05 December 2018

Ensuring Appropriate Operations and Maintenance Services

Author/Compiled by
Luisa Muenter (cewas)

Executive Summary

Hundreds of projects around the world demonstrate how newly built Water, Sanitation and Hygiene (WASH) infrastructure deteriorates quickly after they are built if proper Operation and Maintenance (O&M) is neglected. To ensure long-term access and good standards of WASH services for refugees or Internally Displaced People (IDPs) in camps or prolonged encampments, it is imperative to plan for O&M. This planning should include a planned withdrawal of external support as local ownership builds, whereby the affected population increasingly takes responsibility for the O&M of their WASH facilities. O&M systems need to be coordinated between WASH providers, WASH committees and representatives from the affected population itself. Community mobilisation is an important factor for improving the provision of services and encouraging participation in O&M. Both preventative and responsive maintenance are required to keep WASH facilities in proper working order. Additionally, monitoring is vital to flag problems and to direct and prioritise future O&M actives. Budgeting for and financing O&M should form an integral part of camp planning.

Advantages
O&M can protect the continued health well-being of refugees and IDPs, particularly in the “Care and Maintenance” and “Camp Closure” camp stages were a lack of O&M often causes the level of WASH services to deteriorate
Putting in place systems for O&M can ensure equity in the level of WASH services throughout a camp/prolonged encampment
Establishing WASH committees and mobilising the community can save costs as opposed to traditional O&M and can offset cost of repairs that would be needed if there was improper or lacking O&M
Establishing WASH committees and mobilising the community can promote the sustainability of the provision of services and extend the lifespan of WASH infrastructure
Disadvantages
O&M activities cost time and money. This needs to be planned early on, when time is usually limited
Financing (long-term) O&M directs humanitarian funds away from other pressing humanitarian needs

Introduction

Factsheet Block Body

Operation and Maintenance (O&M) is a crucial element of sustainability and its absence is a frequent cause of failure of water supply and sanitation service facilities. Many failures are not technical ones but may result from poor planning, inadequate cost recovery or inadequate outreach of centralised agencies in managing the O&M of facilitates (DFID 1998). If O&M of Camps Water, Sanitation and Hygiene (WASH) services is not prioritised by humanitarian actors, infrastructure may deteriorate quickly and the affected population may lose access to facilities that serve their basic needs (EUROPEAN COMMISION 2014). Hygiene levels, too, are adversely affected by poor O&M (UNICEF JORDAN 2016; IOM, NRC AND UNHCR 2016).

For this reason, the The Sphere Project Standards Minimum Standard 1 underscores the importance of O&M systems for WASH facilities (THE SPHERE PROJECT 2011). The O&M system requires checks and balances to be put in place to establish procedures and systems that ensure functionality and create a system for monitoring and subsequent follow-up (IOM, NRC AND UNHCR 2015). Where possible, the system should involve WASH committees, which include members of the affected community and aim to get the community to manage and take ownership for their WASH facilities (UNHCR 2014). Community mobilisation can play a key role in building capacities to effectively manage and implement WASH emergency response and to improve O&M (described in detail below) (UNHCR 2014).

Overview of O&M for WASH

Factsheet Block Body

Scope of O&M Activities

O&M refers to all activities that are needed to run a water supply and sanitation scheme and hygiene infrastructure (such as hand washing stations), excluding only the activities for the construction of new facilities. The overall aim of O&M is to ensure efficiency, effectiveness and sustainability of WASH facilities (CASTRO ET AL 2009). O&M for WASH facilities and services in camps and prolonged encampments may include the following activities (REDR 2016):

  • Maintaining cleanliness and ensuring good level of hygiene for compound and WASH facilities.
  • Promoting hygiene to foster a sense of accountability towards maintaining hygienic conditions and thereby strengthening people`s motivation to properly maintain and operate WASH facilities.
  • Supervising and facilitating participation and empowering ownership over maintenance of latrines and toilet sanitary facilities.
  • Carrying out fly control.
  • Ensuring continued safe access and adequate lighting of sanitary facilities.
  • Ensuring water supply infrastructure functions well (consistent fill rate) and that the lifespan of water supply facilities is maximised.
  • Carrying out continued desludging.

