to be achieved and ways of obse~ing this achievement. Thus the monitoring activity consists of a set of steps: a) Identifying and agreeing on key concerns and indicators and ways of 'checking' (monitoring) them. b) Observing, checking, collecting only the most pertinent information related to that indicator. c) Analysing the information (for example, comparing the meter reading with the amount of money collected at the stand post) or intuitively (for example, the water has a strong taste). d) Carrying out or arranging for action on information which indicates that follow-up is needed. e) If the expected action does not take place, referring the information to other parties until the information is acted upon. For example, the users may refer complaints to their WSC, to the association, to the consultant, to the district/town clerk or engineer

and, eventiJally, to Headquarters/Kampala. t) Applying checks and balances ('triangulation') as needed to ensure that the data is valid and reliable. This may mean more than one group collecting information (for example, construction would be monitored by the client/users, by district/municipal engineers, and by the consultant). To implement the monitoring in the programme, the first activity could be town-based workshops. The participatory workshop provided a test and an example of how this strategy can be implemented. At the town level, where partners are focusing on the same system (unlike the workshop) would require less time than the Jinja workshop. However, several follow-up visits would be needed to orient or check various groups involved in a specific monitoring activity. Much of this could be carried out by the consultants and

checked by DWD/NWSC. The initial planning-and-training workshops serve several purposes. First they initiate relevant monitoring activities with ownership of various indicators at the town level. Secondly, in the process of planning, the roles of the various parties (users, committees, association, town administration and council) are clarified. Thirdly, they serve to educate

the local leaders about basic financial, water use, sanitation and hygiene issues. Fourthly, the training activities are meant to demystify monitoring, reinforcing the point that good monitoring is a set of behaviours that we all have, but that are made more systematic through group organization. This last point relates immediately to the 'learning culture' concept. It is interesting to note that these town-based workshops were a strong, but unsolicited request from participants attending the Jinja programme in September 1997. The town-based workshops could be organized by DWD/NWSC staff and/or consultants for which both groups would need training.

Preferably, such training and planning activities are needed, in somewhat different forms, at four points: during mobilization, for sanitation/hygiene activities that begin after mobilization, in a different form just before construction and at the beginning of the post­ construction phase. 2. Town councils and District or sub-county level: checking and referral for selected indicators. This section refers, in the first place, to town officials such as the town clerk, town engineer and personnel responsibleror h~alth and community development. In some towns and all small agglomerations such as trading centres, these personnel are not in  I place. In such cases the personnel to be activated are the dis~rict (or sub-county) CAO, the district health. engineering and community developmenn.:ltaff. I As is intended in national policy for decentralization, the district {and town level) personnel will take on increasingly important roles in water and sanitation programmes. This monitoring strategy assumes that there will be a gradual shift in responsibility and I authority from Kampala to the districts/towns. Initially personnel at these levels' are involved in discrete monitoring activities (such as checking construction quality). Gradually, they would take over functions which are giv'en in the pages below to the I Headquarters levels. Discussions during the participatory workshop revealed that the current responsibilities of I these officers in the project and in monitoring needs to be clarified. For example, the community development officer rather than the district ~ngineer might be the logical person to deal with public relations activities during community mobilization. More I specifically, where these officers exist and are competent, their responsibilities could be divided as follows: I PERSONNEL Town clerk/CAO MANDATE FOR MONITORING tenders. referrals of complaints, spot accounting I checks Health officers promotion sanitation, sold waste disposal, hygiene I Engineering officers construction, technology choice, O&M Community development officers mobilisation, user satisfaction, functioning of I committees and associations I 3. Contractors: monitoring of implementation by user groups, town/ district staff and consultants. There were several comments about quality of construction and repairs during the I participatory workshop. Monitoring for construction quality is, however, one of the better­ known aspects of community-based programmes in various nations. Relevant indicators suggested for this are: I Construction: User / WSC members Selected User / WSC members are trained and check simple construction features, I such as number of bags of cement used, curing of concrete, water point located according to agreed site selection. I Construction: Town, sub~, Engineering and selected. administrative county and district authorities staffand check for key construction features. For example, check borehole casing and backfill, correct protection of the I Construction: Consultant eye, pumps according t6 specification, pipe location,diameter and quality. Oriented and checks all work according to I DWD specifications. checks and approves I I  - - The process begins with agreement about the indicator among :he partners participating in the monitorin"g activity. The indicator implies a norm or behaviour to be achieved and ways of obse~ing this achievement. Thus the monitoring activity consists of a set of steps: ­ , ­ a) Identifying and agreeing on key concerns and indicators and ways of 'checking' (monitoring) them. bj Observing, checking, collecting only the most pertinent information related to that indicator. c) Analysing the information (for example, comparing the meter reading with the amount of money collected at the stand post) or intuitively (for example, the water has a strong taste). d) Carrying out or arranging for action on information which indicates that follow-up is needed. e) If the expected action does not take place, referring the information to other parties until the information is acted upon. For example, the users may refer complaints to their WSC, to the association, to the consultant, to the district/town clerk or engineer and, eventually, to Headquarters/Kampala. t) Applying checks and balances (,triangulation') as needed to ensure that the data is valid and reliable. This may mean more than one group collecting information (for example, construction would be monitored by the client/users, by district/municipal engineers, and by the consultant). To implement the monitoring in the programme, the first activity could be town-based workshops. The participatory workshop provided a test and an example of how this strategy can be implemented. At the town level, where partners are focusing on the same system (unlike the workshop) would require less time than the Jinja workshop. However, several follow-up visits would be needed to orient or check various groups involved in a speCific monitoring activity. Much of this could be carried out by the consultants and checked by DWD/NWSC. The initial planning-and-training workshops serve several purposes. First they initiate relevant monitoring activities with ownership of various indicators at the town level. Secondly, in the process of planning, the roles of the various parties (users, committees, association, town administration and council) are clarified. Thirdly, they serve to educate

the local leaders about basic financial, water use, sanitation and hygiene issues. Fourthly, the training activities are meant to demystify monitoring, reinforcing the point that good monitoring is a set of behaviours that we all have, but that are made more systematic through group organization. This last point relates immediately to the 'learning

culture' concept. It is interesting to note that these town-based workshops were a strong, but unsolicited request from participants attending the Jinja programme in September 1997. The town-based workshops could be organized by DWD/NWSC staff and/or

consultants for which both groups would need training.

Preferably, such training and planning activities are needed, in somewhat different forms, at four points: during mobilization, for sanitation/hygiene activities that begin after mobilization, in a different form just before construction and at the beginning of the post­ construction phase.

2. Town councils and District or sub-county level: checking and referral for selected indicators. This section refers, in the first place, to town officials such as the town clerk, town engineer and personnel responsible for h~alth and community development. In some . towns and all small agglomerations such as trading centres, these personnel are not in I I I I I I I I I I I I I I I I I I I  4. Building on local resources: Jdentip.ling sk~l/ed people who can serle as key resources in developing monitoring c;apacip.I and 'trouble shooti?lg'. The project is mean~ to learn from its own experience. For this, plans should be activated to enable the dispersed towns, the consultant agencies. and the two implementing agencies to benefit from each other's experience. At the monitoring workshop, for example, it was noticed that one mobilizer group has developed an innovative way of dividing the initial payments among various clientele in a border town. Another town has decades of experience in O&M and managing a small piped water supply scheme. This experience could be useful to other towns. To stimulate partners to learn from each other's experience, adapting strategies -­ including those for monitoring -- it is recommended that the following steps be taken:

• The periodic mee,tings among field staff of the various consultants should be re­ instituted as soon as possible. A major item on the agenda should be identifying at each meeting resource groups and individuals who have experience in one or another aspect of project development, including monitoring. These groups and individuals, together with contact addresses should be shared at the meeting and also provided to the DWD/N,wSC for their newsletter or for a circular. The DWD/NWSC should add other names and addresses, indicating in each case, the specific activity which that person or group can demonstrate or help with. As project personnel and partners are quite fluid at this stage, the list should be frequently updated. The people on these lists could be contacted for information; they could lead some training sessions; their towns could be visited. • Study visits should be organized from towns which are starting a new phase to towns where the phaSe has been completed successfully. During these visits, contact should be arranged with the consultant, relevant town administration personnel, the association, selected WSC and WUG. Visitors should be encouraged to ask questions and take note of key points. The visits could end with a planning session by the visitors where they identify what useful lessons have been learned and how to plan similar activities in their own setting. 5. ConSUltants: Key indicators should be written into consultant contracts to ensure monitoring and to set standards for completion of each phase. Managing consultants is an art in itself. It requires standardized but simple reporting procedures, field visits, clear contractual arrangements. At present, several of the consultants in the towns are in a position to be brought on-board a community-based monitoring system. Some, for example in Wobulenzi, have apparently taken steps on their own to ensure monitoring. Their experience may be valuable to others. By conSUltants we are referring to two types of professionals: • Technical staff, usually engineers who are largely concerned with implementation of water facilities. • Field staff whQ are responsible for social mobilisation, capacity building of committees and associations, providing financial training to ensure suitable financial procedures are followed and follow up to maintain user satisfaction related to water sanitation and hygiene. It is recommended that the contracts of conSUltants be negotiated (or renegotiated)

