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Rural water supply policies: Evidence through qualitative document analysis
1. RURAL WATER SUPPLY POLICIES:
EVIDENCE THROUGH QUALITATIVE
DOCUMENT ANALYSIS
2. SUSTAINABLE SERVICES AT SCALE
OR ‘TRIPLE-S’
• A six year research project 2009 – 2014, led by IRC and funded by The Bill &
Melinda Gates Foundation
• Seeks to contribute to a shift from an “infrastructure perspective” to a service
delivery approach for the rural water sector through:
− Action research in Ghana, Uganda, Burkina Faso (USAID)
− Working with government and sector stakeholders
− Research, documentation and dissemination
− International partnerships and advocacy
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3. WHAT IS QDA AND WHY ARE TRIPLE-S USING IT?
• Qualitative Document Analysis (QDA) is a method of assessing documents in
a rigorous and reliable manner through identifying the presence or absence
of particular themes or issues.
• The International Workstream of Triple-S is carrying out QDA on a selected
group of development partners’ policy, strategy and guideline documents to:
− establish a baseline of sector policy for comparison with future policy changes;
− analyse the congruence between policy documents and practice-related
documents (e.g. calls for proposals, project reports);
− serve as an engagement tool, alongside interviews with the development partners
concerned.
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5. POLICY-QDA METHODOLOGY
• Obtain Documents – Rural water policy, strategy, guidelines or similar
were found. For the baseline assessment documents were generally used
from before 2009 (aligning with before the start of the Triple-S initiative).
• Identify Themes – 21 themes were identified which relate to service
delivery concepts, as articulated by Triple-S.
• Analysis – Each document was analysed to determine the extent of
alignment with each theme. Summary tables were produced using quotes
where appropriate to support conclusions.
• Validation – A check of the analysis was carried out by the Institute of
Development Studies (IDS) Impact and Learning Team (ILT).
• Finalisation – The analyser and validator agreed on the final results and an
overall summary was produced for sector overview and organisational
comparisons.
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8. ASSESSED THEMES
The 21 themes assessed can be grouped into four main categories as shown.
Full definitions of each theme are included in the appendix
Institutional Management Financial Technical
• Capacity support for local • Post-construction • Financial planning for • Service levels
government support life cycle costs
• Supporting institutions & • Appropriate
policy • Equality and inclusion • Planning for asset technology
• Country-specific approach
management
• Roles and • Multiple Use Systems
• Decentralisation responsibilities (MUS)
• Regulation • Professionalisation of
• Monitoring community
• Coordination & management
collaboration
• Alternative service
• Harmonisation & alignment
provider options
• Increase coverage/
plan for full coverage • Accountability and
• Learning, KM & innovation transparency
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14. DISCUSSION OF FINDINGS
• The most commonly supported issues in the documents were learning,
knowledge management & innovation; coordination and collaboration;
capacity support for local government and equality and inclusion, where all
organisations scored either ‘good’ or ‘okay’, (except for Danida and LWI for
capacity support and LWI for equality and inclusion).
• The least recognised issues were planning for asset management where
only DFID, Water For People and AusAID were ‘good’ or ‘okay’; MUS where
only UNICEF and WaterAid were ‘good’ or ‘okay’; and increased
recognition/promotion of alternative service providers to community
management where only Danida was ‘good’.
• Interestingly, even some organisations which score very well overall in this
assessment are lacking in particular key areas. For example UNICEF had the
second-highest score, but still did not include any financial issues in their
policy document (financial planning for life cycle costs and asset
management) which are recognised as critical to achieving long-term
sustainability (see www.WASHCost.info).
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17. APPENDIX –
DEFINITIONS OF THEMES
Accountability Recognition of the importance of accountability and transparency; support to establishment or
and strengthening of accountability systems (including accountability to whom), and efforts to ensure
transparency transparency in service delivery
Capacity Under decentralisation it is normally local government that is mandated to guarantee basic services
support for local including water and sanitation. Under this arrangement local government is involved in planning,
government coordination, monitoring, and support activities. In many cases some form of capacity support is required
to strengthen and guide local government itself, which can be weak, inexperienced or simply lack certain
specialist capacities. Support can be provided across key functions in the life-cycle of rural water supply
services, including planning, management, procurement, letting of service contracts and monitoring of
local operators (whether community management entities or private sector providers). Such capacity
support is frequently, but not always, provided by deconcentrated offices of central ministries. Lack of
capacity at local level is broader than in only the water or sanitation sector and is linked to mainstream
public administration delivery. Ideally such support should be continuous, well structured and adequately
financed to ensure long-term development of local capacity for WASH oversight.