Disinfecting Water Tanks with Chlorine in the Za’atari camp in Jordan. Source: ACTED (2016)    

Disinfecting Water Tanks with Chlorine in the Za’atari camp in Jordan. Source: ACTED (2016)    

Responsive versus Preventative Maintenance

Maintenance can be either preventative, corrective or reactive as explained below (adapted from CASTRO ET AL 2009):

Preventive maintenance: includes work that is planned and carried out on a regular basis to maintain and keep the infrastructure in good condition, such as network inspection, flushing of the water wells and water lines, disinfection of water tanks, cleaning and greasing of mechanical parts and replacement of items with a limited lifespan. Preventative maintenance not only extends the lifetime of WASH infrastructure but also saves costs in the long-term as it reduces the frequency of costly breakdowns and also reduces the frequency with which expensive reactive maintenance or emergency backup solutions are required (HARVEY 2015). It sometimes also includes minor repairs and replacement as dictated by the routine monitoring and inspections.

It is essential to schedule preventive maintenance to ensure the routine maintenance and health of the system. This can be done by way of routine check-up inspections. The camp manager or the person in charge of the WASH services, will need to ensure that the technician is doing his/her job. The key to ensuring effective equipment maintenance is to make certain that responsibilities are clearly defined and maintenance personnel have the tools and skills to do their job effectively.   

Corrective maintenance: replacing or repairing something that was done incorrectly or that needs to be changed: an example is the reallocation of a pipe route or replacement of a faulty pump.

Reactive maintenance: a reaction to a crisis or public complaint; it normally occurs because of failure and the malfunctioning or breakdown of equipment. Responsive maintenance should allow for a quick and efficient response to WASH-related problems that occur suddenly. This is best handled by mobile WASH teams that should be properly trained and equipped (with spare parts and tools) to immediately respond to infrastructure failure or breakdown and handle the situation (HARVEY 2015, IOM, NRC AND UNHCR 2015).

Planning for O&M During the Camp Set-Up and Improvement Phase

Factsheet Block Body

In early stages of emergencies and the camp life-cycle, O&M of WASH services generally lies in the responsibility of camp managers, coordinators and administrators (IOM, NRC AND UNHCR 2015). Decisions made by humanitarian actors and camp managers during this phase have a strong influence on later “Camp Care and Maintenance” and “Camp Closure”  phases. For this reason, it is key to consider O&M of services starting at the time when Emergency Preparedness and Contingency Planning are developed and response strategies are designed (UNHCR 2008).

Defining Roles, Responsibilities and Work Plans

In order to properly plan for O&M activities and inspections, daily, monthly and more long-term work plans need to be developed along with a clear procedure for reporting gaps or problems with the WASH infrastructure to the WASH provider (IOM, NRC AND UNHCR 2015). Additionally, a set of common roles and responsibilities with respect to O&M administration, coordination and management should be created, agreed upon and then communicated to camp staff, partners and the WASH committees (IOM, NRC AND UNHCR 2015). It is recommended that experts with experience in long-term O&M are called upon to provide recommendations on camp design, to liaise with the affected population and to identify O&M concerns (IOM, NRC AND UNHCR 2015). Refugees, IDPs and other stakeholders should be encouraged to participate in the design process. They will be more likely to feel a sense of ownership over the facilities if they were involved in the conception and design phase (UNHCR 2008). An exit strategy of WASH programming should always be planned and applied to allow the community to take over and operate and maintain facilities after humanitarian actors reduce or end their assistance (EUROPEAN COMMISSION 2014). 

O&M Considerations for Camp Design and Planning

When designing the camp and selecting appropriate technologies, the following should be considered (UNHCR 2008, EUROPEAN COMMISSION 2014):

  • Select locally appropriate technologies that are as simple as possible and can be built and maintained with locally available materials and parts.
  • Opt for user-friendly, less mechanised water systems.

Theses consideration can reduce operating costs, facilitate easier management of WASH services and ensure their sustainability.