including the following elements: • Presence of extension staff (at least 1:10,000 or 1:20,000) on a continuous basis for a 2 to 3 year period, responsible for setting up community-based monitoring as well as the usual soft-ware activities (mobilization for water, for sanitation and hygiene promotion, post-construction O&M and appropriate use of facilities)..  I " Organizing and training committees and probably voluntary mobilizers. and rele'/ant NGOs (for monitoring, water, sanitation and hygiene promoticn). They should be I provided with 'thank you' gratuities. '. • Indicative key indicators against which th~ progress of the project will be judged. In some cases such indicators may n~ed to be slightly refined with a view to local I conditions and opportunities that arise. These key indicators, by phase, should be included in the terms of reference of consultants. • Responsibility for training and capacity building of committees and associations. The I capacity building should lead to good management and sustained water services, including participatory monitoring of key indicators as described in this paper. Consultant agencies should not just collect information and assert that 'all is well' in I their reports. The elements shown above should be included in the briefing programmes provided for consultants (and their staff). Field staff who work for the consultants require special I I training. Engineers may need special orientation (half-day) to the monitoring system. I 6. Project impleme.ntors (OWO/ NWSC): checking on the key indicators for each project phase and planning remedial action with partners. Evidence of compliance or achievement of indicators should be seen before the consultant starts working on a new project phase. I . 'The town and contractor would not receive the next tranche of money until a phase has been completed. This means that there should be information about progress toward I indicators in the consultant's report. This should also be checked by site visits from Headquarters. There should be observable evidence during a site-visit, including spot visits to client households, not only with association or committee members. If progress in I achieving the indicators noted in the contract does not seem satisfactory. then start-up of a new phase should be delayed. This approach, it should be noted, requires a minimum of one visit from a headquarters I staff member per phase. At the moment it is questionable whether the OWO, or its immediate partners, are in a position to carry this out in full without some supplemental staff (or district/regional-based staff). However, the system, which has been used in one I form or another in various projects, can be quite effective. 7. Project implementors (OWO/ NWSC): developing a simple pro-active twarning I system' through simple visualised flow charts. In view of the large number of towns with which the project works, it is suggested that the I implementors and particularly the OWO could use a simple visualized flow-chart management and warning system. This type of chart could be posted for all staff to see: I construction. .. I I The symbol *** indicates that problems have been encountered, for example in starting up the mobilisation, making contact with the clientele. This would mean that a visit is required from a relevant partner to help. In some cases the response from Headquarters I may need to be establishing a new policy or altering the project plan. For example, at this time, a different mobilisation and payment strategy may be needed for towns with large transient and house-rental populations. The v in the chart above indicates that the I completion of that phase must be verified by a visit. 8. Project implementors and partners (OWO/ NWSC, district/sub-county): spot checks 

Reading ccnsultant reports is not sufficient to determine if satisfactor; progress is -;'"eally . being made in a town. To determine if a project phase has bee·n succ·essrully completed, a field visit should be made by a member of the DWD/NWSC staff or th.eir carefully trained de~ignees. During this visit field evidence should be found giving some proof that the indicators for that phase have be.en satisfactorily put in place. In many cases it may be

necessary to walk through part of an area, asking a few questions of prospective users __ questions which are related to the indicators. See the indicative indicator list paper. During this visit a spot check should also be made of finances and accounting at the

committee level. However, the visits are not meant to be merely 'policing' activities. In this type of programme, perfection remains an· ideal, not usually a reality. Thus when problems or issues requiring action are found, possible solutions and brainstorming with the consultants and partners should be done on-the-spot. Decisions should be noted and follow-up during the next visit. 9. World Bank alJd UNDPI World Bank Regional Group: Spot field visits and formal assessments; follow-up on selected aspects of the monitoring plan such as the finalization of a list of indicators, review of terms of consultants including key indicators. The World Bank Task team and Regional Group staff also have an important role to play in following-up. It is recommended that this be done through spot field visits and formal assessments, follow-up on selected aspects of the monitoring plan such as the finalization of a list of indicators and review of terms of consultants including key indicators. The field visits, which should include at least one contact with clientele/users, are important for these types of projects which are based, in large part, on the efforts of partners in decentralized locations and the demands and satisfaction of users. Some visits may demonstrate the need to re-orient certain budget lines or may indicate the need for further assessment/evaluation. 3.2 Partners and their responsibilities The proposed monitoring system assumes that information or data should be collected by groups which have a vested interest in reporting validly or in acting on the information rapidly. For example, the user and WSC are more interested in reporting a leak which is not repaired than a mechanic/plumber. The health worker and field staff are more interested in identifying ·households which do not have latrines than are the householders themselves. The system attempts to build on this principle: ask the group which has a vested interest in monitoring the indicator validly. The proposed system involves many groups. One group, for example, could check or monitor for an indicator while another group serves as a referral point if action is not taken on the information as was expected. The following is a list of groups which could be included in a monitoring plan. About 80% of them do, in fact appear in the tables which appear later in the report.