Coordination & Collaboration and coordination both within and outside the sector can lead to better use of resources and
collaboration more effective service delivery. Sharing information between service providers and service authorities
can help to plan activities for economies of scale. Development partner and in particular NGO
coordination at the local level, both between themselves and with service authorities, can ensure better
overall planning and more effective use of resources. National level government ministries should also
work together well to ensure that resources are available as required. This is particularly important
between the Ministry of Finance and the ministry (or ministries) in charge of water and sanitation, health
and local government.
Country-specific Triple-S is not promoting a ‘silver bullet’ solution to sustainability of rural water supply, but rather context
approach specific approaches. This is supported through a learning sector which may take lessons from other
places, but adapts them to fit local contexts.
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18. Decentralisation Decentralisation of public services, including responsibility for water and sanitation, is being done in
many countries. This requires decentralisation of resources, financial and human, as well as decision
making authority. It has often gone hand in hand with the separation of functions within the water sector
between authority and service provision, with the former responsible for planning, oversight and
coordination. At the local (commonly district or municipality) level, and also national level, institutions
need to be strong and competent and adequately resourced. Good governance practices should be
carried out which are transparent, inclusive, equitable and gender sensitive. Progress should be made
towards meeting national goals in water supply, sanitation and water resources management.
Equality and Involving consumers in the decision making process of water service delivery can help to ensure that the
inclusion needs of all sections of society are addressed. This can help to ensure equity of access. National
planning processes and procedures should ensure participation at all levels and by all groups, regardless
of their vulnerability or access to decision-makers. Consumers should participate in all stages of the life-
cycle of a service, including planning, design, budgeting, implementation, monitoring and long-term
service delivery phases, including technology choice to ensure their needs are taken into account. This
should be an inclusive process, taking account of specific needs of all groups - women, men, children,
elderly, disabled, minority and marginalised groups. Services should be equally distributed,
geographically and by income group and lead to full coverage.
Financial Life-cycle unit costs refer to the costs of ensuring an adequate service level to a specific population in a
planning for life determined geographical area forever. It refers not only to the costs of constructing new systems but
cycle costs also the costs for maintaining them within the short and long-terms, and at higher institutional levels. The
costs both for a district and national level administration and planning are taken into account, as well as
the costs of replacement and the extension of infrastructure. If funding streams are not sustainable, or if
responsibilities for financing are not clearly defined, it is unlikely that all costs will be covered and that
services will be maintained at the design level. Financial planning should include: initial capital
expenditure, which includes one-off software costs of training etc (CapEx); large-scale capital
maintenance and replacement expenditures (CapManEx); expenditure on direct and indirect costs
(ExpDS and ExpIDS), including the vital function of post-construction support and monitoring, operation
and maintenance. These funds may be obtained from a mixture of: tariffs from consumers; taxes or
transfers from government; or transfers from donors and international financing banks, as well as NGOs.
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19. Harmonisation Harmonisation between development partners and alignment of development partner efforts with
and alignment government led strategies have been adopted as core elements, or principles, of improving aid
effectiveness. More harmonised approaches can lead to more efficient and effective use of funds.
Duplication of effort, parallel investments and contradictory policies can all be avoided if development
partners are encouraged to align with national guidelines and ensure that national priorities are
supported. The establishment of a Sector Wide Approach (SWAp) is one important mechanism that can
help to achieve this, but there are other mechanisms apart from SWAps. Investments can then be
designed to fit within and respect common policy frameworks (for example on tariff setting and cost
recovery or technology type) and financing can be channelled through common funding mechanism or
basket funding arrangements.
Increased Although all countries will differ, there are four main categories for service delivery: community-based
recognition and management, direct public sector provision, private operators, and self-supply, plus numerous variants
promotion of within these categories. Different models are likely to be appropriate in different contexts, for example in
alternative highly dispersed rural communities community-based management or self-supply (whereby households
service provider provide their own water supplies with their own resources) may be most suitable whereas in high-density
options (self rural growth centres, more options may be available, such as private sector operators. Different types of
supply and technology may also suit different service delivery models. Therefore alternative management models to
delegated community management, particularly self supply and delegated management to the private sector,
management) should be supported when appropriate, in line with government policy.