When planning facilities, it is important to consider that health may not be the strongest determinant for encouraging people to maintain facilities but rather aspects of privacy, safety and convenience, as well as observation of culture and religious norms, protection of social status and self-esteem (THE SPHERE PROJECT 2011). By addressing these factors in design and siting of facilities, long-term sustainability and O&M of WASH services can be facilitated and strengthened.

Planning for Reliability of Services for Maintenance

To ensure that WASH services are reliable, spare materials and parts for repair and maintenance should always be on stock at the household or community level (UNHCR 2015c). In Prolonged Encampments settings, spare parts and materials for repair and ongoing maintenance should if possible be sourced from local stores and vendors.

Monitoring for O&M

Detailed monitoring is an important aspect of O&M. It helps to (UNHCR 2008):

  • Maintain an overview over the state of existing facilities
  • Flag problems prioritises assistance based on risk
  • Monitor effects of interventions, and
  • Survey inequality of coverage of WASH services as well as of distribution of food and non-food items (UNHCR 2008).

Routine Monitoring forms are available from UNHCR (UNHCR 2008).

Foundations for WASH facilities in Khanke, Iraq. Source: ATHANASIASIS/OCHA (2016).                          

Foundations for WASH facilities in Khanke, Iraq. Source: ATHANASIASIS/OCHA (2016).                          

Planning for O&M in the Care and Maintenance Phase

Factsheet Block Body

Following the emergency phase, camps and prolonged encampments enter the “Care and Maintenance” phase. While O&M in this phase is largely determined by the decisions made during the “Camp Set-Up and Improvement” phase (UNHCR 2008), measures should be taken to avoid a dependency system, where the affected population continues to rely on outside humanitarian aid. Monitoring should be continued and community mobilisation and participation maintained and strengthened to promote community ownership of sanitation facilities (UNCHR  2008).

The Role of Community Mobilisation for O&M

Factsheet Block Body

Safety and good hygiene standards of latrines and toilets are best maintained when families or other groups of the affected population take ownership/responsibility for maintaining the facilities (IOM, NRC AND UNHCR 2015). Participation and coordination of the affected population can empower and encourage them, which in turn enhances the long-term impact and sustainability of the intervention (UNHCR 2008, UNHCR 2015c). For this reason, community mobilisation for O&M should constitute an integral part of any WASH programme (IOM, NRC AND UNHCR 2015 (see factsheets on invalid link, Camp Hygiene Promotion Campaigning in Later-Stage Emergencies and Hygiene Promotion Campaigning in Prolonged Encampments). The necessary capacities of the affected population to maintain the hygiene standards of their sanitation facilities as well as to monitor and report problems must be developed and supported.

WASH Committees

WASH committees/care-taker groups can be set up from within the affected population to assist the O&M of WASH services. Humanitarian response is generally more sustainable if refugees or IDPs are given autonomy and if WASH committees have the opportunity to gain acceptance within the community by taking over the maintenance of small scale infrastructure or solid waste management, by taking up the role of hygiene promoters or by establishing WASH committees. These WASH committees can help to increase the sense of ownership and accountability to operate and maintain their WASH facilities, reduce reliance on outside assistance, and offer a measure of sustainability that can extend past the emergency phase (ARAB HILAL AND MONTELL 2015). Proper training should be provided by the WASH service provider to enforce local management structures (IOM, NRC AND UNHCR 2015, UNCR 2008). One possible composition of a WASH committees is the Community WASH committee (CWC), which is made up of six members (two maintenance volunteers, two hygiene promotion volunteers, one supply volunteer and one waste management volunteer) responsible for 25 households (ARAB HILAL AND MONTELL 2015).

The responsibilities of WASH committees may include (UNHCR 2008 and IOM, NRC AND UNHCR 2015):

  • Developing and carrying out regular maintenance schemes,
  • Monitoring and reporting,
  • Assisting in carrying out hygiene promotion to sensitise the affected population on proper use, cleaning, and maintenance of sanitation infrastructure (see factsheets on invalid link, Camp Hygiene Promotion Campaigning in Later-Stage Emergencies and Hygiene Promotion Campaigning in Prolonged Encampments).

The sense of ownership can either be encouraged through a voluntary system or by providing incentives (UNHCR 2015b). The latter is recommended especially in early stages of an emergency (UNHCR 2008).

