11A Performance Report of Kenya’s Water Services Sector - 2015/16 and 2016/17

CONSUMER ENGAGEMENT GUIDELINE

REVISED

2018

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Table of Contents

1. Introduction

1.1. Purpose of the Guideline

2. Framework of Consumer Engagement

2.1.DefinitionandScopeofConsumerEngagement

2.2.Objectives,LevelsandPrinciplesofConsumerEngagement

2.3.ApproachtoConsumerEngagement

3. Roles and Responsibilities in Consumer Engagement and Complaints Handling

3.1.WaterActionGroups

3.2.WaterServiceProviders

3.3.WaterServicesRegulatoryBoard

3.4.CivilSocietyOrganisations

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BoD

CBO

CE

CEO

CSO

FGD

HR

SPA

MD

MWS

MWSRs

NGO

WAB

WAG

WARIS

WASREB

WSI

WSP

WSS

WSSP

BoardofDirectors

CommunityBasedOrganization

ConsumerEngagement

ChiefExecutiveOfficer

CivilSocietyOrganization

FocusGroupDiscussion

HumanRight

ServiceProvisionAgreement

ManagingDirector

MinistryofWaterandSanitation

ModelWaterServicesRegulations

Non-governmentalOrganization

WaterAppealBoard

WaterActionGroup

WaterRegulationInformationSystem

WaterServicesRegulatoryBoard

WaterSectorInstitution

WaterServiceProvider

WaterSupplyandSanitation

WaterSectorStrategicPlan(2010-2015)

ACRONYMS

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1. INTRODUCTION

TheWaterServicesRegulatoryBoard (Wasreb) isastatutorybodychargedwith the responsibilityoflicensingWaterServiceProviders(WSPs),settingstandardsandenforcingrulesthatguidethesectortowardsensuringthatconsumersareprotectedandhaveaccesstoefficient,affordableandsustainablewaterservices.PartofWasreb’smandateentailssettinglicenseconditions,monitoringtheperformanceofWSPsandenforcinglicenseconditionsassetoutinWaterAct2016.

TheUnitedNationsSustainableDevelopmentGoal6aimsforequitableanduniversalaccesstosafeandaffordabledrinkingwaterandsanitationforallbytheyear2030.WasrebastheregulatorofwaterserviceshasamandatetoensurethatthisgoalisachievedinrelationtoprovisionofwaterandsanitationservicesinKenya.

1.1 Legal Framework

WiththerecognitionofthehumanrighttowaterandsanitationintheBillofRights(Article43)ofthe ConstitutionKenya2010,ithasbecomeaconstitutionaldutyforstateactors–asdutybearers–to actandreportontherespect,fulfilmentandprotectionoftheright.Wasrebinparticularistherefore taskedtoreinforceeffortsinpromotingandmonitoringitsprogressiverealization.

Thehumanrighttowaterandsanitation:

• Entitleseverypersontoaccesssufficient,safe,acceptable,physicallyaccessibleandaffordable waterfordomesticpurposesaswellasreasonablestandardsofsanitation • Entailsapplyinghumanrightsprinciplesofnon-discriminationandequality,participationand empowermentaswellastransparencyandaccountabilityinwatersupplyandsanitation(WSS) services. Furthermore,theConstitutionofKenya(2010)entitlesconsumerstoservicesofareasonablequality inArticle46.Consumershavetheright

(a)Togoodsandservicesofreasonablequality; (b)Totheinformationnecessaryforthemtogainfullbenefitfromgoodsandservices; (c)Totheprotectionoftheirhealth,safety,andeconomicinterests;and (d)Tocompensationforlossorinjuryarisingfromdefectsingoodsorservices.

Publicparticipation in relation to theprovisionofservicesand its importance indecisionmaking is alsohighlyemphasizedintheConstitution.AccordingtoArticle10(2)a,b,coftheCoK(2010),the national values and principles of governance include democracy and participation of the people, good governance, inclusiveness, integrity , transparency and accountability.Article 174 (c) of the CoK2010furtherstatesthattheobjectsofdevolutionare:togivepowersofself-governance to the people and enhance their participation in the exercise of such powers in decision-making. Additionally, public participation should respect the freedom of expression of all participants as outlinedinArticle33.