Increasing There are numerous examples of small-scale, successful rural water supply, but most remain models
coverage or that are not scaled up. Service authorities (generally local government) should plan for full coverage in
planning for full their jurisdiction, with equitable access and monitoring data used to support sector planning, rather than
coverage rely on a demand-responsive-approach which can lead to unequal service coverage. This should lead to
progress towards meeting national goals in water supply, sanitation and water resources management.
Learning, Building a learning sector is a must for delivering sustainable services and requires the capacity and
knowledge willingness to do things together, better and differently. It should not rely on ad-hoc support, but become
management & an integral part of sector capacity and be properly funded both at national and decentralised levels. To
innovation create a learning sector able to adapt to changing circumstances and demands, mechanisms are
needed to: encourage information sharing; facilitate continuous reflection and analysis; support
stakeholder consultation; manage information and research-based knowledge. Resource centres and
learning alliances are two ways to support learning by individuals and organisations.
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20. Monitoring A crucial building block in delivering sustainable services is a monitoring system able to track the level of
service provided over time, especially the performance of key technical, financial, and management
functions so that problems can be anticipated and addressed. Whilst functionality is commonly
measured, it is limited as its only focus is on output (i.e., asking whether water flows from the tap or hand
pump), and not on the underlying factors that make a service sustainable, such as adequate
management capacity, tariff recovery, and technical backstopping etc. Adapting indicators to focus on
the service provided and defining sector targets is an important step in creating more sustainable rural
water services at scale. At sector level, the aim is to create a single, comprehensive system that
provides government, service providers and users with the information necessary to set targets, monitor
progress, take corrective action and ensure accountability. Donor-funded projects and NGOs should be
encouraged to support a government-led system, rather than create parallel systems that are
incompatible with the available resources to manage and maintain such systems.
Multiple Use Single-use approaches to water development and management do not reflect the realities of how poor
Systems (MUS) people use water. People use domestic water supplies for a range of activities such as irrigating
backyard gardens, keeping livestock, fishing, processing crops and running small-scale enterprises. In
areas without adequate domestic water supply, they use irrigation water to meet household needs, such
as drinking and bathing, as well as to support a range of income generating activities in addition to crop
production. A more integrated, multiple-use approach can maximize the health benefits and productive
potential of available water supplies–leading to increased incomes, improved health and reduced
workloads for women and children. Systems that cater to multiple uses are also more likely to be
sustainable, because users benefit more from them, have a greater stake in them, and are more willing
and better able to pay for them as the result of alternative income sources.
Planning for This is less about ensuring there is support, and more about ensuring that major replacement is planned
asset and financed, usually by the service authority such as local government, or another external body,
management therefore the service provider may be taken out of the picture somewhat (they may only be responsible
for everyday O&M and minor repairs). Service providers should plan and implement operation and
maintenance activities based on life-cycle planning and consumer feedback. Facilities should be
monitored and maintained to provide the agreed service levels to consumers and funds should be
available for replacement of equipment at the end of their expected lives. As well as eventual
replacement, capital maintenance is required at periodic intervals to repair or replace specific
components, such as handpumps, storage tanks etc. Without such planning services will deteriorate and
eventually fail.
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21. Post- Support (day-to-day) is to whoever is managing the water service (financial, technical, managerial
construction support such as from local government to the service provider e.g. community water associations or
support private operators) Post-construction or recurrent support is often required to ensure that water services
continue to operate in the long-term. Evidence has shown that this is particularly important for
community-based management where often voluntary committees cannot manage all aspects of the
operation, maintenance and administration of their water facilities on their own. However, other types of
service providers, such as private sector operators, will also require support. Post-construction support
may be provided by local government, associations of local government (to achieve economies of scale),
NGOs, associations of water committees or water user associations, or central government agencies. It
should include: technical backstopping and advice; administrative and financial support; auditing of
accounts; organisational and conflict resolution; creating linkages with other state and private sector
suppliers; water quality monitoring; hygiene promotion; training and refresher courses; information
collection and collation. Support may be provided on a supply basis by the external agency or it may be
sought out by communities on a demand-basis.
Professionalisation Community management is the most common service delivery model for rural water supply and it has
of community been established as formal policy in many countries. But for communities to be able to manage their
management water supplies effectively and over many years a number of elements need to be in place for community-
based service providers to function more professionally, thereby raising the quality of service
experienced by users. Some of the more important elements include: legal status of committees
established to enable them to obtain financing and for representation; options for delegated management
to private sector suppliers and operators (i.e. paying plumbers or bill collectors and sometimes
contracting a private company to carry out financial audits etc.); strengthened management capacity and
a shift in philosophy from volunteerism to running a water service professionally, remunerating staff and
viewing community members as clients of a service.