Financing O&M

Factsheet Block Body

In order for (re)established WASH systems to run sustainably in the long-term, design considerations, possibilities of the affected population to manage the system beyond project end as well as long-term running costs must be equally considered. Camp budgets should always include a component for O&M and should include flexibility to deal with unforeseen challenges. Additionally, mobilising the community for O&M and creating WASH committees to take over responsibilities for WASH blocks can significantly reduce maintenance costs. (EUROPEAN COMMISSION 2014; IOM, NRC AND UNHCR 2015).

Although cost recovery is usually not a priority in acute emergencies, it is essential that the protracted financial consequences of any WASH service are considered from the beginning. The European Commission WASH policy recommends that humanitarian interventions are open to a gradual and early transition to a fee-based WASH service system, in which water supply users (commercial and others) who can pay, furnish an affordable fee that allows a reliable supply and sustainable O&M, while at the same time liberating humanitarian funds to address other pressing needs. Such a system requires an enabling environment (e.g. connection to a local spare parts supply system) and the fee structure shall by no means compromise the needs of the most vulnerable or jeopardise their access to WASH services (EUROPEAN COMMISION 2014).

Applicability

Factsheet Block Body

This guidance refers to O&M of WASH infrastructure in planned and unplanned Camps and Prolonged Encampments. The information and recommendations are most appropriate when there is centralised camp management overseeing and coordinating the humanitarian response. 

Library References

Empowering for dignity: Best Practices of Community WASH Committees in North Lebanon

In Lebanon, in earlier phases of the conflict focused on establishing WASH infrastructure and hygiene promotion campaigns did little to promote facility maintenance and a sense of ownership. Later, Solidarity international launched a program where they established by a community WASH Committee from within the refugee population to self-maintain WASH facilities, carry out small-scale repairs, and continue hygiene promotion activities. This intervention was successful as it improved maintenance and the levels of hygiene at the camps and simultaneously built up the resiliency of the communities.

ARAB, N. HILAL, M. MONTELL, L. (2015): Empowering for dignity: Best Practices of Community WASH Committees in North Lebanon. Water, Sanitation and Hygiene beyond 2015. (= 38th WEDC International Conference ). Loughborough: Loughborough University URL [Accessed: 01.12.2016]

Sustainable Community Management of Urban Water and Sanitation Schemes (A Training Manual)

The aim of this capacity building programme is to improve the efficiency and positive impact of urban, community-managed water and sanitation schemes. The manual covers technical issues such as operations and maintenance activities, but also has a strong focus on institutional, managerial and financial issues. The seven modules are meant to equip communities with the tools to eliminate or reduce the major constraints in managing infrastructure and providing services. The manual also aims to clarify the roles and responsibilities of all stakeholders. It was written for a development setting but still contains relevant training methodologies and information in humanitarian crises situations.

CASTRO, V. MSUYA, N. MAKOYE, C. (2009): Sustainable Community Management of Urban Water and Sanitation Schemes (A Training Manual). Nairobi: Water and Sanitation Program-Africa, World Bank URL [Accessed: 06.09.2010]

Guidance Manual on Water Supply and Sanitation Programmes

This manual has been prepared as a tool to help improve DFID's (Department for International Developments, United Kingdom) support for water supply and sanitation projects and programmes in developing countries. Its particular focus is on how DFID assistance can best meet the needs of the urban and rural poor for water supply and sanitation services.

DFID (1998): Guidance Manual on Water Supply and Sanitation Programmes. London: Water, Engineering and Development Centre (WEDC) for the Department for International Development (DFID) URL [Accessed: 09.05.2018]

Water, Sanitation and Hygiene. Meeting the challenge of rapidly increasing humanitarian needs in WASH. DG ECHO Thematic Policy No.2

This thematic policy document provides information on meeting the challenges of rapidly increasing humanitarian needs. It provides information on basic principles of humanitarian response, emergency response and preparedness and response in acute, post-acute, protracted, and chronic crises, key determinants for interactions, guidance on coordination, advocacy, decision trees, and technical guidelines. It provides various insights on operations and maintenance planning for humanitarian crisis needs. The EC humanitarian WASH assistance follows the following objectives: 1) To ensure timely and dignified access to sufficient and safe WASH services for populations threatened by on-going, imminent or future humanitarian crises, and to increase their resilience to withstand water stress and shocks. 2) To implement measures to prevent the spread of WASH related diseases in populations threatened by on-going, imminent or future humanitarian crises. 3) To enhance the impact, relevance, efficiency and effectiveness in the delivery of WASH assistance by strengthening the capacities of the humanitarian aid system, including its coordination mechanism.