Wasrebacknowledgestheneedforstrengtheningparticipationandempowermentofconsumersof WSSservicesinrealizingtheirrights.ThisGuidelinethereforehastheobjectivetoguaranteetherights

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of consumers by enabling them to effectively engage in the services provided by their Water ServiceProviders(WSPs).Thisinvolvesinformationprovisionbywatersectorinstitutions(WSIs)to consumers,formalizedconsultationandparticipationofconsumersinserviceprovisionaswellas effectivedocumentationandhandlingofconsumercomplaints.

TheWaterAct2016,Section72,mandatesWasrebto:

(j)Establishamechanismforhandlingcomplaintsfromconsumersregardingthequalityornature ofwaterservices; (k)Developguidelinesontheestablishmentofconsumergroupsandfacilitatetheirestablishment; TheobjectiveisalsoanchoredintheWaterSectorStrategicPlan2010-2015(WSSP),which

• states that “Regulation ofwater and sanitation service provision has to strive to enforce the participationofwaterusersandtheunderservedcitizensthroughWaterActionGroups(WAGs) andpromotionofgoodcorporategovernance”(p.17) • emphasizes that the human right to water and sanitation can only be ensured with the empowerment of consumers through the establishment of consumer groups and increased coverageintheurbansettingwithformalisedserviceprovision(p.21) • identifies,enlarges,supportsandcapacitatesWAGsinallmajortownsasakeyactivityforthe promotionofthehumanrighttowaterandsanitationunderthestrategicobjectiveto“promote goodgovernance...”(StrategicObjective2;p.55).

The WSSP recognizes that consumer participation does not only refer to customers that are actuallyservedbyaformalWSPbutalsotounderservedcitizens,mainlyinlow-incomeurbanareas. Effectively,thismeansthatconsumers,asrightholders,comprisecustomersbutalsothe underserved.Thesameapproachhasbeenadoptedinthisguideline,inlinewiththehumanrights principleofnon-discrimination. TheRegulatoryBoardwill apply thisguidelinewhenmonitoringand reportingon theperformance ofWSPs.WSPsmustfollowthisguidelinewhenplanningforandexecutingtheiroperations,when reportingtoWasrebandtothepublicaswellaswhensubmittingtariffadjustmentapplicationsfor considerationbytheRegulatoryBoard.CompliancewiththisguidelineisaconditionoftheLicence fortheprovisionofwaterservices,aswellastheServiceProvisionAgreement(SPA)approvedby Wasreb.

1.2. Purpose of the Guideline

ThisguidelineshallbeappliedbyWSPstoassisttheminmeetingtheirobjectivesinservicedelivery andimprovingtheirconsumerorientation.Itshall:

a.ReaffirmandexpandonprovisionsoftheLicenseandSPAinrespecttoconsumerinformation, consultationandparticipationaswellasrecourse b. Establish new requirements and procedures for and set out Wasreb’s approach to consumer engagement c.Institutionalizeconsumerparticipation,goingbeyondthead-hocinvolvementofconsumers,e.g. throughcivilsocietyorganizations(CSOs).

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2. FRAMEWORK OF CONSUMER ENGAGEMENT

2.1. Definition and Scope of Consumer Engagement

The term “consumer engagement” refers to rules, instruments and processes that define the involvement of consumers in matters relating to the provision of water and sanitation services byWSPs.Theterm“consumer”refersbothtocustomerswhoarealreadyprovidedwithformalised WSS services – i.e. they have a customer contract with a Water Service Provider or receive servicesthroughformalpublicstandpostsoryardtaps–aswellastounderservedcitizenswhoare notyetreceivingformalisedWSSservices.Thetermencompassesthreedifferenttypesofconsumers: domestic consumers, commercial consumers and institutional consumers. It is acknowledged that consumersarenotahomogeneousgroupbutaremadeupofmenandwomenofdifferentages, socioeconomicstatuses,ethnicities,religions,needsandabilities.