 I Within project - I Intermediary , Headquarters/lender - • I Users households, WUGs Banks Area NWSC office Women Men £ I I Town Administration DWDM&E DWD Engineering - ! I children Town Clerk NWSC Engineering store owners, institutional users Caretakers/water point Schools District I Sub-county : NWSC Community Development World Bank and UNDP I World I 1 CAO Bank Regional Group attendants Skilled community members: mechanics I plumber Town Engineerl Water Officer I masons carpenter I midwife, TBA I traditional medical people WS committee members (DWD) ancf WUG leaders (NWSC)2 Town Community Development Officer I Chief and other loeal leaders Town Health Officer Local NGOs, women's groups etc. Mobilizers (voluntary) Consultants Engineering I technical and I extension personnel Water user associations (WUA) Contractors I 4. Key issues and indicators I Based on the monitoring workshop output, field visits and discussions with the implementing agency staffs and representative of the UNDPlWorid Bank Regional Group, an indicator set of issues and indicators have been developed_ These are organized by phase for water. I For hygiene and sanitation they are grouped together as is explained subsequently. In view of the short duration of this mission this must be seen as an indicative list. A selection should be made. Indicators will need to be refined. The towns should develop a I few key indicators for their current and the next phases. A minimum number of key indicators should be given for each phase to the consultants, preferably after some joint consultation. It is very important that the indicators be tailored and developed in the local I context as needed. In order to stimulate this, the indicative indicator list given here does not distinguish among the various forms of water supply (piped, gravity-fed and wells). I The list, when finalized, is meant to be developed in several ways: • At the beginning of each phase in a town, the indicators should be refined and adapted to suit local circumstances. To provide examples of what may need to be adapted, I question marks '(?)' appear at several points in the list below. It is neither necessary nor desirable to try to enforce a uniform set of criteria throughout the project area as long as the intent of the key indicators remain intact. For example, if the principle is _ I that users should know about the rules of project operation and initiation, then they should be able to explain key principles - but perhaps not one woman and one man in each household and perhaps not 3 rules as is noted below. It could be that 2 bits of I ! The salary of caretakers drives up the cost of water considerably, particularly for water points with fewer user families. Some towns may wish to experiment with water points that do not have caretakers. This would be I most relevant for WUGs with homogeneous, non-transient populations. 2 There is 'an apparent tendency for committee chairman and treasurers to take control of all committee functions this can have negative consequences for many aspects of the programme. To deal with this, it is recommended that all committee decisions be made unanimously and that responsibility for monitoring be I spread among s all committee members. ". _ f __ --' ___ 1..-:_ t.. ____ .. " .. _ .. t... .... __  information will be sufficient. On tlie other hand. in some towns the users/clientele may . be informed about certain health and hygiene aspects verj early in the project cycle. Such information would therefore be added to the indicator criteria. . • Selected key indicators should appear in th~ terms of reference of the consultant and should enable the project to prcc;eed to the next phase in that town. Thus; the key indicators should be known and agreed to by town leaders (perhaps in the Torm of project rules or principles of operation). fn this sense, the key indicators can be used to pace project development, ensuring that all key activities are completed in one phase before proceeding to the next. In reality, this approach is merely good management in somewhat more formal clothing. • Key indicators should be known to the town and district personnel who will be involved in monitoring or managing certain aspects such as the quality of construction or the sanitation activities. . I • Certain indicators should be negotiated with users/clientele. They may also be subject of education and mobilisation efforts. Example of these are: timely payment (what is the amount and periodicity of payment); amount of water used for personal hygiene and domestic purposes, needed to ensure a health impact (20Ipcd). Users must also know where they can refer complaints and how in the event that there is something wrong, the indicator is not being acted on appropriately (such as financial mismanagement). This is dealt with in a subsequent section. . -In the following table provides a menu of indicators. The first column shows the phase to which that indicator applies. In the second column, the issue is described as the 'short name' of the indicator. The yvord menu is used purposely. It is meant to underscore that this is an indicative list which 'should be reworked by the imple.menting agencies requiring some discussion with partner groups. The 'referral' column is very important in these tables. It indicates to whom information should be given if the expected reaction does not occur. For example, if the mechanic can not make a repair because parts are not available, there should be another known point to find out about availability of spares. The referral groups should be known. The users/clientele should know where they can go with legitimate questions and complaints. It is, for example, very important for the pubic to know who they can speak with if they have questions about the financial operation of their committee. The referral points should be clearly told to the public through the conSUltants and the DWD/NWSC.  I I I I I I I I I I Always pay your hand pump mechanic for maintenance of your borehole I I • I I I I I I I ------------------- s and Associations hich attracts considerable attention is the functioning of the committees and associations. This applies to nt point of attention. Note that this list also includes an indicator about when a committee members I Committees anC! I • minutes show that committee meets monthly or quarterly with quorum; motivators, extension staff consultant field staff, District receives minutes. attends meetings and works Iconsultant report clearly deals with I administration have access to meetings CD/town closely with committees actions DWD/NWSC • public meeting once in 3 (1) months administration and association • all decisions made in meetings are recorded and financial more than half are carried out spot checks of deposits in irregularities bank accounts. complaints must be dealt accounts and financial transactions follow agreed rules from clients .. independent with al Ollce, e.g., shown on checklist and in training accountant check change association. • has an active work plan (for sanitation, refuse disposal, drainage, etc.) DistricVtown health sta ff, review plan. obst:rve. revise plans wilh consultunt. I District udnlinistralioll • carries out health education among users consultant DWD/NWSC. • cleanliness at water points follows agreed checklist District CD, minutes of association • Association reports to Town Administration and has CAO, town clerk given to town working referral to other authorities for Issues the committee can not solve administration. spot check town • makes all major repairs within 2 weeks (1) I administration I observe I repair made I DWD/NWSC town/district check minutes, ask administration, consultant I DWDINWSC • Users know clearly where and how to refer DWDINWSC inforrnlask cI ients, DWD/NWSC complaints about committee/associations functioning district CD, town consultant reports asks consultant to local nnvt=lrnmt=lnt administration call lIser meetings on ors shown here apply to several phases of the project. 15  ifllO .' ~lilijli~~' <~:-r:{~_;·:i~·~~<:~;$~·~~"?:~~~r;: lIe/ioll and voluntary mobilizers (given Association, writtcn in contract with 'thank-you' only) trained and in place. Field workers DWDIJ'IWSC consultant. consultant remain for period of 2 to 3 years with community, to reports & spot check on- ensure good O&M. WBand site. UNDP/WB RO spot check contracts consultant, mobilizer I ask in town ~t householcis, carry out more activities or DWDINWSCto defer consultant consultant report of rev ise strategy payment district, meetings and home visits, DWDINWSC spot check during field visit payment determined I DWD/NWSC determines the amount of money which communities should contribute on basis of fixed rule or I)NDPIWBR.Q DWDINWSC monitoring staff check written estimates available for each town Iset deadlines for estimates with average amount of estimated O&M costs for that system consultants IniUal payment completed I In one year. Payrnen.t is dl?p~slte~ 1'1~ank 'acc8~nt ~i.th agfeed signatOries. :", ..... ...... ... I DWDINWSC andlor district I check accounts and compare with. written Iconstruction not to take place. administration agreements. Written policy of DWDINWSC about cash and kiud payments by technology option. spot asking a few househOlds. WBand UNDP/WBRO spot visits of selected towns committees formed I , " " .. -,:,-> ,," _ '-.If':'- \.,.' Committees are formed by election after voters are given clear guidelines such as (7): number of women, skills _ . consultant team leader, ask field workers what are guidelines I could have re- election I town/district iluthorities needed on committee, someone respected for having clean, though not necessarily rich, house. both are not District/town CD ask a few clients how (7) on committee or are ex-officio members. DWDINWSC committees formed. check Referral I Each group monitoring c;onstrl!c;tlcm knOw$~O whqmand how to refer complaints, artd procedures for corrective as above consultant report as above. ask to whom questions/complaints can be I redo group meetings action and contract termination are in place and known. referred ~ have been complaints, including some heard during the present short set of field visits, about the financial management practices of committees and :iations. Experience has shown that poor financial management usually leads to water systems which fall apart and fail to provide the intended servicl!. ial attention is therefore needed to indicators such as the following which, as has been mentioned, should be adapted but then known and 'owned' by all 16 -------------------- es. The same holds for site selection. There have been complaints that some water points are located near the hOllses of committee m~mb~rs lease was possible at better locations from the point of view of the users. of water is currently being done largely on the basis of 'what the market will bare'. Our calculations and spot checks of current users of piped shown that poorer households reduce the amount of water taken when the price becomes too expensive. When this happens, the I~eal income er point may actually be lower than would be the case if a smaller amount were charged for each jerrican. This happens because the fixed fee of attendant (which is a relatively high burden of payment) is then charged over fewer llsers. Water charges mount up over time. If a family of7 one 20-litre jerrican per person per day paying 25 shillings a jerrican, they would pay the equivalent of roughly US$63 per year. This isslle is the indicator list below. . I I Financial Management I- Local records available to show that DWD/NWSC or consultant have calculated District CD, DWD/NWSC consultant reports, on-site observation rationale charges to overheads/running costs with Association or WSCs, town administration and annual charges per WBand DWDINWSC water point, including provision for cross-subsidy UNDP/WB RG spot checks & consultant to from yard taps and household connections. act quickly problem - Committee, given the overhead charged by the Association, is taught and can explain how to Users users receive explanation from WSC rational pricing, calculate charges for one jerrican with a view to sustainability of the system while enabling poor District CD, consultant reports, general meeting people to afford 1 jerrican per person for each DWDINWSC on-site spot checks all WSCs if day pricing seen IS WBand spot checks too high 01' too - Committees and Associations (together with local government) are trained in how to manage UNDPIWB RG head consultant checklist used to check low good finallcial management. I Association, their system financially, including checks and balances for which there will be spot accountant team, local records. change WSC consultant checks. Association, asking and WSC for irregularities District CD, members can all explain DWDINWSC Site selection I- standposts are locateq within 200 (?) 500 meters from users, each. ~tal1dpost l)~rving' a maximum women, users, WSC a) maps with houses, existing water points, agreed place, change I consultant, DWDINWSC and mapping of 200(?)p~pulatiof1anq rrir)imllfT1of 100 (7) new sites, etc. location, people. b) walking and deciding in place with clients I location map - women users' involved insiteselE?ction by mobilising themto at~enc:i meetil1g~ ORat least Town CD spot checks copied to DWDINWSC. 17  refem1lif 110 itcti~ij~: ' 20 womElfl, Original map , askeqapollt :sit~ kept locally for handprint) their;nr,:>,:>m,:>nr planning standpost sanitation. etc. • land agreeme:nt~.pf: p~rch~seareniqq~;I~gally . and binqingi~Igm~q',~n(:Lwito~~~M,pY.t9Wn<::lerk beforeco!1structiol1GClrlt?ke,' p!~ce;·>· .<'~ ::>j. ' commItallt, legal agreement agreement held town clerk. :,.: ': ..... >: Y)'~<~~::";, ~~~~.: ~ ..'.~: ! ::. '-, ~ landlord by town clerk CAD. .. associatioJl' I." I &. owner nWPINWsc Referral known I. Before construction. proposed sites of water I users/clientele lists complaints consultant. points will be posted locally in public places to made publicly WSC. town allow for complaints to be referred to the and dealt with administration consultants. local Qovernment and DWD/NWSC. clea 18 •  -- - -- - - - - - - - - - - - ­ - - n hop participants were not aware that they and selected users could play significant ro,les in monitoring the quality and timeliness of construct .. siderable experience in this type of monitoring in other nations. fef~rr!ilif IIfJ ai:liui, . I Construction: Selected staff and users I WSC members are selected checklist with problems association, .. User/WSC trained and check simple construction features, userslWSC observation during reported town authorities members such as number of bags of cement used, curing of members during construction immediately to and from them concrete, water point located according to agreed construction consultant. to site selection. construction DWDINWSC improved Construction: Engineering and sel~cted administrative staff and· town eng., sub- checklist with as above. some as above. TOVlln, sub­ check for keyconstructiori features.' For example, county and observation during re-construction blacklisting county and check borehole casing 'and backfill,correct district construction may be needed deficient district protection of the eye, pUf!1ps ;according to engineers contractors . specification,' pipe location~qiameterand quality. authorities Construction: Oriented and checks all work according to consultant, specifications, contracts construction DWDINWSC Consultant specifications. for construction. spot halted if visits deficiencies found Construction: - construction will take place not longer than 6 DWDINWSC users/clientsIWS I spot checks observe simplify DWD/NWSC, months after site selection and consumer payment C, town financial careltdly to World Bank is completed., if there are no technical problerns authorities decision­ c1ients/WSC. making in HQ Association and and with WO authorities in towns Referral Each group monitoring construction knows to whom and how to refer complaints, and procedures for I consultant field worker checklist for monitoring construction, delay constl1lct ion corrective action and contract termination are in consultant report, un:!il place and known. spot check to ask a few monitoring WSCs tools in J)lacc 19 ation and Hygiene j very difficult to identify useful key indicators for sanitation and hygiene promotion insofar as the programme plans are not yet prepared and there has little or no field experience with these project components. For this reason, a set of basic indicators has been prepared without reference to project s. As has been mentioned, however, it is recommended that sanitation and hygiene promotion begin during the opportunity time between pnymcnluf itial water contribution and construction of water facilities ... a period when enthusiasm can fail but the potential for action is in place. e indicators are grouped together as they do not strictly follow the pattern or phases described for water facilities. 20 • ----­ - - - - - - - - - - - - - - eJ.11~ct~tI actioll; I referral if /10 actioll' groups such as ' women's groups • fieldstaf( thecomrnittees,;' localf]Dverllmentand consultant, reports of consultants, users will Lmdertakesanitationand, hygiene, ,district or check if there is a promotiqn ,qcUvjti~l) beginn ing ,~fterJhe, in jtji31 DWD/NWSC by WSCs, water' contdpytiq=rr tlasQ~en\pi3ldan~, ~e,for~ ask a hOl~sehold • construpt!on,~;:~~~erf;~u:ti~;,~:::t:i~':;> " , '. MOH togetherWnhDWD/I'IW~C,andloccd'f' a groups will pr~pare;andimplerneni plan for on­ DWDINWSC plan available plan to be developed and DWDINWSC­ policy is needed' site sanitation which based on.criterla such as: • technology choice,fOr different sO,Cio­ WB& improved with economic groups , , ' " UNDPIWB RG experience. • innovative planning for transient quality and use populations", J,t. ,,' ., ' of latrines is • 'cost control pbssibly through important. construction of demonstration facilities • local outlets for parts • CleanlY,!Jse anc:i'maintenance as defined by a checklist ~' 21  onstruction pbase &M phase, as it is called in the project document has been renamed post-construction. This highlights the point that more than managing the water is involved. Some of the indicators from sanitation and hygiene will probably also be inserted here after construction (for example, quantity of water use of latrines). This list will grow as the first towns enter the post-construction phase. Note that these indicators are also premised on the important pIe that both implementing agencies will continue to provide management, training and monitoring inputs for a period of at least a year, thell 'ably decreasing in the second year after construction. Experience from other countries has shown that without this post-construction sllt)port, locally ed facilities can fail. SC reported that it may suggest that large towns subcontract this phase to contractors. It should be noted that there are several types of contracts ese must be known and debated locally. For example, direct collection from households using public'water points is usually not economically feasibk ntractors. Furthermore, experience has shown that contractors can abuse systems, reduce levels of service to the poor. Perhaps a contract which lillks to volume of water sold/produced could stimulate that contractor to increase the quantity used at the water point. re/erral if /10 ac/iolt Finance: at • caretaker gives funds each day to WUG WSC treasurer compare amount of attendant can be I spot audit truct I water point treasurer (?) money with meter changed Association reading. where no meter, WSC member should field ~orker, collect for a day to get users estimated amount. check weekly meter • WSC treasurer for that standpost deposits funds Association, readings with bank WSC can be association, in bank once a week(?) field worker deposit. amount in changed if cOllsullalll • Spot check of WUG reveals that some account. problems households can tell roughly how much is in bank account. billing vouchers, balance • Water points and household/yard connections association sheets checked against immediate DWDINWSC and institutional will be billed and pay no longer bulk meter reading and action needed I than each 2 (?) months, or risk being district/town number connections, disconnected. Reconnection when arrears are authorities disconnection's paid with small penalty. Efficiency of system to be judged in part by proportion of disconnection's (always less than 10%) and spot checks-- nonfomlai phase is called operation and maintenance in the implementation manual. However post construction is used as it encompasses a broader range of issues such as Ie behaviours and solid waste disposal. 22  - - - - - - - - - - - - - - - -,- ­ - proportion of payment (always more than 75%). I DWDINWSC and audit checks immediate ret~rrill if 110 action needed • UFW (difference between bulk meter reading and quantity judged by payment) to be less than 25% (?). • Private and yard tap charges per cubic meter will not be lower than public water point charges. I as above as above as above as above • During first 2 (7) years of operation, consultant will conduct spot accounting/audit checks at stand posts and association accounts. Quality • No unresolved community complaints'Clbout llser observe action needed heallh staff, . ",strong 't~stei bright colour. ,.",." strong ." smeU of water. " , '; WSC soonest, or Association, explanation of DWD • " Hygiehepr~ih6tiJri':iH~Ii1des'H~gierie ' way not surveillance activity.: DWDINWSC consultant report " "" .' , , describes surveillance, training. visit • Chernic@I':~h~'b~Gt~'ri~r;~u~nt~':otWat~(wilfbe tested~' , ", ,'"-,,' " ' , ",' ;'" " , , " , '" visit with field worker with other ,association, reports of problems DWDINWSC forwarded Functioning • The water point will be working and open at I to be done by project least during 6 to 8 AM and 4 to 6 PM., but longer is preferred. • Association has accurate information about number of functioning water points checked on basis of periodic rapid survey (more than 75%). • To ensure public health, the DWD/NWSC will intervene in water systems where functioning public water points fall below 50% (?) based on annual rapid assessment. Repairs • Small repairs ar~made in le~s than 2 (7) days, Smal! repCiirs' incl4<:lej r~Rair of Clprcm. platform, 23  .." " ..,111 ifllo plas!er!og cracks, chains/washers/nuts, ,s standpipes, fauc~ts, !Jnions, meters '7 bends), , Indudes regular rnalntEmance. Caretaker (9 be changed if sm,aU ~epaif~ >1 eft Hnatt~nded.i . • MajOrrepairs~re~;~Z;~ ~ad~'iP::~s~'~th~~7'(?) days. MaJo(fep,~ir~ln'C;'LJg~:'r~~trq9t.qrh'g wells 0(.sprip9 s, pUrPp,hQH~¢S, st~hQPostsr~purces" repairs; m~jf1s:(bur~rplp~s!'QI9CK~cJ m~lm)i . valves & pip~fit(lngs;. q~I~Hneter13;,,\r~:;' . . ,:., '.~': ,~::.:~:.':~>'~r ,: ',.~ ~:;.,.~;/.~·!t{~:::;~"~.. ;. ~.~~. , ':~<~h~~.:, > ':'. .' . ~:": . '.'.:. ." :.;::: ~'. '<~ ,,,',:~':'ri : r ":":" ·.::i~( :.;: 1·l·:':(.:·~l'"·"r:::~:i;,,,~;.5~; "i'~'-". :.. , • - all caretakers ,r;f1y~.,q~~i(;;~9gl~i,(iq~nHftpasi9· . tools needed) an~, ca~ 'qernon~tr~te how to use them . ;.:~,~:~~'ii;:,:,:,;;:~:~,:;"t'T;>. ., • .- No m()rett)~r{f{?ilr'19~'rr~.t~f{~!I!:~~Pfo~~n at any given time, :;r,i;",;.::;';,.:.,:':.";'· ';.;,':' . " Spares and • Consultant and/or DWD/NWSC will have written procurement plan which is implemented to ensure availability of spares (locally for commonly used spares and centrally for major parts) within 6 (7) months of commissioning. Referral known I. spot visi~sshoYlthatWUGi]ielllb~p3can explain where and hpw.to refer complaints.C\bpyt managerneJlt~fLJn~tioning;'f . . , " 24  - - - - - - - - - - - - ... - -'1 - - _I - nt of monitoring ators which may be useful in tracking the monitoring process are noted below. rejfrrfl/ {I 110 ac/iolt." Key indicators will be adapted locqlly, written DWD/NWSC contract This is central in contracts with consultants, associations and to the their sub-contractors, known to committees. Wll and monitoring UNDPfWll RG system HRD in place Minimum 'leeded staffin plact3;;; . '.' .... - continllity in fielqpr~~~flqe thr91,lgh field staff at tqwl1level for 2 to. 3y~ars ',,' , - core group[)W[)/NW9.<;fp~rpQrmel()f> sufficientnumbers'.(?) to visittq'6'f1~i=ltJegl,Jlar intervals.cap'aple;pf·c9m~iDirlg)Tianag~ment, training and, rnqni~9'riri~,i~RMt,~ ;;:':. "'" ..••... . - training plan tobi:fcompleted by December training Associationsqf largecommullitieswhich hire DWD/NWSC consultant report contractorWill.o'e train,eq,in 'pr~Rc;lration6f contracts and ?up~ryisioit9f'contractor. WBand Provision will be ",ad~:forr~fresher training; . UNDPfWB RG Baseline surveys There willbe an observable difference between baseline DWD/NWSC pre & post survey changes in and final survey judged 'on'the b~si~ of c6verage with project strategy water and sanitation facilities, ~ndhyg!ene behaviours mapping at community to renect indicated in earlier ;nrlit'MM" . level lea 25 '~M""'""~""""  I 5. Management I It is recommended that management of monitoring not be separated from management of the pmjec;t. Experience has been disappointing with separate (l1onitoring units that do not act on the~ data collected, leaaing to un-necessary delays and trouble with ensuring the I quality of the information. This is to say that the groups which receive ot collect information should have a mandate to act on that information--- C!nd not just pass the monitoring d~ta on to managers. Thus, the work of the new regional NWSC staff member in Jinja should I include training, management and monitoring. ­ There are two exceptions where separate monitoring personnel are definitely needed centrally: I a) the collection of carefully selected standard data, of the MIS type which is required for national planning and for donor reporting; b) expertise in monitoring and evaluation at the Headquarters level to manage the 1­ I monitoring system. The latter, expertise in monitoring at the central level requires good staff who have adequate training to enable them to become planners and trainers as well as executors of monitoring I activities. ­ The initial activities which would be undertaken in this monitoring strategy are listed in I section 7 (Action Plan). These initial activities include: • flow-charts, • follow-up visits to the towns to advocate for the new system and learn how I monitoring of selected indicators worked, • refining indicator list and preparation of training plan, • identifying local resource people and groups tl"lrough meetings of field I workers, • training for headquarters' staff, • training consultants and their field staff, re-organization of consultant I contracts, • orientation of town/district administration (CD, CAO, town clerk, engineers, health staff). I When the system is in place, continued input will be required. From the staff of the DWD and NWSC, this continuing work may consist of: • at least one visit each phase to monitor the key indicators for that phase, I • support for district/town administration and trouble-shooting to ensure sustained operation of the systems and monitoring, • possible accountant checks and rapid assessments, I • setting up management and monitoring units at the district level and training their staff. I 6. Capacity building and training I Capacity building refers basically to two things: development of skills usually though training and being in a position to use those skills. Thus capacity building is more than training. One way of making this concept concrete - bringing capacity building to reality in a project - is to I combine training with other activities. For example, on-the-job training ensures that the new skills will be used. Another approach is to combine training with planning. This approach was used at the participatory monitoring workshop held in Jinja. The workshop gradually I developed to the point where participants from each town made group plans for monitoring which many of them stated they would try to implement. I This combination of monitoring training with planning should be continued, where possible. For examnle trainina wnrk!';hnn!'; in the tnwn!'; tn nn:m;:IrE,\ fnr mnnitnrinn O&M_ financial  plans (Including; indicators, how to collect information, referrals, responsibilities for collection and action on the data). In training, monitoring should also be combined with substantive aspects. The challenge is that many people lack basic tools about how to carry out their work -- or they lack basic concepts about water and sanitation. One can not monitor something one does not know. Thus, a training workshop may be needed to prepare sanitation and hygiene activities. This should include basic concepts (why sanitation? what hygiene behaviours and why?). It is very important to include content information and planning activities in the training for monitoring -- because many people in the towns and on committees are in fact unfamiliar with the basic issues of this project. The detailed development of a training programme plan has been prepared by Eng. Patrick Nginya of NETWAS, Nairobi. It could be viewed as part of this report. In terms of immediate training and capacity building needs, the following could be undertaken over the next half year or so: • For technical consultants and field staff, training for monitoring mobilization and construction. This would combine planning and training (TOT) workshops. Collection tools should be developed for field testing. • Consultants are responsible for training and monitoring the mobilization and construction activities for water and sanitation. To do this they will need to train selected community members and mobilizers. This training should begin immediately after their TOT. • Orientation of district and town administration personnel who check the indicators for mobilization and construction. • Town level; workshop to advocate for the system, resulting in 'ownership' of the monitoring activities and development of locally-appropriate indicators. Other training into which monitoring should be incorporated is; financial management and pricing, training for hygiene and sanitation, training for post-constriction (O&M, hygiene