EUROPEAN COMMISSION (2014): Water, Sanitation and Hygiene. Meeting the challenge of rapidly increasing humanitarian needs in WASH. DG ECHO Thematic Policy No.2. Brussels: European Commission URL [Accessed: 31.10.2016]

Chapter 9: Operation and Maintenance Consideration

The UNCHR provides initial preliminary draft version of the UNHCR WASH manual. It`s chapter on WASH programme management provides information on models for WASH service provision, an organisation of WASH teams, and information on recruiting, and capacity building of the team. It also provides considerations of operations and maintenance considerations.

HARVEY, B. (2015): Chapter 9: Operation and Maintenance Consideration. In: HARVEY, B. ; (2015): UNHCR WASH Manual. Geneva: . URL [Accessed: 01.12.2016]

Camp Management Toolkit

International Organisation for Migration (IOM), Norwegian Refugee Council (NRC) and UN Refugee Agency (UNHCR)`s Camp Management Toolkit provide tools and approaches to provide concrete guidance on facilitating hygiene improvement in an acute, early stage of an emergency relevant to camps. This toolkit is applicable to both IDPs and refugees living in communal settings.

IOM NHCR UNHCR (2015): Camp Management Toolkit. Genva: International Organization For Migration URL [Accessed: 25.08.2016]

Humanitarian Charter and Minimum Standards in Humanitarian Response

The Sphere Project is an initiative to determine and promote standards by which the global community responds to the plight of people affected by desasters. This handbook contains a humanitarian charter, protection principles and core standards in four disciplines: Water, sanitation and hygiene; food security and nutrition; shelter, settlements and non-food items; and health action.

THE SPHERE PROJECT (2011): Humanitarian Charter and Minimum Standards in Humanitarian Response. Bourton on Dunsmore: Practcal Action Publishing URL [Accessed: 31.05.2019]

A Guidance for UNHCR Field Operations on Water and Sanitation Services

The guidance document is a booklet prepared by the UNHCR water and sanitation division. It introduces water and sanitation and the UNHCR`s guiding principles and goals. It lays out the guiding principles of water and sanitation provision and then detailed guidance for emergency and stable phases. The documents also address durable solution the issues of advocacy and provide guidance on access to technical support. It provides information on operations and maintenance considerations throughout the document.

UNHCR (2008): A Guidance for UNHCR Field Operations on Water and Sanitation Services. Geneva: UNHCR Water and Sanitation Unit URL [Accessed: 17.10.2011]
Further Readings

Chapter 9: Operation and Maintenance Consideration

The UNCHR provides initial preliminary draft version of the UNHCR WASH manual. It`s chapter on WASH programme management provides information on models for WASH service provision, an organisation of WASH teams, and information on recruiting, and capacity building of the team. It also provides considerations of operations and maintenance considerations.

HARVEY, B. (2015): Chapter 9: Operation and Maintenance Consideration. In: HARVEY, B. ; (2015): UNHCR WASH Manual. Geneva: . URL [Accessed: 01.12.2016]

Water, Sanitation and Hygiene. Meeting the challenge of rapidly increasing humanitarian needs in WASH. DG ECHO Thematic Policy No.2

This thematic policy document provides information on meeting the challenges of rapidly increasing humanitarian needs. It provides information on basic principles of humanitarian response, emergency response and preparedness and response in acute, post-acute, protracted, and chronic crises, key determinants for interactions, guidance on coordination, advocacy, decision trees, and technical guidelines. It provides various insights on operations and maintenance planning for humanitarian crisis needs. The EC humanitarian WASH assistance follows the following objectives: 1) To ensure timely and dignified access to sufficient and safe WASH services for populations threatened by on-going, imminent or future humanitarian crises, and to increase their resilience to withstand water stress and shocks. 2) To implement measures to prevent the spread of WASH related diseases in populations threatened by on-going, imminent or future humanitarian crises. 3) To enhance the impact, relevance, efficiency and effectiveness in the delivery of WASH assistance by strengthening the capacities of the humanitarian aid system, including its coordination mechanism.