2.2. Objectives, Levels and Principles of Consumer Engagement

In alignment with the principles of the human right to water and sanitation, the objectives of consumerengagementunderthisguidelineareto:

a.Give a voice to all consumers:EnhancingtheresponsivenessofWSIstoconsumerdemands (especiallywithregardtotheequitableallocationofinvestments/accesstoservices)and improvingsocialaccountabilityofWSIs b.Strengthen access to information and disclosure of information on WSS services: Increasing transparency in the sector and enhancing public awareness on the rights and obligationsofconsumersandWSIs c.Enhance the regulation and monitoring of WSS services:Strengtheningthecapabilityof oversightbodiestoenforcecontractualobligationsandservicestandards d. Advance utility-consumer relations and build trust:ImprovingtheimageofWSPs (especiallyinlow-incomeareas),reducingillegalconnectionsandvandalism,increasingthe willingnesstopay,anddevelopingrealisticexpectationsbyconsumers e. Improve the consumer orientation of WSS services: AligningWSStotheneedsofconsumers andincreasingtheefficiencyofservicedelivery.

Engagement of consumers under this guideline comprises four levels of involvementwith varying degreesofinfluenceonWSSservicesdeliveryanddecision-making:

a.Provisionofinformationonrequestoratregularintervals(e.g.throughbills,publicmeetings, massmedia)relatestoone-waycommunicationfromWSIstoindividualconsumers,thepublic andcommunitiesatlarge b. Consultationreferstoatwo-waydialoguebetweenWSIsandconsumers,inordertochannel andrespondtofeedbackfromthegrassrootsleveltoWSIs c.FormalizedparticipationmeansthatWSIsinvolveconsumerrepresentativesindecision making,implementationandmonitoring d. Recourse/redressmechanismsensurethatconsumersobtainanappropriateresponse to/resolutionoftheircomplaints.

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2.3. Approach to Consumer Engagement

Wasreb recognizes that informedcitizensandavibrantcivil societyareaprerequisite toensuring thatWSSservices fulfilconsumer rightsand respond to theirneeds.TheWaterAct2016,sets the new framework uponwhichWasrebwill exercise itsmandate of consumer protection. Section 72 requires Wasreb to: (j) establish mechanism for handling complaints from consumers regarding the quality or nature of water services (h) develop guidelines on the establishment of consumer groupsandfacilitatetheirestablishment.

Infulfilmentofthismandate,Wasreb’sapproachtoconsumerengagementisbuiltonthefollowing pillars:

a. Consumer participation through Water Action Groups:Civil society plays an important role as watchdogs and whistle blowers in the sector in order to improve governance in WSS services.Hence,WasrebwillpartnerwithNGOsandCBOs tocomplement its involvementwith consumersandfurtherraisetheirvoiceinamorepermanentandsustainedmanneracrosstheCounties. Wasreb shall adopt a mechanism of engagement with autonomous consumer groups that are registeredasCommunityBasedOrganizationsandareactivelyinvolvedinwaterissuesatthe Countylevel.TheselectedCBOsshallbereferredtoasWaterActionGroupsandshallbeused toeffectivelyempowerconsumersthroughfeedbacktoserviceproviders,aswellas,dialogueand informationdisseminationtoconsumersatthegrassrootslevel.

Thisguidelinewill outline theprocedures forestablishmentand rulesofengagementbetween the WaterActionGroups,WSIsandcivilsociety.

b.The strengthening of access to information: Consumers have a legitimate interest in information,asitensurestransparencyinthesectorandempowersthemtoholdWSIstoaccountand to engage in effective dialogue. Chapter four of the CoK (2010) under the bill of rights statesthateverycitizenhastherightofaccesstoinformationheldbytheStateandthattheStateshall publishandpubliciseanyimportantinformationaffectingthenation.Therefore,WSPsastheduty bearersshallmakeinformationavailabletothepublicinatimelyanduserfriendlymanner. Typesofinformationthathavetobedisclosedinclude:

i.Contactdetailsandopeningtimesofcustomerservicecentres ii.ProfileandcontactdetailsofWaterActionGroups iii.Waterquality,tariffs,serviceinterruptionsandwatershortages iv.Servicestandards,rightsandobligationsofconsumersi.e.ServiceChartersandcomplaints procedures v.ServiceProvisionAgreements vi.Resultsofcustomersatisfactionsurveys vii.Publishedannualreport viii.CompositionoftheBoardofDirectors ix.Investments

