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The WASHREG approach Action Sheets

The WASH Regulation (WASHREG) Approach is a tool intended to help understand the elements of WASH regulation within a broader enabling environment for effective and sustainable WASH service delivery.

These WASHREG Action Sheets, organized around different areas of regulation, offer a rich practical guidance and multiple examples to describe how regulation can be put in practice. With already nearly 60 Action sheets, and almost 190 examples from all regions in the world, the Action Sheets will continue to evolve and capture emerging experiences about the regulation of water and sanitation services.

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About

The WASHReg Actions Sheets have been produced under the Accountability for Sustainability partnership between UNICEF and SIWI. The World Health Organization and the Inter-American Development Bank provided substantial inputs to the development of the WASHREG Approach package. Sida has funded the development of the action sheets for Latin America and the Caribbean Region under the GO-Water programme.

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57 Action Sheets

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Competition

Competition
Objective : CO3
Action Card : CO3B

Impose penalties on operators whose practices against free competition are not reversable

There are sanction systems for operators for anti-competitive acts that affect consumers

Eastern Africa Latin America and the Caribbean

Competition
Objective : CO3
Action Card : CO3A

Impose mandatory procurement measures or split operators’ assets when they benefit from a monopoly

There are sanction systems for operators for anti-competitive acts that affect consumers

Eastern Africa Latin America and the Caribbean

Competition
Objective : CO2
Action Card : CO2D

Detect abuses of monopoly by operators and concerted practices harmful for consumers

Operators’ competition behaviour is audited through collected legal and contractual information

European Union Latin America and the Caribbean

Competition
Objective : CO2
Action Card : CO2C

Analyse the existence of any anti-competitive advantages granted to operators

Operators’ competition behaviour is audited through collected legal and contractual information

Latin America and the Caribbean European Union

Competition
Objective : CO2
Action Card : CO2B

Publicly disclose information related to competition policy or anticompetitive acts by operators

Operators’ competition behaviour is audited through collected legal and contractual information

Northern Europe Latin America and the Caribbean

Competition
Objective : CO2
Action Card : CO2A

Oversee operators’ tendering and contracting processes, modifications, terminations, reconfigurations, and mergers

Operators’ competition behaviour is audited through collected legal and contractual information

Eastern Africa Latin America and the Caribbean

Competition
Objective : CO1
Action Card : CO1B

Ensure healthy competition through equal treatment of all operators within the scope of public procurement

Water and sanitation service legislation and regulations are aligned with public competition policies

Eastern Africa Latin America and the Caribbean

Competition
Objective : CO1
Action Card : CO1A

Regulate and promote public and private market competition for drinking water and sanitation services

Water and sanitation service legislation and regulations are aligned with public competition policies

Eastern Africa Latin America and the Caribbean

Consumer Protection

Consumer Protection
Objective : CP3
Action Card : CP3B

Establish penalty systems for infringing contractual provisions regarding consumer protection

Consumer protection is reinforced through sanctions or rewards

Eastern Africa Latin America and the Caribbean

Consumer Protection
Objective : CP3
Action Card : CP3A

Establish reward systems through benchmarking for operators with higher consumer satisfaction

Consumer protection is reinforced through sanctions or rewards

Eastern Africa Latin America and the Caribbean

Consumer Protection
Objective : CP2
Action Card : CP2E

Mediate and reconcile conflicts involving service operators and consumers

There are mechanisms to monitor and review information received about consumer protection rights

Eastern Africa Latin America and the Caribbean

Consumer Protection
Objective : CP2
Action Card : CP2D

Review and monitor existing contracts between service operators and consumers

There are mechanisms to monitor and review information received about consumer protection rights

European Union Latin America and the Caribbean

Consumer Protection
Objective : CP2
Action Card : CP2C

Develop accessible communication channels to receive consumer complaints

There are mechanisms to monitor and review information received about consumer protection rights

Eastern Africa Latin America and the Caribbean

Consumer Protection
Objective : CP2
Action Card : CP2B

Sensitize and educate consumers about their rights and obligations

There are mechanisms to monitor and review information received about consumer protection rights

Eastern Africa Latin America and the Caribbean

Consumer Protection
Objective : CP2
Action Card : CP2A

Conduct regular households surveys or similar instruments to assess consumer satisfaction

There are mechanisms to monitor and review information received about consumer protection rights

Eastern Africa Latin America and the Caribbean

Consumer Protection
Objective : CP1
Action Card : CP1C

Develop consumer chart guidelines that establish clear rights and duties

There are clear rules regarding the interface between consumers and operators

Southern Africa Latin America and the Caribbean

Consumer Protection
Objective : CP1
Action Card : CP1B

Develop procedures to establish water consumer spaces at utility level

There are clear rules regarding the interface between consumers and operators

Central Asia Eastern Africa Latin America and the Caribbean

Consumer Protection
Objective : CP1
Action Card : CP1A

Define and establish consumer protection policies

There are clear rules regarding the interface between consumers and operators

Eastern Africa Latin America and the Caribbean

Environment

Environment
Objective : EN3
Action Card : EN3B

Manage non-compliance cases as a knowledge practice for future recalls

Water abstractors and polluters are sanctioned when committing environmental infringements