promotion) and monitoring, some orientation of users.  I 7. Action Plan with dates A suggested workplan has been prepared on the basis of the plan prepared by 'Group 0', I that is, those attending the workshop from Kampala. I Indicative Workplan short name description dates I advocacy Visits to the towns for advocacy and follow~up to Jinja Nov~Dec 97 workshop: prepare for implementation of the monitoring system, identify possible local indicators, I find out what the participants to the workshop did with their plans upon their return. I flow~charts Flow charts: DWD/ NWSC staff develop a simple pro­ Nov~Dec 97 active 'warning system' through simple visualisedfiow charts. I limit indicators Examine indicators and limit where needed. Compare with MIS. Identify overlap for upward transmission. Nov~Dec 97 I building on local resources Reinstate meetings among field staff: Identify skilled people or groups who can serve as key resources in Nov-Dec 97 I developing monitoring capacity and 'trouble shooting'. capacity building Workshops and training's of central staff: developing Dec 97­ I Headquarters monitoring packages, tools, combining monitoring on­ continuing going activities, TOT I Final linking MIS to community-based monitoring training conSUltants Workshops/training of consultants. focus on Jan-Mar 98 I and their field staff technicians and (software) field staff, TOT planning, mobilization, sanitation and hygiene, construction. I Negotiate contracts with consultants: key indicators Feb-Mar 98 written into consultant contracts and used to monitor each project phase in the town I TOT workshop on post-construction, O&M, financial May-Aug 98 management in towns I baseline and Baseline: Retrieve and organize existing baseline data Nov 97­ mapping including community maps. If baselines do not exist, undertake them focusing on limited data that can be continuing I collected quickly. consultants and district staff training on post- Mar-Dec 98 I construction monitoring, finance, repairs I d istricUtown Town administration and District or SUb-county level: Mar Dec 98 I authorities trainin checkin and referral for these selected indicators.  short name : description L dates Progressively taking over more res:onslbdi:j for monitcnr.g (and management). . community training Committees: finance, pricing, hygiene, sanitation, . Mar 98- construction, post-construction continuing Associations: as above but in greater depth, additional: contracting, UFW, technology of system, pricing and O&M. replacement (with clear policy) activating Follow-up project implementors (OWOI NWSC): They Mar 98- management check on progress toward or compliance with the key continuing through indicators indicators for each phase during site visits and through consultant reports. 8. Links to MIS system The community-based monitoring should feed limited data into the MIS system. Therefore, . to identify data which could be included in the MIS system, three sources have been used: the present report, MIS data sheets already in use in the DWO and the draft report on an

