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Source List 9.1 Improving Provider Governance and Management Source Description Sources for Material on Managing Water Providers Well Business Planning for Water Utilities Website International Water Association Website World Bank Website “Improving Operator Performance Resources” See Source List 8.1 on page 103 (“Improving Project Planning”). This website provides tools and support on business planning for water utility managers and consultants working in small and medium sized towns. Contains numerous resources on all topics in water utility management. a Sections of particular interest include: • Books on utility management topics • Books on water utility issues in developing countries • Periodicals, including Water Utility Management International Contains collection of resources on ways to improve the performance of water utilities in developing countries. b Case Studies on Improving Water Provider Management Calagus, B. and Cann, V. (2006). “Reforming Public Utilities to Meet the Water and Sanitation MDGs”. Water Aid and World Development Movement. Mugabi, J., Kayaga, S., and Njiru, C. (2006). “Strategic planning for Water Utilities in Developing Countries”. Water, Engineering and Development Centre. Schwartz, K. (2006). “Managing Public Water Utilities: An Assessment of Bureaucratic and New Public Management Models in the Water Supply and Sanitation Sectors in Low- and Middle-Income Countries”. UNESCO-IHE Institute for Water Education Case studies of public-utility turn-arounds in Uganda, Tamil Nadu, as well as references to other cases of successful reform in public utilities. c Outlines an approach to realistic strategic planning for developing country water utilities, drawing on examples from African utilities. Discusses the development of Performance Improvement Plans. Contains case studies of four relatively well-performing public utilities: the National Water and Sewerage Corporation (NWSC), Uganda, the Sociedade de Abastecimento de Água e Saneamento S.A., Campinas, Brazil, the Hai Phong Water Supply Company, Hai Phong, Vietnam, and Servicios de Agua y Drenaje de Monterrey, Mexico. Also compares five water utilities in the State of Guanajuato, Mexico, contrasting the one that performs relatively well with the other four. Finds that in many cases reforms were precipitated by a crisis, but that sustaining good performance may require management continuity and some insulation from day-to-day politics. Reforms included new approaches to NRW reduction in Hai Phong (Vietnam), and contracts and bonuses that provided greater accountability and incentives for utility staff in a number of cases, including Hai Phong, SAMAPAG (Mexico) and NWSC (Uganda). Section 3 contains a good discussion of New Public Management (NPM). Which: • Contrasts NPM with traditional bureaucratic management models • Describes some of the prerequisites for success with NPM (such as effective budgeting and accounting systems, and a contract-law tradition) • Lists some of the possible disadvantages with NPM (such as loss of publicservice ethos and the difficulty of establishing output-based accountability mechanisms for some positions). Overall the author concludes that NPM approaches may be helpful in some cases, but in other cases traditional ‘good civil service practice’ may be better. a www.iwapublishing.com b http://go.worldbank.org/GIEP4WVRK0 c http://www.wdm.org.uk/resources/reports/water/reformingpublicutilities01072006.pdf (continued on next page) 98
Source List 9.1 Improving Provider Governance and Management (continued) Source Sekhonyana, S. and Pholo, M. and Fisher, J. (2005). “Improving Utility Management: Case Study From Lesotho”. WEDC International Conference, Uganda World Bank and Water Aid (2004). “Modes of Engagement with the Public Sector Water Supply Providers in Developing Countries”. WaterAid/World Bank. Description Documents the process of developing and implementing a Performance Improvement Plan (PIP) and an Unaccounted for Water (UfW) Action Plan by the Water and Sewerage Authority (WASA) in Lesotho. The paper concludes that the process has been helpful, while also frankly documenting some parts which were not yet working at the date of publication. The paper maps out the reform process for turning around poor performance and institutionalising good performance in a public utility. Thus the paper focuses on providing a framework, beginning with a taxonomy and structure of public utility reform. This paper was produced by the World Bank and Water Aid. d Improving employee accountability Mugisha, S. et al (2004). “Transforming Public Water Utilities through Private Sector-like Management Principles: The National Water and Sewerage Corporation, Uganda”. World Bank This paper summarizes Uganda’s experience in using performance contracts to increase accountability not only within the utility, but between the utility and the government. It illustrates that “private-sector-like” managerial approaches can be successfully adopted by public sector entities. Budgeting Objectives-Oriented Project Planning Objectives Oriented Project Planning (ZOPP) is a method for planning and managing projects that encourages participatory planning through a series of stakeholder workshops. The ZOPP method is a powerful tool for combining joint analysis and planning throughout the project cycle. It can also help “save” projects that falter midway by reorganizing stakeholders resolve to see a project through. A main idea behind ZOPP is the “every plan is wrong, when we look at it in hindsight”. For more information, please see: • Gesellschaft fur Technische Zusammenarbeit (GTZ) (1991). Methods and Instruments for Project Planning and Implementation, Eschborn: Germany • GTZ (1998). ZOPP: An Introduction to the Method Eschborn: Germany • GTZ (1998). ZOPP in Brief, Eschborn: Germany. d http://www.wateraid.org/documents/plugin_documents/publicsectorproviders.pdf 99
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PREFACE In 1996, then World Bank Pr
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TABLE OF CONTENTS 1 INTRODUCTION ..