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22. Roles and Stakeholders need to be clear on their roles and responsibilities, as well as those of other stakeholders
responsibilities to ensure that defined service levels are achieved. For consumers this requires them to understand their
rights regarding the level of service they should receive and their responsibilities to support the water
service, such as paying tariffs. Sector policies should account for the needs and rights of the poor and
marginalised, whilst gender issues and equal opportunity policies and practices should also be
mainstreamed. At sector level institutional roles also need to be clear, including responsibilities for
constructing new or rehabilitating infrastructure and for long-term management of systems. The
distinction between different levels of government should also be clear with mandates for monitoring,
oversight and planning, which are ideally separated from those institutions with responsibility for direct
operational activities.
Service levels Service criteria should be defined for water quality, quantity, accessibility and reliability. Service levels
may vary depending on the context, such as the technology used or the density of the population,
however, minimum levels of service provided should always agree with national standards. Service
levels enable a comparison to be made as users climb up the ‘service ladder’ from sub-standard or basic
levels to improved services. The use of service level concept moves us from the basic binary assumption
of unimproved/improved.
Supporting At the local (commonly district or municipality) level, and also national level, institutions need to be strong
institutions and and competent and adequately resourced. Good governance practices should be carried out which are
policy transparent, inclusive, equitable and gender sensitive. Progress should be made towards meeting
national goals in water supply, sanitation and water resources management.
Technology Different types of technology will be suitable for different levels of service and different management
models. The choice of technology type will affect the price of water, the extent of operation and
maintenance requirements and whether a system can be for multiple uses. Consumers should be
involved in planning the type of technology to be adopted to ensure that it is acceptable and affordable
and that gender issues are considered. Technology selection may also be determined by the nature of
available water sources, soil types and other factors. It is generally recognised that a degree of
standardisation in technology (specifically in handpumps) is a positive approach. However, space for
trialling of new technology and improving existing equipment and design should be encouraged.
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23. APPENDIX –
SUMMARY OF RESULTS
Theme AfDB AusAID Danida DFID EU EWB Canada IADB LWI UNICEF Water for WaterAid
People
Accountability None None Good Good - OK – focussed Unclear Good None None Okay – about Good
and accountability at national NGO and
transparency through level and donor
community EUWI itself accountability
complaint not service
mechanisms. providers
Capacity support Good - Good - None - need Good - Good – Good- Good None Good - Good Good –
for local Capacity Governance for this is capacity capacity supporting Supporting supporting
government building for and policy mentioned, but support at all building at all district local local
local support strong no detail of levels levels governments government government
government with support at doing it.
all levels
Coordination & Good. Good - Okay Good - seeks Good Good – with Good – Okay - Good – Okay Good –
collaboration Encouraged collaboration to play an NGOS and engaging with Collaboration supporting working with
and supported supported and active role in government stakeholders with other coordination local partners
encouraged at increasing NGOs and and
different levels. coordination government internationally
Country-specific Good – Good - tailor to Good Good Okay N/A - one Good Good Good Unclear None
approach supports local country focus
country’s own circumstances
approach
Decentralisation Good Unclear OK, but focus Good Good None Good None Good. Unclear Okay
on finance only Decentralisatio
n and multiple
levels
mentioned
throughout
Equality and Good - Good – Good – Good Good OK – equitable Okay – None Good – gender Okay Good –
inclusion Participation equitable including coverage ‘universal’ can and reaching meeting needs
by all in access for poor vulnerable be taken to the poor of poorest and
community groups mean ‘equality most
encouraged and inclusion’; vulnerable
targeting
underserved
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24. Theme AfDB AusAID Danida DFID EU EWB Canada IADB LWI UNICEF Water for WaterAid
People
Financial planning Okay - Focus Limited and no Good – Good - Limited None Okay Okay - None Good Limited – only
for life cycle costs on cost mention of full covering O&M Includes need Encouraging operation
recovery for life cycle costs and for financing finance from
O&M. replacement replacements, community to
Government to costs, plus on-going eventually
cover capital contribution support and replace
replacements from national different systems
budget could funding
involve mechanisms
covering
support costs
Harmonisation Good. Support Unclear Good Good, at all Good Good – consult Good – Limited - Some Good – Unclear Unclear –
and alignment for levels with national support alignment with supportive of aiming to
government- government consistent with government PRSPs and influence
led strategies and supporting countries’ strategy. SWAps and all others, but not
and SWAp, but SWAp wishes stakeholders clear the effect
not clear if of this or the
contradictions relation to
occur between government
Bank and policy
country
policies
Increased None None Good – self Limited. Unclear None None None None None None
recognition and supply and Emphasis on
promotion of lease contracts community
alternative service management.