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InformationshallbeprovidedbyWSIs,whereapplicablesupportedbyWAGs,throughthefollowing channels:

i. Website ii.MassMedia iii.Customerservicecentresandbill iv.Communityoutreachandpublicawarenessactivities v.AnnualReportsofWSPs

c. The strengthening of consultation and participation of consumers: WSPs shall enable consumerconsultationandparticipationtoensurethatfeedbackinformstheplanning,provisionand monitoring of services.Consumer consultation shall ensure that general sector development is demandresponsive.

ConsultationandparticipationofconsumersthroughWSPsshallbeenabledthroughthefollowing instruments,whereapplicable,assistedbyWAGs: i. FocusGroupDiscussions ii. CommunityForumsandPublicForums iii.PublicHearings iv.PublicConsultationsonTariffAdjustment v. CustomerSatisfactionSurveys vi.AnnualConsumerSummit vii.AnnualGeneralMeeting(AGM)ofWSPs viii.ConsumerMembershiponBoardsofDirectors(BoDs)ofWSPs.

d. The establishment of an effective complaints mechanism and procedure: Consumers havetherighttodemandthefulfilmentofminimumservicestandardsfromWSPsandithastobe assured that their complaints are effectively and promptly addressed. Hence, this Guideline definesa formalmechanism and procedure for the follow-up of unresolved and long standing complaintsthroughWaterActionGroups.

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3. ROLES AND RESPONSIBILITIES IN CONSUMER ENGAGEMENT

InalignmentwiththeWaterAct2016andkeyregulatoryinstrumentssuchaslicences,SPAsandguide-linesissuedbytheRegulator,theconsumerengagementframeworkadoptedinthisguidelinereaffirmsandselectivelywidenstherolesandresponsibilitiesofWSPsandCivilSocietyOrganisationsrelatingtoconsumerengagement.TheWaterActionGroups,acomponentofCivilSociety,isakeyplayerincon-sumerengagementandcomplainthandling.

3.1. Water Action Group

Water Action Groups (WAGs) play a key role in consumer engagement and participation as a facilitating function in terms of bottom-up consumer feedback and top-down consumer information,therebyassistingservicedeliveryimprovement.Theyderivetheirmandatedirectlyfromthe Regulator and operatewithin the existing regulatory framework, in alignment to sector legislation, policiesandprescribedtermsasagreeduponwithWasrebthroughaMemorandumofUnderstanding.

TheroleofWAGsintheinstitutionalframeworkforWSSservicesisdepictedbelow.

Fig 3.1: Institutional Framework for WSS services

3.1.1. Responsibilities in Information Provision

WaterActionGroupswill:

a.Supportconsumer access to information.Thismayentailfacilitatinginformationprovision throughinterpersonal,printorelectronicmediaaspartoftheirproposedactivities

b.Undertake,inconjunctionwithWSPs,community outreach and public awarenessactivities withtheaimofimprovingutility-consumerrelationsandreversingthenegativeimageof WSPsamongstdeprivedconsumersandviceversa.Thisisbymeansofbarazas/publicinformation meetings,communitydrama/theatre,roadshows,exhibitions,massmedia(radioprogrammes), educationalsessions,anddoor-to-doorvisits

c.Sendrepresentativestoparticipateinconsultative and information meetingsconvenedby WSPs,Countygovernments,CivilSocietyandWasreb,togatherinformationforonward disseminationtoconsumers.