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Tables Table 1.1: How to Use the So
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Box 11.1: Five Key Elements of an A
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In each section, corruption and gov
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2 UNDERSTANDING CORRUPTION AND GOVE
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Box 2.2 Governance in the Literatur
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Corruption often involves a “mora
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When these conditions hold, a virtu
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This suggests that sector practitio
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spur increased local demand for acc
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Source List 2.1 Framework for Think
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• P rovider - Section 5 discusses
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That said, the interpretation of na
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Source List 3.1 Country Level Gover
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4 SECTOR ASSESSMENT This section in
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4.3 Informal Service Provision In m
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Media coverage of corruption can se
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Opportunities for corruption arise
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Table 4.2 Some Corruption and Poor
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Source List 4.1 Sector Assessment S
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Source List 4.1 Sector Assessment (
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Source List 4.1 Sector Assessment (
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Figure 5.1 Corruption in Procuring
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5.1.3 Problems with quality As disc
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• Utility unable to link billing
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5.3.1 Detecting corruption in human
Page 58 and 59: • Travel by utility staff at the
Page 60 and 61: 6 PLANNING AND IMPLEMENTING CAPITAL
Page 62 and 63: transferred from the government or
Page 64 and 65: sector staff might schedule mainten
Page 66 and 67: Practitioners can detect corruption
Page 68 and 69: • Increase the price of the contr
Page 70 and 71: 7 IMPLICATIONS OF DIFFERENT SECTOR
Page 72 and 73: Table 7.1 Five Variants of Private
Page 74 and 75: Box 7.2 An Example of Related Party
Page 76 and 77: • A reputation for corruption in
Page 78 and 79: Indicators of corruption risk in co
Page 80 and 81: • Management processes, for examp
Page 82 and 83: PART II INCREASING PROBITY AND IMPR
Page 84 and 85: Box 8.1 Improving Probity in Capita
Page 86 and 87: Applying the rules effectively is c
Page 88 and 89: sors and auditors can be appointed
Page 90 and 91: Box 8.6 Procurement Outsourcing to
Page 92 and 93: fective deterrents include debarrin
Page 94 and 95: Source List 8.1 Improving Project P
Page 100 and 101: 9 INCREASING PROBITY AT THE PROVIDE
Page 102 and 103: Linking management controls to corr
Page 104 and 105: Box 9.2 Performance Incentives for
Page 106 and 107: Box 9.5 Performance Evaluation in a
Page 110 and 111: 10 STRENGTHENING WATER SECTOR GOVER
Page 112 and 113: Government responses to citizen dem
Page 114 and 115: Methods for increasing information
Page 116 and 117: can at any time direct that provide
Page 118 and 119: Box 10.3 Internally Delegated Manag
Page 120 and 121: To overcome some of these constrain
Page 122 and 123: vider from the political directorat
Page 124 and 125: Box 10.7 Cooperative Management of
Page 126 and 127: Source List 10.1 Reforming Water Se
Page 134 and 135: technology in selected areas”, bu
Page 136 and 137: mission (the CRA) sets out rules fo
Page 138 and 139: surrounding area, to small schemes
Page 140 and 141: works and planning in public agenci
Page 142 and 143: 11.2 Second Best Options for Improv
Page 144 and 145: Table 11.1 Summary of “Second-Bes
Page 146 and 147: good strategy. One way to identify
Page 148 and 149: Example of a simple, narrow approac
Page 150 and 151: lustration, a practitioner with som
Page 152 and 153: Source List 11.1 Improving Probity
Page 154 and 155: Source List 11.1 Improving Probity
Page 156 and 157: 12 REVIEWING PROGRESS Monitoring an
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• Indicators chosen should relate
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Box 12.2 Using Objective Cost Measu
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on the program’s success had been
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Source List 12.1 Reviewing Progress
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threats). Competitive bidding proce
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Other Water Working Notes Water Wor
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