Tool 1b: Facilitator’s Guide for Participatory Integrity Risk Management Exercises

 

Quick reference

Tool Guidance for the facilitation of a sequence of integrity management exercises for WSI participants to jointly assess context and related integrity risks, and to agree on measures to ensure the initiative’s integrity.
Related Key Activity The exercises should be embedded into the regular consultations and management activities of a WSI and can be used to share the integrity risk assessment.
Purpose Initiate a change process with participants to jointly enhance the WSI’s integrity:

  • Identify integrity risks that are most relevant to a given WSI, given its scope and context.
  • Develop a workplan that specifies how activities that are most relevant at a given stage of a WSI will be implemented.
Possible Users WSI participants and where feasible affected stakeholders.
Level of Effort Included in a larger management workshop or selected exercises, and integrated into subsequent regular working meetings of the WSI.
WSI Phase 2: Formalization, and 3: Implementation.

 

Guidance for implementation

The six integrity risk management exercises are interlinked, which should be taken into account when implementing them over the course of several working sessions. The introduction to integrity management for WSIs (Exercise 1) and the development of the WSI Model (Exercise 2) can be implemented as stand-alone activities that raise awareness about integrity risks and that structure information on the WSI’s theory of change inclusively and transparently. If there exists a well-structured description of the WSI’s logic, participants can combine their efforts to prioritize integrity risk areas (Exercise 3) and further analyze the risks using the related guiding questions (Exercise 4). Identifying key activities to enhance the WSI’s impact and integrity (Exercise 5) and developing a road map for action (Exercise 6) build on the results of previous exercises.

The sequence of these exercises is summarized below, highlighting their purpose and scope.
Tool1bDiagram
Tool1b2Diagram

Supporting Guidance

Participatory integrity risk management exercises are meant to initiate a change process in which participants jointly enhance the WSI’s integrity. In existing WSIs that have not yet followed an explicit integrity management approach, the following exercises can serve as a starting point to align the WSI with these 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. For 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, plan next steps, and further sensitize participants.

Ideally these integrity risk management exercises would be included in a larger management workshop. In case a comprehensive risk assessment (Tool 1a) has been carried out, the results can be shared in Exercise 3 and provide guidance for the subsequent exercises. Where this approach is not feasible, individual exercises can be integrated into regular working meetings of the WSI.

The exercises should ideally involve all the active participants of a WSI. Wherever possible, the integrity management exercises can further be used to engage and understand critiques and other affected stakeholders. As ensuring integrity in WSIs is closely linked to the overall development of such initiatives (i.e., how they are managed and governed), it is recommended to describe the logic of a WSI using the Tool 2: WSI Model, and to use this description as a central reference point throughout the subsequent exercises. The outcome of the exercises is a workplan that specifies how the most relevant activities will be implemented, how they will enhance the integrity and impact of the WSI, and which risks will be addressed. The tool comes with a set of facilitation materials, developed to convey the content of these guidelines and to enable effective learning with a diverse group of participants (see the Overview at the end of this Facilitator’s Guide). To analyze other risks a WSI may be confronted with, these materials should be complemented and adapted on a case-by-case basis.

Taking into account that collective action works on the basis of cooperation and not hierarchy, the sequence of exercises combines several methodological approaches to provide for dialogue and consensus rather than hierarchical orders. It enables WSI managers and facilitators to tap into the knowledge of the participants and jointly develop appropriate solutions for the local context. At the same time, such a process increases awareness of why integrity is crucial to collective action and helps build the trust needed among participants to effectively tackle shared water challenges.

 

Exercise Name By the end of this exercise, participants will: Downloads
Exercise 1: Introduction of Integrity Risk Management for WSIs
  • Know the scope and objectives of the integrity management workshop.
  • Have a common understanding of what is meant by integrity in WSIs.
Exercise 2: Developing the WSI Model
  • Have developed a WSI Model for their initiative from their collective viewpoint.
  • Have a clear understanding of the ten building blocks of their WSI and how it creates, delivers, and captures value.
Exercise 3: Prioritizing Integrity Risk Areas
  • Be aware of key integrity risk areas for their WSI and their different levels of impact.
  • Have identified, prioritized, and documented integrity risks particular to their WSI.

Practical Tip: If an integrity risk assessment has already been carried out, this exercise can simply be used to present it and review with the participants whether there have been changes. Depending on how detailed the assessment is, one may even combine Exercises 3 and 4 in this discussion.

Exercise 4: Assessing Strengths and Weaknesses
  • Have a joint understanding of their WSI’s strengths and weaknesses related to the most important risk areas and guiding questions.
  • Have documented the status of integrity and will have mapped strengths and weaknesses in the priority risk areas of the initiative.
Exercise 5: Selecting Key Activities
  • Have identified key activities to enhance the impact and integrity of their WSI.
  • Have analyzed how the key activities improve their WSI Model.
Exercise 6: Developing a Road Map for Integrity Management
  • Have a jointly established action plan and timeline for the implementation of the most relevant key activities.
  • Understand the link between the key activities and the operating principles.

Follow Up

After having attended the management workshop or completing individual exercises, participants need to implement the measures chosen. The implementation phase is the longest and most difficult step of the whole integrity risk management process. Depending on the complexity of the measures, this phase can take anything from six months to a year (or even longer). It is very important to create ownership and leadership to ensure that the implementation process is successful. It is therefore important that responsibilities for each measure have been clearly assigned, and that a focal person (e.g., the WSI manager, coordinator, or another WSI participant) for the integrity risk management process is established.

An integrity risk management focal person shall lead the implementation process along the road map that has been jointly developed by the WSI participants in Exercise 6. In doing so the focal person should identify support needs among WSI participants who are responsible for the implementation of key activities. The focal person should further communicate with those responsible for the implementation of activities to regularly agree on the next implementation steps and communicate outcomes to other WSI participants.

Unexpected difficulties can arise, and resistance from different levels may affect progress and the overall implementation of key activities. A sound understanding of why activities were completed, and why certain milestones were not met, is crucial for a successful integrity risk management process. The focal person should therefore receive adequate support (for example, from the neutral WSI facilitator or from an external coach) to reflect on the implementation process. Note that the primary objective of the support function is not to control the focal person but rather to ensure a successful process that leads to integrity assurance for the WSI.

Overview of Facilitation Materials
A set of facilitation materials is provided to support the implementation of an integrity management workshop for WSIs. These materials are available upon request from the Water Integrity Network, the CEO Water Mandate, and GIZ, and include:

Presentations (linked above in exercises):

  • Introduction of the WSI Model
  • Presentation on the same hat approach
  • Introduction of the stages of a WSI life cycle

Color cards (PDF files):

  • Integrity risk areas on the front and related guiding questions on the back
  • Guiding questions on the front and related instruments on the back
  • Operating principles

Hand-outs for participants (PDF files):

  • WSI Model explanation sheet
  • Score sheet for integrity risk areas
  • Score/Answer sheet for the guiding questions for each risk area

The following templates should also be prepared for the workshop:

  • WSI Model template
  • Risk matrix template
  • Vertical scale from 1 to 4
  • Template for the timeline and life cycle of a WSI

 

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