MIS system prepared by S. Stoveland. It is suggested that some data be kept in a running MIS record. This would include

computerised coverage data but also standing files, organized by town and containing documents such as key contracts, maps, land release forms and land sales agreements. There are diverse collection procedures for MIS data which may need to be planned further in the OWO/NWSC. These include: consultant reports and data sheets, sample accounting checks or audits, rapid on-site assessments, baseline surveys, registers of complaints by clients, data sheets completed by town administrators or district staff. It is suggested that the consultant reports contain information on progress in attaining the key indicators. Many projects require quarterly rather than monthly reports- something which could be considered to simplify administration. The consultant reports should not be re-written in the Headquarters. This detracts from valuable time that can be used for other purposes. It can also disguise weaknesses in the reporting. District and town staff do not usually have a great interest in completing complicated data sheets accurately, as they also reported during the Jinja workshop. Such data sheets should be kept as simple and short as possible. Data sets which may usefully be collected and held in Headc;uar:ers are: . ­ iwater I- willingness to pay study· I • baseline survey • coverage: .proportion of population x distance form water point. # member families in WUG • functionality: water point disconnected, water pOints not functioning for one month or more • • report of spot check of quantity of water drawn per capita at selected houses, to see if quantity used increases (during spot checks bye DWD/NWSC staff) • number of household and yard connections/ number of households in catchment area • number of institutional connections • existence of outlets for spares, available repair people I Sanitation/hygiene • Hygiene and sanitation and solid waste disposal plans made and implemented. I • initial coverage and number of latrines constructed by type. • • outlets for latrine parts dates on which sanitationlhygiene education or campaigns have begun I Administration • names and addresses of committee chairmen and treasurers, of each member of the I Association, of major contractors used for O&M. • area maps and as-laid plans • consultant and construction contracts I • consultant reports • completion/commissioning data, if any • local water regulations I • special environmental concerns • Contracts, consultants, adherence of contractors and consultants to indicators and timelines • Current phase in each town, results of last DWDINWSC visit to approve a phase (phase I completion). Any special problems or challenges. Flow charts showing progress by phase up to handing over I Finance • water charges for institutional connectors, household and yard connections, public water I point (to be updated annually). • total operational costs or O&M costs for one year. • amount held in all bank accounts at time of visit of accountant dOing a spot check I • Cost of water schemes (construction) I number of users • Cost of consultant contracts/.number of prospective users • results of annual or bi-annual accounting/audit report of association and selected I committees Evaluation . I Evaluation and assessment exercises should use the key indicators which prevail in the project. rather than developing totally new sets of indicators. In addition, evaluation should attend to issues such as: I • utilisation increased • change in economic activities related to WES provision • reported water-related diseases I • per capita, per scheme costs  · real coverage, as GPposea to desigr. coverage for water and sanitation • - reported reduction in water-relatec ciseases