North America Latin America and the Caribbean

Environment
Objective : EN3
Action Card : EN3A

Penalize actors for their non-compliance with environmental legislation and policies

Water abstractors and polluters are sanctioned when committing environmental infringements

European Union Latin America and the Caribbean

Environment
Objective : EN2
Action Card : EN2E

Establish mechanisms for receiving and dealing with citizen complaints related to water resources use

Environmental compliance of water and wastewater service operators, industries and agriculture is monitored through collected information on the status of water resources, its use and protection

North America Latin America and the Caribbean

Environment
Objective : EN2
Action Card : EN2D

Develop inspection protocols for water abstraction and discharge points and receiving water bodies

Environmental compliance of water and wastewater service operators, industries and agriculture is monitored through collected information on the status of water resources, its use and protection

East Asia Latin America and the Caribbean

Environment
Objective : EN2
Action Card : EN2C

Raise public awareness on the rational use of water

Environmental compliance of water and wastewater service operators, industries and agriculture is monitored through collected information on the status of water resources, its use and protection

West Asia Latin America and the Caribbean

Environment
Objective : EN2
Action Card : EN2B

Develop systematic approaches for routinely sharing water resources information with the public

Environmental compliance of water and wastewater service operators, industries and agriculture is monitored through collected information on the status of water resources, its use and protection

Eastern Africa Latin America and the Caribbean European Union

Environment
Objective : EN2
Action Card : EN2A

Establish and manage water resources abstraction and effluent discharge registers

Environmental compliance of water and wastewater service operators, industries and agriculture is monitored through collected information on the status of water resources, its use and protection

Southeast Asia European Union Latin America and the Caribbean

Environment
Objective : EN1
Action Card : EN1C

Establish environmental protection zones, associated rules, and regulatory compliance procedures

Regulatory requirements for water abstraction and management of faecal sludge, effluent or wastewater are in place

Latin America and the Caribbean European Union

Environment
Objective : EN1
Action Card : EN1B

Define mechanisms for the approval of water abstraction rights and wastewater effluent discharge permits

Regulatory requirements for water abstraction and management of faecal sludge, effluent or wastewater are in place

Southern Africa European Union Latin America and the Caribbean

Environment
Objective : EN1
Action Card : EN1A

Set standards for quality of effluent discharges arising from wastewater services

Regulatory requirements for water abstraction and management of faecal sludge, effluent or wastewater are in place

Eastern Africa Northern Europe Latin America and the Caribbean

Public Health

Public Health
Objective : PH4
Action Card : PH4B

Initiate administrative infringement procedures against non-compliant drinking water service operators and impose adequate sanctions

Penalty systems are adopted and enforced to penalize service operators for actions that infringe legal provisions on drinking water quality

European Union Latin America and the Caribbean

Public Health
Objective : PH4
Action Card : PH4A

Identify and investigate drinking water safety regulatory compliance failures and provide instructions for remediation measures

Penalty systems are adopted and enforced to penalize service operators for actions that infringe legal provisions on drinking water quality

European Union Latin America and the Caribbean

Public Health
Objective : PH2
Action Card : PH2G

Develop protocols for dealing with consumer water quality complaints

Regulatory compliance with water and sanitation safety plans is monitored through collected information on water quality

Northern Europe

Public Health
Objective : PH2
Action Card : PH2F

Develop protocols for inspecting laboratories undertaking regulatory compliance analyses, in conjunction with respective accreditation bodies

Regulatory compliance with water and sanitation safety plans is monitored through collected information on water quality

European Union Latin America and the Caribbean

Public Health
Objective : PH2
Action Card : PH2E

Develop inspection and audit protocols to ensure compliance with approved water and sanitation safety plans

Regulatory compliance with water and sanitation safety plans is monitored through collected information on water quality

Northern Europe Latin America and the Caribbean

Public Health
Objective : PH2
Action Card : PH2D

Establish drinking water quality failure event management procedures and protocols

Regulatory compliance with water and sanitation safety plans is monitored through collected information on water quality

Southeast Asia European Union Latin America and the Caribbean

Public Health
Objective : PH2
Action Card : PH2C

Develop fact sheets on health implications of priority drinking water contaminants

Regulatory compliance with water and sanitation safety plans is monitored through collected information on water quality

North America Northern Europe Latin America and the Caribbean

Public Health
Objective : PH2
Action Card : PH2B

Periodically develop publicly available regulatory updates and water quality compliance reports

Regulatory compliance with water and sanitation safety plans is monitored through collected information on water quality