License

Services ProvisionAgreement (SPA)

Services ProvisionRules

Water Services Regulatory Board

Water Services Providers

Consumers

Upwardfeedback/Engagement/

ComplainsResolution/Sensitization

Water Action Groups

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3.1.2. Responsibilities in Consumer Consultation and Participation

WaterActionGroupswill:

a.Togetherwiththerespectivefocalpersons,convenepublic hearingstofacilitatethedialogue between WSP representatives and consumers on issues related to WSS services. More particularly, public hearings serve to enable consumers to put forward complaints to therespectiveWSPandallowthelattertorespond.Thisinvolves,inter alia: i. Mobilisingstakeholders,Facilitatinganddocumentingtheresultsofpublichearingsand submittingthesametotherespectiveWSPs,Wasrebandthepublic ii. FollowinguptheimplementationofthecommitmentsmadebytherespectiveWSPs b.Mobilizestakeholdersandconductfocus group discussions (FGDs)togatherin-depthcitizen feedback on perceptions, preferences and ideas on water and sanitation services in the community. WAGsdocumentresultsandemergingissuesofFGDsandcollectcomplaints/issuesof individualconsumerstoberaisedduringpublichearingswithWSPrepresentatives c.Participate/engageincommunity forums (barazas),calledbycommunityleaders,toaddress consumersonWSSservices.Theywillalsoreceiveconsumerfeedback,createconsumer awarenessandsupportWSPsinmakingin-roadsintoareaspreviouslyinaccessibletothem d.Engageinpublic consultations on tariff adjustmentsoranyotherConsultation meetings /forums convenedbyWSPs/orWasreb. f.Makingfunding proposalstoWasrebsubmittingperiodicreportsontheirimplementation.

3.1.3. Responsibilities in Consumer Complaints Handling and Follow-up

WAGs ensure that where WSPs do not adequately fulfil their role with respect to consumer complaintsresolution,theyareheldaccountable.However,theyarenottheprimaryentrypoint forcomplaintsbutdealwithcomplaintsthatarenotattendedtoadequatelyandthereforeremain unresolved. The WAGs shall primarily deal with complaints raised during their engagement activities.Byforwardingandfollowinguponconsumerfeedbackandconcerns,theyalsomakesure that consumer interests are taken into account by WSPs. To achieve swift resolution of complaints,WAGsshall:

a.Followuponcomplaintsraisedduringtheengagementactivitiesandincludeinthereviewand operationalreports b.AnalyseunresolvedcomplaintstoWasrebaspartoftheWAG’squarterlyoperationalreports, detailingthecomplaintsandfeedbackonWSSservices

3.2. Water Service Providers

WaterServiceProvidersareexpectedtoregularlyinformandinteractwithconsumersintheirservice areaonservicequalityandaccess,withsupport fromtheWAGs,whereapplicable.WSPshavea responsibilitytoswiftlyresolveconsumercomplaints.

3.2.1. Responsibilities in Information Provision

WaterServiceProvidersshall:

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a. Provide easy access to information such as tariffs, water quality, service interruptions, minimum service levels, consumer complaints procedure, customer satisfaction (customer satisfaction survey) and, where applicable, contact details of the local WAG through outlets and media that are easily accessible and in a format which enables the public to understand.Outlets/media include but are not limited to payment points and field offices, signageinpublicareas,callcentres,uptodatewebsiteandprintmedia(brochures,posters, leaflets,massmedia) b. Maintain a customer service centre with qualified staff for the purpose of addressing and resolvingconsumerapplications,consumerservicerequestsandcomplaintsinapermanentway c. Issue at minimum one consumer bill per month in a simple, easy-to-read format to each consumer, containing all key information as specified in MWSRs VI, and provide a breakdownofchargesonrequest d.Implementcommunityoutreachandpublicawarenessactivities(whereapplicablewith supportfromtherespectiveWAG)tobuildtrustandraisethepublicunderstandingoftheservices provided.Thisshallbedonethroughbarazas/publicinformationmeetings,massmedia,socialmedia, educationalsessions,massmessaging(SMSbroadcasts)anddoor-to-doorvisits e. Publish (in print and on their website) a summary of theirAnnual Report to the Regulatory Board, informing the public and stakeholders on their financial performance as well as performance in meeting service obligations. The summary shall contain an overview of consumer engagement activities and outcomes aswell as of consumer complaints received andresolved.Itshallbemadeavailableinatimelymannertothepublic f.SharecomplaintsandservicedeliveryrelatedinformationwithWAGrepresentatives,wherea WAGoperatesintheserviceareaoftheWSP.