References 1. Almedom A. and Chatterjee, A. "Inc!icators for sanitation: Yardsticks for cleanliness?" Waterlines, 133,3, pp 6-9. 2.- Alrr:edom, A.M. and Odhiambo,' C. "The rationality factor: Choosing water sources according to water uses. Watenines,vQI. 13,2, pp 28-29. I 3. Alrr:eldon, A.M. Blumenthal, U. and Manderson l. "Hygiene Evaluation Procedures" Approaches for assessing water- and sanitation- related Hygiene practices. 4. Bateman, O.M. et al.(1993) A comparison of the health effects of water supply and I sanitation in urban & rural areas of five African countries. EHP, Washington, DC. 5. Casley, Dennis et al.(1988) The collection, analysis and use of monitoring and evaluation data. world BankJIFAD/FAO. 174 pp. I 6. Chambers, R. "Actual or potential uses of RRAIPRA methods in health and nutrition. In: "special issue on application for health" (1002) RRA NOTES. Intemationallnstitute for Environment and Development. I 7. Cotton, A. et al. (1993) Development of tools for the assessment of operation and maintenance status of water supplies i lesser and least developed countries. (draft) WHO, Geneva, .60 pp. I 8. Dawson, Set al. The focus group manual. UNDP/WorldBanklWHO Special programme for research and training in tropical diseases. 9. Edwards, Daniel et al.(1993) Designing and implementing decentralization programs I in the water and sanitation sector. WASH Technical Report no. 89. Washington DC. 46 pp. 10. Gohl, Eberhard and Dorsi Germann.(1993) Participatory impact monitoring: a short I guide to participative impact monitoring. FAKT/GTZ. 72 pp. 11. Hammeijer. Joanne. (1993) "Selecting villages for impact in water supplies: an expanded role for the baseline study. Health policy and planning 8(3):224-231. I 12. Hodgkin, Jonathan et al.(1994) The sustainability of donor-assisted rural water supply projects. WASH Technical Report no. 94. Washington, DC. 13. Indicators for success. Community Participation Hygiene Education Series No.4. I E\Eshbom, Germany, GTZ. 14. Lang, Harald et al. (1989) Managing on-site project implementation: a guideline. I GTZ, Eschbom. 15. Monitoring & Evaluation (M&E) in trinkwasser- und sanitationsprojekten: Bericht uber den 5. Gersau-Workshop de Agusan (1989). SKAT, Switzerland. I 16. Narayan, Deepa. (1993) Participatory evaluation: tools for managing change in water and sanitation. Technical paper 207. World Bank. 122 p. 17. PROWESSIUNDP. (1990?). Goals and indicators. from series: Involving Women n I water and sanitation: lessons, strategies and tools. 18. Rice, T.(1994) An overview of monitoring and evaluation in the World Bank. Operations Evaluation Department, world Bank. Washington, DC. 99 pp. I 19. Roark, Philip.(1990) Evaluation guidelines for community-based water and sanitation projects. Technical Report No. 64. WASH. Washington, DC 20. Shordt. K & B.K. Kurup. "Monitoring water services with the community." Natural I resources forum (forthcoming). 16 pp. 21. Smet, Jo et al. (1993) Health through sanitation and water: a study from a village perspective. SIDA, Stockholm. 159 pp. I 22. Srinivasan, Lyra.(1990) Tools for community participation. 23. Valadez, Joseph and Michael Bamberger.(1994) Monitoring and evaluating social programs in developing countries. Economic Development Institute, World Bank, I Washington, D.C. 529 pp. 24. van Wijk, Christine et al. Criteria for successful sanitation programmes. (draft. 1995) 15 pp. I 25. '/'lakeman, Wendy. (1995) Gender issues sourcebook for water and sanitation projects~ UNDP-World Bank Water and Sanitation Program/PROW1NESS, World Bank. Washington. DC. 122p. 26. Warner, Dennis. (1990) "New Roles for Monitoring & Evaluation in WAter and Sanitation." WHO, Geneva, 9 p. 27. WASH. Performance indicators for selected water supply and sanitation utilities in Ecuador. WASH field report No. 376. 28. WHO. Minimum evaluation procedure (MEP) for water and sanitation projects. Feb. 1983, ETS/83.1; Geneva.. 29. World Bank (1994). Staff appraisal report: Ghana. community water and sanitation project. Excerpt showing monitoring plan. FROM DWD, NWSC and UNDPIWB RG 1. The Water Statute 1995, Statutes Supplement No.7. 2. Ministry of Natural Resources, Directorate of Water Development, Implementation Manual: Small Towns Water and Sanitation Project. May 1995. 3. Ministry of Natural Resources, National Water and Sewerage Corporation, Draft Implementation Manual: Small Towns Water and Sanitation Project. 4. World Bank (1994) Staff appraisal report: Republic of Uganda: Small Towns Water and Sanitation Project. Feb. 17 1994. FROM IRC: 1. Cairncross, S et al. (1991) Evaluation for village water supply planning. 2. Boot. M. Action speaks. 3. Davis, J. & F. Brikke.(1995) Making your water supply work. 4. Training Course: evaluating water supply and sanitation projects. Course models and guide for course moderators. (1987) 5. Davis-Case, D'Arcy.(1989) Community forestry: participatory assessment, monitoring and evaluation. FAO, Rome. 150 pp 6. ETC (1992) Learning for people-centred technology development: farmers experimentation. 39 pp. (monitoring section begins on p. 28) I I I I I I I I I I I I I I I I I I  Appendix A Workshop Agenda .'  I Workshop Agenda I DAY 1 I 0900 Welcome from Mr. P. Kagoro, Commissioner ISSD, DWD. Statement by Eng H. Onek Managing Director NWSC Official Opening by Mr. P.O. Kahangire, Director, I Directorate of Water Development Introduction to key note presentations I Key note presentations: Mr. R. Olowo Mr. E. Kisembo I 1100 Coffee break (30 min) Experiences from Uganda Vote of thanks to presenters I Introduction of participants to each other Introduction to meeting rooms & the hotel I Introduction to Workshop outline. 1310 Lunch (60 min) Exercise on information flow I Introduction to Monitoring for Effectiveness. 1545 Monitoring for Objectives & Targets Coffee break (20 min) I 1700 Exercise: Identify CONCERNS .. Coffee break (20 min) I Exercise continued 1800 I DAY 2 I 0830 Feedback from previous days exercise on concerns by participants Feedback from facilitators on the consolidated information from I previous days exercise on concerns. 1030 coffee break (20 min) Introduction to indicators. using examples I Exercise on the formulation of indicators using the work 1230 prepared by participants on previous day. Lunch (60 min) I 1530 Exercise on formulation of indicators continued Coffee break (20 min) I Exercise on formulation of indicators continued 1730 Coffee break (20 min) Exercise on formulation of indicators continued I 1800 I • • report of spot check of quantity of water drawnper capita at selected houses, to see if quantity used increases (during spot checks bye DWD/NWSC staff) • number of household and yard connections/ number of households in catchment area • number of institutional connections • existence of outlets for spares, available repair people Sanitation/hygiene • Hygiene and sanitation and solid waste disposal plans made and implemented. • initial coverage and number of latrines constructed by type. • outlets for latrine parts • dates on which sanitation/hygiene education or campaigns have begun Administration • names and addresses of committee chairmen and treasurers, of each member of the Association, of major contractors used for O&M. • area maps and as-laid plans • consultant ahd construction contracts • consultant reports­ • completion/commissioning data, if any • local water regulations • special environmental concerns • Contracts, consultants, adherence of contractors and consultants to indicators and timelines • Current phase in each town, results of last OWO/NWSC visit to approve a phase (phase completion). Any special problems or challenges. Flow charts showing progress by phase up to handing over Finance • water charges for institutional connectors, household and yard connections, public water point (to be updated annually). • total operational costs or O&M costs for one year. • amount held in all bank accounts at time of visit of accountant doing a spot check • Cost of water schemes (construction) / number of users • Cost of consultant contracts/.number of prospective users • results of annual or bi-annual accounting/audit report of association and selected committees Evaluation Evaluation and assessment exercises should use the key indicators which prevail in the project, rather than developing totally new sets of indicators. In addition, evaluation should attend to issues such as: • utilisation increased • change in economic activities related to WES provision • reported water-related diseases • per capita, per scheme costs • real coverage, as opposed to design coverage for water and sanitation • reported reduction in water-related diseases  I References 1. Almedom A. and Chatterjee, A. "Indicators for sanitation: Yardsticks for cleanliness?" I Waterlines, 133,3, pp 6-9. 2. Almedom, A.M. and Odhiambo, C. "The -rationality factor: Choosing watersources according to water uses. Waterlines, vol 13, 2, pp 28-29. I 3. Almeldon, A.M. Blumenthal, U. and Manderson l. "Hygiene Evaluation Procedures· Approaches for assessing water- and sanitation- related Hygiene practices. I 4. Bateman, O.M. et al.(1993) A comparison ofthe health effects of water supply and sanitation In urban & rural areas of five African countries. EHP, Washington, DC. 5. Cas ley, Dennis et a\'(1 988) The collection, analysis and use of monitoring and evaluation I data. world BanklIFAD/FAO. 174 pp. 6. Chambers, R. "Actual or potential uses of RRAIPRA methods in health and nutrition. In: "special issue on application for health" (1002) RRA NOTES. International Institute for Environment and I Development. 7. Cotton, A. et al. (1993) Development of tools for the assessment of operation and maintenance stat~s of water supplies i lesser and least developed countries. (draft) WHO, I Geneva. 60 pp. 8. Dawson, S et a!. The focus group manual. UNDPlWoridBanklWHO Special programme for research and training in tropical diseases. I 9. Edwards, Daniel et al.(1 993) Designing and implementing decentralization programs in the water and sanitation sector. WASH Technical Report no. 89. Washington DC. 46 pp. I 10. Gohl, Eberhard and Dorsi Germann.(1 993) Participatory impact monitoring: a short guide to participative impact monitoring. FAKT/GTZ. 72 pp. 11. Harnmeijer. Joanne. (1993) "Selecting villages for impact in water supplies: an expanded role for I the baseline study. Health policy and planning 8(3):224-231. "., 12. Hodgkin, Jonathan et al.(1 994) The sustainability of donor-assisted rural water supply projects:WASH Technical Report no. 94. Washington, DC. I 13. Indicators for success. Community Participation Hygiene Education Series NO.4. E\Eshborn, Germany, GTZ. I 14. Lang, Harald et al. (1989) Managing on-site project implementation: a guideline. GTZ, Eschborn. 15. Monitoring & Evaluation (M&E) in trinkwasser- und sanitatlonsprojekten: Bericht uber den 5. I Gersau-Workshop de Agusan (1 989). SKAT, Switzerland. 16. Narayan, Oeepa. (1993) Participatory evaluation: tools for managing change in water and sanitation. Technical paper 207. World Bank. 122 p. I 17. PROWESS/UNDP. (1990?). Goals and indicators. from series: Involving Women n water and sanitation: lessons, strategies and tools. 18. Rice, T.(1994) An overview of monitoring and evaluation in the World Bank. Operations I Evaluation Department, world Bank, Washington, DC. 99 pp. 19. Roark. Philip.(1990) Evaluation guidelines ·for community-based water and sanitation I projects. Technical Report No. 64. WASH, Washington, DC 20. Shordt, K & B.K. Kurup. "Monitoring water services with the community." Natural resources forum (forthcoming). 16 pp. I 21. Smet, Jo et al. (1993) Health through sanitation and water: a study from a village perspective. SIDA, Stockholm. 159 pp. 22. Srinivasan, Lyra.(1990) Tools for community participation. I 23. Valadez, Joseph and Michael Bamberger.(1994} Monitoring and evaluating social programs in developing countries. pp. . Washington, D.C. 529 Economic Development Institute, World -Bank, ,­ I 24. van Wiik. Christine et al. Criteria for successful sanitation Droarammes. (draft. 1995) 15 DO.  25. Wakeman, Wendy. (1995) Gender issues sourcebook for water and sanitation projects. UNDP-World Bank Water and Sanitation Program/PROWWESS, World Bank, Washington, DC. 122p. 26. Warner, Dennis. (1990) "New Roles for Monitoring & Evaluation in WAter and Sanitation." WHO, Geneva, 9 p. . 27. WASH. Performance indicators Jor selected water supply and sanitation utilities in Ecuador. WASH field report No. 376. 28. WHO. Minimum evaluation procedure (MEP) for water and sanitation projects. Feb. 1983, ETS/83.1; Geneva. 29. World Bank (1994). Staff appraisal report: Ghana. community water and sanitation project. Excerpt showing monitoring plan. FROM DWD, NWSC and UNDPIWB RG 1. The Water Statute 1995, Statutes Supplement NO.7. 2. Ministry of Natural Resources, Directorate of Water Development, Implementation Manual: Small Towns Water and Sanitation Project, May 1995. 3. Ministry of Natural Resources. National Water and Sewerage Corporation, Draft Implementation Manual: Small Towns Water and Sanitation Project. 4. World Bank (1994) Staff appraisal report: Republic of Uganda: Small Towns Water and Sanitation Project, Feb. 17 1994. FROM IRC: 1. Cairncross, Set al. (1991) Evaluation for village water supply planning. 2. Boot. M. Action speaks. 3. Davis, J. & F. Brikke.(1995) Making your water supply work. 4. Training Course: evaluating water supply and sanitation projects. Course models and guide for course moderators. (1987) 5. Davis-Case, D'Arcy.(1989) Community forestry: participatory assessment, monitoring and evaluation. FAO, Rome. 150 pp 6. ETC (1992) Learning for people-centred technology development: farmers experimentation. 39 pp. (monitoring section begins on p. 28) I I I I I I I I I I I I I I I I I I I  DAY 3 0830 Feedback on the Indicator formulation exercise Plenary discussion on important points or lessons Identification of important actors in the projects 1100 Coffee break (20 min) Short exercise on collecting information Quick feedback on the exercise 1240 Lunch (60 min) Exercise on information flow· to identify who should collect, act on information and who else needs the information to check up. 1530 coffee (20 min) , Groups prepare feedback Detailed debriefing I feedback from groups 1730 coffee break (20 min) Consolidation of information to-date 1800 DAY4 0830 Consolidation feedback by facilitator on previous days exercise on information flow. and who should do what. Introduction to different tools for collecting information, how and "when to use them. Short exercise to identify the suitability of different collection tools. 1030 coffee break (20 min) Exercise to identify suitable collection tools for already identified indicators and actors. Consolidated feedback from exercise 1330 Lunch (60 min) Reflection on action that can be taken on monitoring by participants on return to their projects. 1530 coffee break (20 min) Reflection continued Evaluation of workshop 1735 coffee (20 min) Thanks by Mr. P.Kagoro. Commissioner ISSD DWD Official closure by Mr. M. Simon Resident Cdistrict Commissioner, Jinja District. 1800  I -- I I I I I I I I I I I I I I I I I I 

