Phase 4: Completion, Renewal, or Upscaling



Key Activities and Related Tools

Undertake a participatory final evaluation and financial audit of the WSI, and communicate results to affected stakeholders.

Responsiveness, attendance at meetings, and engagement in the implementation of activities and in the coordination of the initiative should be monitored in regular intervals, to track stakeholder engagement throughout the implementation of a WSI.

Engage affected stakeholders in the decision-making process for renewing, upscaling, or completing the WSI.

The evaluation should focus on understanding how well the WSI met its stated objectives and its ability to bring about increased SWM.

How? Stakeholder engagement provides insights into the needs and wants of affected stakeholders who have the power to influence the implementation of WSIs or are affected by a WSI. Several relevant guidance documents are provided in Tool 6: Support Materials for a Participatory Planning Process. The outcomes of a final (ideally independent) evaluation should be used to inform the decision making concerning renewal or completion of the WSI.

Determine how to best ensure that activities and outcomes are appropriately embedded into existing institutions.

How? The exit strategy is the plan that clarifies how the WSI will end or transform (e.g., once goals have been achieved, or at the end of the project or funding cycle). Fostering sustainability and mitigating risks of failure lie at the heart of this strategy. It must be designed jointly from the onset and revisited regularly as the initiative evolves. For more guidance, see Tool 12: Developing an Exit Strategy.

Establish a process to monitor and evaluate capture risks during the completion and/or transformation of the initiative.

How? Capture can be understood to occur when discretionary decision-making or policy processes become systematically distorted or biased in favor of some interests over others due to structured imbalances in power and influence. The undue influence or “capture” of public policy, public funds, or regulatory processes, or of the water resource itself, is perhaps the most significant integrity hazard facing WSIs. Identifying these hazards and marking with red flags where and how capture might happen is a first step toward mitigating capture risks. Use Tool 1c: Red Flags to Assess and Monitor Capture Risks to effectively implement a process for assessing capture risks.

For completion, establish appropriate mechanisms for managing residual finances and assets from the initiative.
When renewing or upscaling, initiatives may also consider (a) undertaking activities under Phase 1 to understand the continued need for the WSI given current realities, and (b) undertaking an integrity risk assessment to ensure that integrity management is embedded in the WSI’s ongoing implementation.


Other Applicable Tools

Tool 1a: WSI Integrity Risk Assessment The purpose of carrying out a risk assessment is to enable the WSI to take the measures necessary to ensure high levels of integrity among its individual participants, for the governance and management of the initiative, and for its relationship with the broader context and environment. Understanding which integrity risks are most likely and most hazardous provides the basis to manage integrity systematically. This is key to avoiding potential policy capture and credibility issues for the WSI partners, and can help maximize value for money, longevity, and positive impact for the environment and society. An integrity risk assessment may be carried out at any stage in a WSI, though it will be most beneficial at the outset.

Tool 1b: Facilitator’s Guide for Participatory Integrity Risk Management Exercises Participatory integrity risk management exercises are meant to initiate a change process with participants to jointly enhance the WSI’s integrity. In existing WSIs that have not yet followed an explicit integrity management approach, these exercises can serve as a starting point to align the WSI with the Integrity Management Guidelines. The sequence of exercises is meant to facilitate a step-wise process to identify the key activities and the supporting tools that enhance the initiative’s integrity most effectively. To use time effectively, exercises should be combined and adapted to include other risks a WSI may be facing, and should be embedded into the overall management approach of the initiative. In WSIs that have integrated systematic risk management from the planning phase, the exercises serve to take stock, refine, and complement the measures put in place, to plan next steps, and to further sensitize participants.

Tool 2: WSI Model — A Template to Describe the Logic of WSIs The WSI model provides a structure through which WSI participants can discuss and agree on key aspects of the WSI in simple terms, establishing a shared understanding among all participants. Doing so helps create transparency and provides key information for an analysis of the most salient integrity risks the WSI may face. Beyond this, the WSI model helps to clarify the theory of change of the initiative. The WSI model can and should be reviewed and updated throughout the project life cycle.

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