provider options Not clear if
(self supply and private sector
delegated is also relevant
management) for rural
Increasing Good - looking Limited. No Good Good. Unclear OK – focus on Good Okay Good - Rights- Good Good –
coverage or to increase mention of Encourages equitable based implies developing
planning for full coverage, but aiming for full fair coverage coverage full coverage; government to
coverage target is 80%, coverage Scaling up is reach more.
not full main focus
coverage
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25. Theme AfDB AusAID Danida DFID EU EWB Canada IADB LWI UNICEF Water for WaterAid
People
Learning, Limited - Some Good - Good – sharing Good Good Good – Good Okay - external Good - Strong Good Good – efforts
knowledge learning Resources knowledge and supporting learning is learning for learning
management & carried out, but available for learning from district level limited – organisation and sharing
innovation limited and learning others learning and seems to focus
lacks detail testing & on internal
developing learning
own
approaches
Monitoring Limited - Lacks Limited None. Only Limited – Limited – OK – Unclear how Limited Limited - Okay – focus Limited – lacks
detail of local monitoring included in monitoring access and strengthening monitoring is (Not clear that Monitoring on long-term detail of how
government criteria – water annex about mentioned but quality national done this is focuses on functionality, monitoring will
monitoring quality and OBA unclear if just mentioned, but monitoring. something that access, plus but not on be done, by
requirements hydro- related to detail lacking Focus on is always water quality. linking to whom, and
meteorological access or functionality undertaken, national what would be
service but unclear if limited to short- monitoring monitored
delivery other aspects term, and done systems
of service are by LWI, not by
monitored others)
Multiple Use Unclear. Multi- Unclear None None – IWRM Unclear None None None Okay – support None Good –
Systems (MUS) sector projects related, not for productive providing water
mentioned MUS water use for multiple
uses
Planning for asset None Okay – asset Unclear Ok – None None None Limited Unclear Good None
management maintenance appreciate
and need to plan
management for
plans replacements
but lacks detail
Post-construction Okay - Focus Okay - details Limited – only Good - None None OK – investing Limited - Good - Good Good – there is
support on capacity lacking, but about finance, Supporting in service Maintenance Supporting understanding
building for support for not providing government to providers but focusing on communities to of the need for
communities, local management, provide unclear on repairs manage post-
supply chains management, technical and support details (infrastructure systems construction
and inc. financial financial to focus) support and
maintenance service that is built into
providers the approach
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26. Theme AfDB AusAID Danida DFID EU EWB Canada IADB LWI UNICEF Water for WaterAid
People
Professionalisation OK. Limited - Good – Okay - Limited None Limited – some Limited – focus Good - Okay – Unclear– focus
of community Community Support responsibilities Understanding technical on community Supporting community on ‘basic’
management management provided to clear for of need to assistance, but management communities. support by community
approach, but communities, maintenance support reliant on Community- private sector management
support for but no details. communities, communities management
private sector but lacks own abilities the default
and local details on how option
government to to do this
support
communities.
Regulation OK. Plans for Unclear if Okay – but Good Okay – None Good None None None None
legislation & urban only unclear if it (assuming it is promoting all (assuming it
regulation includes rural for rural) actors involved includes for the
service in regulation rural sector)
providers although lacks
(relating to detail.
private sector)
Roles and Good – roles & None Good Good – Good None limited – for None Good Limited None
responsibilities responsibilities especially institutional
of stakeholders regarding levels, but no
need legal communities information on
backing household,
community or
local levels
Service levels OK, somewhat OK – setting OK – lacks OK - although Limited – only Limited - focus Good Okay - Setting Okay - Quality, None Good
bit mixed / appropriate detail about the not quantity on functionality their own access, and
conflicted tariffs and minimum significantly mentioned but not other service levels reliability
service detailed, service levels. not following mentioned, but
standards appropriate national not ‘quantity’
service levels standards
planned for
Supporting Good – policy Good Limited- Good Good Good Good Unclear Good - Unclear Good.
institutions and and support is only Supporting Influencing
policy institutional mentioned with policy and policy and
strengthening respect to institutional supporting
financial development institutions
institutions
Technology Good. None None Good – None None None Good - Good Okay Good
Appropriate appropriate Appropriate
technology technologies technology
chosen
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