Appendix B Indicators Developed During The Workshop

T OF INDICATORS DEVELOPED DURING THE WORKSHOP :>f indicators as developed over the four day workshop by participants. Different illdicators were developed for the different phases of tl!leproject cycle. e same way that they will need to be planned and developed by all actors during the onset of new phases in the project. 31 LlSATION & SITE SELECTION cern Indicator who checks tool to check referral if no action tlo election Good site selection, meaning: women users, ask at water point local government, yes _stand posts are located within 200 (7) 500 meters from users, each standpost DWDNWSC make or'in meeting DWD/NWSC serving a maximum of 200 (?) population and minimum of 100 (7) people. spolchecks or visit a few houses. _ communities should have (or make) their own maps which are used for site Mark houses and selection, identifying uncovered areas and planning for sanitation and other water points on activities. map and check map. - Committees liaise with urban authorities on site selection before construction I land -land agreements or purchase are made legaUy and binding, signed and witnessed consultant, landlord agreement held WUG. WSC, town clerk, dwd 3ment by town clerk before construction can take place association by town clerk and land owner n )rity ---- ,en - women users involved in site selection by mobilising them to attend meetings (7) Mob, WSC/wSC count :ipatioh - At least 20 women users from different households were asked about site and indicated with signature Of print) their agreement to position of standpost consultant, mob, spot checks of standpost can only be DWD/NWSC site selection constructed if paper is document held by completed. consultant.must town clerk. initial - All (or 90% 7) of households are members of a WUG, meaning that they are within 500 or 200 (7) meters of a water point. consultant, mob, map showing DWD/NWSC houses and water points. OR Ask some users , lization - At least 1 man and 1 w~man in each household will know 3 rules of participation consultant, spot visits, consultant (and be able to explain reasons for these rules?). later stage: and know guidelines spot checks transept walk of water use. DWD/NWSC - At least one person from each household has attended at least one meeling, or been contacted through a home visit. - - - - - - - - - - - - - - - - -. - ­ 1- To monitor for a functioning water and sanitation committee: • meets monthly or quarterly with quorum: public is not (??) allowed to attend • members are elected and have clear roles • public meeting once in 3 months • all decisions made in meetings are recorded and more than half are carried out • complaints from community are acted on within 1 (?) week • committee members can demonstrate how to do calculations to determine water chargers • applications for water connections well filed • has an active work plan (for sanitation, refuse disposal, drainage, etc.) • carries out health education among users including drinking water from safe sources and using at least 20 litres of water for each person each day • reports to Town Administration and has working referral to other authorities for issues the committee can not solve • responsible for cleanliness at water points • makes all major repairs within 2 weeks (?) Committees are formed by election after voters are given clear guidelines such as (?) : number of women, skills needed, someone respected for having clean (not necessarily rich house), politicians are not on committee or are ex-officio members. - sustainable committee: group carries out own deciSions, has undertaken activities in addition to one planned (improvl~ existing practice, starting new initiatives) ~TER COMMITTEE FINANCE ,ncern Indicator who ch~cks tool to check referral if no action tlo It of water Association stering committee and water point WSC committees can calculate tariff DWD/NWSC ask discuss with consultants, town yes for 1 jerrican so that costs of system are covered but poor people could still afford 1 clerk, DWD/NSWC , jerrican per person for each day. user caretaker gives funds each day to WUG treasurer (?) ~ water point c collects spot checks of to other Association members, yes cis committee meter reading to council member/treasurer against money,. one day I committee member sells water. IG pays on WSC treasurer for that standpost deposits funds in bank once a week(?) chairperson and check cash book Association members, then yes ~ I Association which has meter local council • member. spot readings for one accountant checks. week, check meter on day of visit ment simple but honest payment procedures chairperson, spot cross check association no , :edures checks by caretaker/ bank association account member, spot check by DWD/NWSC !ipts double receipts, signed and dated used for collection, except for jerricans. chairperson, spot review receipt association, consultant, no check association book k alcc separate bank account with agreed signatories WSC spot check town clerk, consultant, DWD no latories account book sters . register of users (?) WSC member town clerk no h bk acc accounts and use of cash book follow agreed rules accountant, spot check with bank association yes check book, receipts ler competitive tenders only, unless there is not alternative. No kickback. treasurer spot check with treasurer, steering committee actual cash association, town cou('lcil, remitted in bank DWD sparency n 2 (7) households can say about how much Is In bank account consultant, spot check to ask no DWD/NWSC a few households .- - -- - - ------ - - - - -- -.­ NSTRUCTION STAGE Indicator who checks tool to check I referral if no action tlo - quality of construction follows checklist used by contractor, NWSC/DWD and Users AND/OR checklist, report to association, town yes committee members. and users around a water point. craftsman on behalf observation DWD/NWSC. consultant • water point will be located in agreed site. of committee _construction will take place not longer than 6 months after site selection and Council, WUGs see agreement DWD/NWSC no consumer payment is completed .• if there are no technical problems TER CONSTRUCTION Indicator who checks tool to check referral if no action tlo Small repairs are made in less than 2 (?) days. Small repairs include: repair of caretaker checklist committee apron. platform, plastering cracks, chains/washers/nuts, shaky standpipes. faucets. tool kit unions, meters 7 bends). Includes regular maintenance. Major repairs are always made in less than 7 (?) days. Major repairs inClude: caretaker :::) tells committee, association, restructuring wells or springs. pump houses. standposts, sources repairs, mains mechanic local government (burst pipes, blocked mains, valves & pipe fittings, bulk meters. - all caretakers have basic tools (identify basic tools needed) and can demonstrate how to use them - No more than 1 (?) in 10 meters will be broken at any given time. - The water point will be working and open at least during 6 to 8 AM and 4 to 6 association member spot check aSSociation informs or gets PM., but longer Is preferred. or volunteer new attendant - no bright colour, strong taste, strong smell user:::) committee observation health staff, association. OWO - chemical and bacterial Quality of water will be tested. - Cleanliness around standpost according to an agreed checklist. user observation call meeting users, also checklist WSC gets new attendant used by attendant - All family members will drink water from a safe source. - Water used for each pe~son for each day will increase to 20 or 40 (?) litres. I • time to fill one jerrlcan not more than 2 (?) minutes user, caretaker report to WUG Association, local government - quantity of water used increases to 1 jerrican per person per day within 2 years mobilizer, health Ask a few poorer staff. WSC users how many " ., I jerricans used the day before check to see if amount of water being used (meter) increases [TATION :ern Indicator who checks tool to check referral if no action tlo jlaction • latrines are located at least 30 steps from a shallow well, river or spring used for users map, guidelines consultant, DWD/NWSC yes bathing or drinking for site selection personnel doing site selection - Cleanly use and maintenance as defined by a checklist. women, health see inside latrine, -- yes • checklist includes, for example: no excreta or garbage on floors. mob/NGO path used, ask child to show how • All excreta to go in the hole (all children and adults use latrine consistently). to use it I ~ - No un-burned garbage dumps will be located within X meters of a house. health mob. observe, show on health inspector observ sal town'dwellers map if needed make plan with council if e • in urban areas, all solid waste removed from area every 2 (1) days. needed other - comm I unities  , \

Appendix C

List Of \Vorkshop Participants

N;'..:<1E ORGANIZTION DISTRICT/TOWN Nankya Margaret· WUG Jinja Omondi Henry LyantondeT.Council Rakai Balubuliza David D. Administration Rakai Ssenyonga Stephen Urban Authority Rakai Bukenya Dauda LC 3 Vice Chairman Rakai WatengaStanely Water, Development Tororo Mpiima Godfrey LC 3 Wobulenzi Luwero Mubiri Fenekansi LC 2 Secrtary Njeru Town Council Sebulime James Chairman WUG Njeru Kadedesia David Jinja Municipal Jinja Mubangizi Bruno WSC Ntungamo Mugaya Daniel Kyaligonza Pete]'; Sec. WUG Busia Bugembe Busia I Okwerede Patrick Ofumbi Mathias Tororo Ruwasa Tororo . Mbale :." I Cong Richard DWD Kampala I Kiwanuka Gerald Chairman WSC Rakai Bugembe Joseph STWSP Rakai I Kigoye John STWAP Rakai Sarah Matovu WSC, STWSP Rakai I Ekaaset Emmanuel WUG Chairman Tororo/Malaba Ochoge George. WSC Ext Worker Tororo I Tumuhimbise Edson WSC Member Ntungamo Ndeka Davis Town Cler-k Rakai I Francis Barabonawe Town Clerk Ntungamo Kafureeka Jacob Chairman Ntunagmo I Kato Paul DWD-Drilling Kampala Daphine B. Hunter DWD-WES Kampala I Mbabazi Beatrice STWSP Kampala I I  Ato Brown Kyomugisha Jennifer RWSG-ESA-World Bank DWD' Eastern Centres NAIROBI Kampala Gabula Joseph Arago Teddy Jinja DWD-WES Jinja Kampala Eng.Shillingi Kamya Daniel DWD Town Eng Kampala Jinja

Hajji Kintu Ssebidde Vicent Chairman Town Eng. Wobulenzi Luwero

Nnanyonga Alex Kawagga Juma Town Clerk Mayor Luwero Luwero

." Mukwaya Joseph Social Services Njeru t . council Banonya Kigozi Social Service Luwero

Otema Adong NWSC Kampala Azaga David Ag.Town Clerk Wobulenzi

Kasigaire Jolinson M.O.H Luwero Nyabeeya Elly District Water Off. Mukono

Kiiza Samuel Budubuli WUG Jinja - Rubareema Evarist Ag.Town Clerk Rukungiri

Kogamu Lydia WSC Rukungiri Samanya Teopista Mobilizer Busia

Mukiibi Moses Mayor Busia Dombo Collins Town Clerk Busia

 I I I I I I I I I '.' I I I I I I I I I I 

Appendix D

Terms Of Reference

.'

__ r;~'~ .. ' Terms of Reference for the Monitoring and Evaluation Workshop Small Towns Water and Sanitation Project (STWSP) Uganda Consultants Services BACKGROUND The Regional Water and Sanitation Group.Eastern and Southern Africa (RWSG-ESA) is assisting the Small Towns Water and Sanitation Project in Uganda to improve {he qualitati"'e aspecls uf the Projects Monitoring framework through a learning component. The objective to ensure thac the lessons learned from the early phases of project implementation are fed into later phases of implementation. The aim is to try and use experiences gained on (he STWSP, to develop an M&E I system, in the framework of the Rural Towns Water and Sanitation Program (RTW&SP). Both DWD and NWSC in collaboration with RWSG·ESA and IRC are therefore organizing a Monitoring and Evaluation Workshop (M&E), scheduled [0 take place in mid August 1997. The I purpose of this workshop is to involve the sector partners and the community in designing indicators, tools, methods and reporting fonnats for the M&E process of the snvsP. This will also provide for collective definition of indicators, geJred towards measuring the project (s) goals of sustainability, I providing for learning process and making modifications/improvements as is seen appropriate. Further details see attached M&E TOR as arulex 1. As agreed with STWSP, RWSG-ESA will therefore hire [\,iO consultants, one international and I other N ationa! to facilitate the M&E Workshop, for period of 15 days in mid August 1997. The consulrams will assist the workshop to achieve its intended objectives and outputs. The workshop brings together members of partner institutions within broader P rogr::l.m of the rural ToWnS Water and I Sanitation Program (RSnVSP) of which the STWSP is of the projects. The workshop W'ill therefore provide the Program, with Ihe occasion to identify key issues, on the basis of which M&E indicators can be deflIled as well as monitoring strategies, data collection and analysis as needed and used at I different levels of the projects. The thrust of the M&E will therefore be to improve RTV/SP actions in respect to user satisfaction, efficienc)' and support sustainability particularly in the context ofdemand based and I decentralized programming. The themes of [he workshop will focus on, but not necessarily limited to: issues/indicators, man:lgement of the monitoring and evaluation process ::lOd utilization of infomulEion frQm the various levels within the project I ACTIVITIES I • The consultants w111 be responsible for the following activities: Review existing pre~etermined indicators, tools, methodology, processes and reporting formats I • and make recomlllend'HiollS for srrucruring workshop program/agenda Advice on best practices based On experience in similar prog,r::uns, addressing wilta and sanitation needs of rural communities and urban towns (e.g. Ghana), concerning the choice of I indicators as well as the svstem - for collectino ;;. and analyzing infonnation at various levels Facilitate the defming of simple and realistic indicators, their usage and decermine the tools/mechanisms for monitoring and agreed reporting formats; I • Prepare a strategic outline for strengthening monitoring cap:1city and links at community, district, project and program levels including training mat'!nals and activities .,. Ensure the various stakeholders p:lrticipate effectively in detennining issues for mOOlconng 111 I • their respective projects (OWD and NWSC), Assist the particip:lnts develop action plans for operltionalizing the M&E system. I • Propose i\ schcclI:e for monitoring and rebted learning act:vities. including RWSG.E.SA L-L _ . ' t findlO s 