EUROPEAN COMMISSION (2014): Water, Sanitation and Hygiene. Meeting the challenge of rapidly increasing humanitarian needs in WASH. DG ECHO Thematic Policy No.2. Brussels: European Commission URL [Accessed: 31.10.2016]

A Guidance for UNHCR Field Operations on Water and Sanitation Services

The guidance document is a booklet prepared by the UNHCR water and sanitation division. It introduces water and sanitation and the UNHCR`s guiding principles and goals. It lays out the guiding principles of water and sanitation provision and then detailed guidance for emergency and stable phases. The documents also address durable solution the issues of advocacy and provide guidance on access to technical support. It provides information on operations and maintenance considerations throughout the document.

UNHCR (2008): A Guidance for UNHCR Field Operations on Water and Sanitation Services. Geneva: UNHCR Water and Sanitation Unit URL [Accessed: 17.10.2011]
Case Studies

Empowering for dignity: Best Practices of Community WASH Committees in North Lebanon

In Lebanon, in earlier phases of the conflict focused on establishing WASH infrastructure and hygiene promotion campaigns did little to promote facility maintenance and a sense of ownership. Later, Solidarity international launched a program where they established by a community WASH Committee from within the refugee population to self-maintain WASH facilities, carry out small-scale repairs, and continue hygiene promotion activities. This intervention was successful as it improved maintenance and the levels of hygiene at the camps and simultaneously built up the resiliency of the communities.

ARAB, N. HILAL, M. MONTELL, L. (2015): Empowering for dignity: Best Practices of Community WASH Committees in North Lebanon. Water, Sanitation and Hygiene beyond 2015. (= 38th WEDC International Conference ). Loughborough: Loughborough University URL [Accessed: 01.12.2016]

Za’atari Camp WASH Facilities Management Intro and FAQ – June 2014

In the Zaatari camp in Jordan, UNHCR WASH sector report describes the process of handing over cleaning and small scale maintenance from WASH implementing partners to WASH committees. Each Wash Committee established was supported and monitored by a WASH implementing partner. Each committee was given a monthly budget to manage the cleaning and maintenance. The maintenance and operations cost were reduced by handing the prime responsibility for O&M over to the WASH committees.

UNHCR (2014): Za’atari Camp WASH Facilities Management Intro and FAQ – June 2014. Geneva: UNHCR URL [Accessed: 01.12.2016]
Training Material

Towards Sustainable O&M

This is a module of the WHO training in hygiene on the topic of “towards sustainable operations and maintenance”. This module covers the topics of linking technology choice with operations and maintenance, institutional set up, community management, gender awareness, cost recovery, monitoring for effectiveness, working with communities, and field visits. Although this training resources is not tailored to emergency situations, the training materials provide content that is also valuable for humanitarian crises situations.

WHO (n.y): Towards Sustainable O&M. Geneva: World Health Organisation URL [Accessed: 01.12.2016]

Sustainable Community Management of Urban Water and Sanitation Schemes (A Training Manual)

The aim of this capacity building programme is to improve the efficiency and positive impact of urban, community-managed water and sanitation schemes. The manual covers technical issues such as operations and maintenance activities, but also has a strong focus on institutional, managerial and financial issues. The seven modules are meant to equip communities with the tools to eliminate or reduce the major constraints in managing infrastructure and providing services. The manual also aims to clarify the roles and responsibilities of all stakeholders. It was written for a development setting but still contains relevant training methodologies and information in humanitarian crises situations.

CASTRO, V. MSUYA, N. MAKOYE, C. (2009): Sustainable Community Management of Urban Water and Sanitation Schemes (A Training Manual). Nairobi: Water and Sanitation Program-Africa, World Bank URL [Accessed: 06.09.2010]

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