Australia and New Zealand Northern Europe Latin America and the Caribbean

Public Health
Objective : PH1
Action Card : PH1D

Develop and maintain registers of authorized laboratories to perform water quality analyses

There are rules ensuring public health standards for safe drinking water and sanitation

South Asia Northern Europe Latin America and the Caribbean

Public Health
Objective : PH2
Action Card : PH2A

Develop procedures to collect information required to regulate drinking water quality and water and sanitation safety plans

Regulatory compliance with water and sanitation safety plans is monitored through collected information on water quality

Northern Europe Latin America and the Caribbean

Public Health
Objective : PH1
Action Card : PH1C

Establish regulatory frameworks and guidelines for water and sanitation safety plans

There are rules ensuring public health standards for safe drinking water and sanitation

East Asia Northern Europe Latin America and the Caribbean

Public Health
Objective : PH1
Action Card : PH1B

Establish water quality regulatory compliance monitoring and reporting protocols

There are rules ensuring public health standards for safe drinking water and sanitation

Eastern Africa Southeast Asia Latin America and the Caribbean

Public Health
Objective : PH1
Action Card : PH1A

Define drinking water quality standards

There are rules ensuring public health standards for safe drinking water and sanitation

Eastern Africa Northern Africa Latin America and the Caribbean

Service quality regulation

Service quality regulation
Objective : SQ2
Action Card : SQ2D

Establish processes to validate the data provided by operators

Establish mechanisms for monitoring adherence to service requirements

Latin America and the Caribbean European Union

Service quality regulation
Objective : SQ3
Action Card : SQ3B

Establish systems of sanctions for non-adherence of operators to service norms and regulations

Facilitate adherence to service requirements, and continuous improvement in service provision

Australia and New Zealand Latin America and the Caribbean

Service quality regulation
Objective : SQ3
Action Card : SQ3A

Establish systems of incentives and rewards for operators’ performance by regulators

Facilitate adherence to service requirements, and continuous improvement in service provision

Latin America and the Caribbean European Union

Service quality regulation
Objective : SQ2
Action Card : SQ2C

Conduct regular audits to check service quality indicators

Establish mechanisms for monitoring adherence to service requirements

Australia and New Zealand Latin America and the Caribbean

Service quality regulation
Objective : SQ2
Action Card : SQ2B

Produce and publish analytic reports to track progress on service quality

Establish mechanisms for monitoring adherence to service requirements

European Union Latin America and the Caribbean

Service quality regulation
Objective : SQ2
Action Card : SQ2A

Establish protocols for periodic data collection on service quality

Establish mechanisms for monitoring adherence to service requirements

European Union Latin America and the Caribbean

Service quality regulation
Objective : SQ1
Action Card : SQ1B

Establish policies and procedures for the provision of good quality services

Define service requirements to be met by operators

Eastern Africa Australia and New Zealand Latin America and the Caribbean

Service quality regulation
Objective : SQ1
Action Card : SQ1A

Define service quality standards and indicators for operators

Define service requirements to be met by operators

Eastern Africa Australia and New Zealand Latin America and the Caribbean

Tariff setting

Tariff setting
Objective : TS3
Action Card : TS3B

Apply sanctions under the terms set out in legislation

Administrative infringement proceedings against uncompliant operators are in place

Eastern Africa Latin America and the Caribbean

Tariff setting
Objective : TS3
Action Card : TS3A

Alert operators in case of non-compliance with tariff regulations and issue correcting instructions

Administrative infringement proceedings against uncompliant operators are in place

Eastern Africa Latin America and the Caribbean

Tariff setting
Objective : TS2
Action Card : TS2D

Monitor economic and financial performance indicators at operator and national level

Compliance with approved tariffs and performance is monitored through financial and operational information received from operators

Eastern Africa Latin America and the Caribbean

Tariff setting
Objective : TS2
Action Card : TS2C

Verify the efficiency of operators

Compliance with approved tariffs and performance is monitored through financial and operational information received from operators

Eastern Africa Latin America and the Caribbean

Tariff setting
Objective : TS2
Action Card : TS2B

Collect and validate operators’ financial and operational data

Compliance with approved tariffs and performance is monitored through financial and operational information received from operators

Southern Africa Latin America and the Caribbean

Tariff setting
Objective : TS2
Action Card : TS2A

Gather operators’ tariff revenues, costs, and consumer willingness and ability to pay

Compliance with approved tariffs and performance is monitored through financial and operational information received from operators

Eastern Africa Latin America and the Caribbean

Tariff setting
Objective : TS1
Action Card : TS1B

Establish processes, rules, and responsibilities for systematic tariff adjustment

Tariff systems, relevant procedures and responsibilities are validated

Eastern Africa Latin America and the Caribbean

Tariff setting
Objective : TS1
Action Card : TS1A

Define criteria, rules and processes for tariff setting, tariff structure, approval, and service invoicing

Tariff systems, relevant procedures and responsibilities are validated

Eastern Africa Latin America and the Caribbean

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