• Prepare workshop report' [0 include recommendations [0 be discussed and endorsed by a task force committee, th:lt will be responsible for providing feedback to the participants and implementing the Action Plan .. WORKSHOP OBJECTIVES The objectives of the workshop will be: a) Assist communities build monitoring structures capable of continuing with the activity even when the projects cnd; . b) To increase capacity and skills of the user community, private sector and lower government to identify strengths, weaknesses, opportunities alld threats in monitoring so as to able to take timely com!ctive action; c) To help community idelltify indicators applicable to stock infonnation for project and lor programme evaluJ.tion . d) To assist the community identify the various methods of data collection and specify roles for various stakeholders. e) Develop a plan of action for community participatory monitoring. The moniroring procedures to be discussed in the workshop will embrace all activities of the project right fro!T~ Promotion, Mobiliution, Pl.lnning and Design, Construction, Operation and Maintenance, uSt: and behaviors. OUTPUT The recommendations from (he workshop, by the tea.m of two consultants, will include a workshop report covering the: • Procedures for opcr:l.tion;llizing the developed M&E system • Issues, indicators, tools and instruments for monitoring, • Management s}'stem necessary to support the M&E process, including reporting modalities • Capacity and training net:ds requirements/activities • . Action Plan for oper:l.tioll:tlizing the M&E at aI/levels and stages of the Project The Action Plan will be presented to a Task Corrunittee (to be appointed) for validation and endorsement and feedback to the participants, prior to implementJ.tion DURATION The workshop \~ill be ctl.rried out in fou: dJ.}'s and will be held in mid August 1997. The proposed venue is iillj;; to"11. The e~pected number of participants will be 50. REPORTS At the end of the assignment the consultant will produce a report covering but not limited to, the listed outputs. The rcport will be produced as a hard copy and on diskette using Microsoft word. TIMING A draft report will be submitted to' both DWD and NWSC ManJ.gemen[ and RWSG·ESA by A ·._ •• ~.'o 1001  --' ... - MINISTRY Of NATURAL RESOURCES SMALL TOWNS WATER AND SMHTATION PROJECT Terms of Refereoce For Monitoring :1nd Evaluation Wo~kshop A BACKGROUND L The Small Towns Water and Sanitation Project (SnVSP) is a commur:ity basc:d man41gement project. STWSP applies a "demand driven approach." The principles and procedures of the project, ent41il planning, implementation, operation, maintenance, use and susten41nce, all which requires commuNlY involvement. STWSP is implemented by the Directorate of Water Development and the National Water and Sewerage Corporation (NWSC) of the Ministry of Natural Resources, and financed through an IDA credit to Government of Uganda (GOU). Both DWD and NWSC are responsible for coordinating and executing the Project in the respective [owns. DWD is providing improved water supply and sanitation services in 11 Urban town~, while the two towns of Jinja and Njeru are implemented by NWSC. Project Mobilization, design and planning activities Imve been undertaken in 11 towns, while NWSC have just completed the mobiliUltion phase in linja and Njeru, with full support and involvement of the communities, urban councils and the district administration. 2. In pursuit of the community management principles for the project, both NWSC and DWD's STWSP.PIU. consider monitoring with UC/nost importance and have designed a Management and Information (MIS). for monitoring project performance and effectiveness. The data. collected is expected to be fed into the MIS system for analysis and resulting modifications/improvements fed into the project. Discussions have been held at town specific levels during mobilization and the result has I been a need for consultation in a broader perspective in order to keep up the encouraging collaboration in implementing the project. '., I J. A consultative workshop on Monitoring and Evaluilcion has therefore b.:en designed to fully 'involve the community and oth.:r stakeholders in freely discussing community based Monitoring and Evaluation procedures to be adopted by the project. This is because in community based projc:c[s, like I the ST\VSP. with various actors, monitoring at all levels of project and Ihrough out the project st."lges, is desired. to accurately measure the ben.:fits not only of the project but also of the implement.:ltion process. The workshop ther.:fore is one in the process of developing this monitoring framework. This I will be a step by step process towards setting the right indicators in measuring the project goals and thereby enhancing the learning process. Many other projects, in the sector, are now implemented following the dem:md based approach. Hence the experiences gained in STWSP in developing Jl1 M&:E system, will serve as a reference point for the overail Rural Towns Water and Sanimtion Program I (RTW&:SP) 4. In respect to (his, NWSC and snvsp, in collaboration with Regional Water and Saniution I Group-Eastern and Southern Africa (RWSG·ESA). have orga.'uzed the Consultative M&:E workshop. to take place in mid August 1997. The workshop is inteneed to achieve the following objectives: I WORKSHOP OBJECTIVES The objectives of (he workshop will be: I To Jssist communities build mcnitoring str...c:l.:res cilp:lole of conlin~ing \~ith the activity even a) b) when the projects end; To increase c:lpacicy and skil!s ofth:: user ccmmu~ity. privo::te sector and lower govemmenl to I identify strengths, wen.knesses. opport.Jnities 4ild tnrelts in monitoring so as to able (0 c::.Ke timely corrective action; I I  c) To help community identify indicators applicable tei stock information for project and lor programme evaluation d) To assist the comnlunity identify the various methods of dlia collection and specify roles for various stakeholders. e) Develop a plan of action for community participatory monitoring. The monitoring procedures to be discussed in the workshop will embrace all activities of the project right from Promotion, Mobilization, Planning and Design, Cons~ruction, Operation and Maintenance. use and behlviors. ACTIVITIES The consullallts will be responsible for the following activities: Review e.'<.isting pre-determined indicators, tools, methodology. processes and reporting formats and make recommendations for structuring workshop program/agenda F~cilitate Ole defining of simple and realistic indicators, their usage and determine the tools/mechanisms for monitoring and agreed reporting formats; Prepare a strategic outline for strengthening monitoring capacity and links at commuruty. district, project and program levels including training materials and activities Ensure the various stakeholders participate effectively in determining issues for monitoring In their respective projects (DWD and NWSC). • Assist the particip;'mfs d~velop action plans for implementing the M&E system. • Propose a schedule for moniroring and related learning activi!ies, including RWSG·ESA assisted inputs, workshops and other meetings to discuss, disseminate and adopt findings Prepare workshop report to include recommendations to be discussed and endorsed by a task force corrunil1ee, Ihat will be responsible for providing feedback to the participants and implementing the Action Plan DURATION The workshop will be carried out in four days and will be hc:ld in mid August 1997. The proposed venue is Jinja Cown. The expected number of participants will be 50. PARTICIPANTS The workshop is expected to draw participants from: Water User Groups {Direct Users} Water and Sanitation Committees • Water User Association Executives • Urban Council representatives

• District Council representltives Director'He of Wafer Development (DWD) • National Water and Sewage Corporation (NWSC) • Ministry of Health • Ministry of ComriltlOity Development RTW&SP • UNICEF • and NOOs active in the sector July:!I. ;9';1 2 E. WORKSHOP APPROACH Four ,Jays residenci:ll workshop (2 d;:.ys for e:lch NWSC and D\.VD) • Incemacional Consuila.llt [0 work together w:rn localln:uional consullant to f.lc'ht.:i:~ the w:)rk;:-'Ci~ • Participatory/Consultative discussions • Secretariat tean\ to document the workshop proceedings and resolt:clon:i Technology options, cost sharing arrangements, inscirutional ar..!flgemencs and O&\,I !I': as scm': of the key issues to be addressed in lhe M&E project process F. FACILITIES • Hotel accommod.Hion alld conference facilities for 100 people • Transportation and support services Documentation lnd follow up by [he secrel.lriJt OUTPUT The recommelldations from the workShop, by the tcam of twc consultJ:.:S, \\111 I!:CIUC<:: J workshop report covering (he~ • Procedures fOr implementing the developed M&E system I Issues, indicators, tools i\nd instruments for monitoring, M:1IIagement system necesslry to support the M&E process, Ulc;uding reporting r..OC:l~;t::!s • Capaciry and training nc::eds requirements/activities I • . Action Plan for implemencing the M&E at all levels and stlges :)f lhe Project The Action Plan will be presented co a Task Commiuce (co be ap;:ol:":t::d) for VJlld'!hJ;ll!~j I endors::ment and feedback to the participants, subsequent to i:nple:;.en'a(,on I REPORTS At !.he end of the :lssignment the consul,ant will produce a rcport co.. enng bu~ nct hmlld l.:i, I the lisl<!d outputs. The report ,..i ll be produced as 3. hard copy and on disker.e uSing ~fl-:r"sott word TI:vlING I A draft report will be submined AuguSt 29, 1997. [0 both OWD and NWSC r.L'.J1;}gemc:nl ilnd R\\'SG·ESA c:. I I I I I 1­ 1 , ~.

I , ~ I

i t I . t

! , ~ i

1 ! I t

I I ff l

[ I t , !

I ; , ~ ~

l

i t, k ~ , I , r I I I I I I I I I I I I I I I I I I