3.2.2. Responsibilities in Consumer Consultation and Participation

WaterServiceProvidersshall:

a.Initiate community forums (where applicable with support from the respective WAG) and participate in religious or social forums on a needs basis to discuss with consumers and receivetheirfeedbackonserviceissuesandtomakein-roadsintopreviouslyinaccessibleareas b.As part of a Tariff Adjustment Procedure and in line with the Tariff Guideline and the GuidelinesonPublicConsultationforTariffApprovalProcess,initiateaPublic Consultation on Tariff Adjustmenttoenablestakeholderstoprovidetheirviewsonthesameandseekclarifications sothat these canbe taken into account in theadjustment process.WhereaWAGoperates in theservicearea, theWAGwillbe invited toparticipate in theconsultationand to facilitate adequaterepresentationofacrosssectionofconsumers c.Conductacustomer satisfaction surveyevery twoyears.Determineappropriateactions to respondtoconsumerconcernsthencommunicatetheseactionstoWasreb d. Hold Annual General Meeting for their shareholders, appointed in line with the Corporate GovernanceGuideline e.WhereaWAGoperatesintheserviceareaofaWSP,thelattershall,togetherwiththeWAG, convenepublichearingsnolessthantwiceayearand,iffeasible,onaquarterlybasis.These areorganizedbytherespectiveWAGinordertoallowtheWSPto: i. Respond to consumer complaints and concerns, collected by theWAG in advance of the hearing,inaformalizedframeworkandtogainbetterunderstandingofconsumers’needsand demands

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ii. Maketime-boundcommitmentsfortheresolutionofcomplaintsraised iii.Respondtomattersarisingduringthemeetingandagreeonawayforward. f.ParticipateintheannualConsumerSummitconvenedbyWasrebandinvolvingallWSPs,civil society,Countyrepresentativesandotherstakeholders g.InviteWAGrepresentativestoconsultativemeetings/events.

3.2.3. Responsibilities in Consumer Complaints Resolution

TheWaterServiceProvideristheprimaryentrypointforconsumercomplaints.Thismeansthat adequate procedures, instruments (such as customer service centres, complaint registers), organizationalstructuresandatleastonetrainedanddedicatedCustomerComplaintsOfficer havetobeinplace.Thiswill:

• Allowtheconsumereasyaccesstoinformationandrecourseand • EnabletheWSPtotakeupandeffectivelydealwithcomplaintstorecordandannuallyreport totheRegulatoryBoardoncomplaintsreceivedandtoresolvedisputeswithconsumers.

Inimplementingmeasuresforconsumercomplaintshandling,consumercompensation andhandlingofconsumerdisputesaswellasinexecutingthesemeasures(responsetimesto consumerrequestsandcomplaints,paymentofcompensationsetc.)WSPhavetofollow theprovisionsofSPAandMWSRs(X,XV,XVI). Towarranteffectiveresolutionofcomplaints,WSPsshall:

a.Enterintoacustomercontractwitheachofitscustomers.Thecontractneedstobeinlinewith Wasreb’sGuidelinesand,whereavailable,theModelCustomerContractapprovedbyWasreb b.Adoptanelectroniccomplaintsregister/systemforthepurposesofrecordkeeping,swiftretrieval andfollowupofcustomercomplaints. c.Develop,publish(inprintandontheirwebsite)andpubliclydisplayatailor-madeservicecharter, specifyingservicestandards,andrightsandobligationsofconsumers.Thisincludesexplaining toconsumerswheretofindinformationonservices,howtoprovidefeedbackandfilecomplaints, andhowthesewillbeaddressed d.Be fully responsible for the services delivered through communal water points operated under their management This implies that a consumer who obtains a service through a WSP-run communal water point, even if without a customer contract per se, enters into a contractualrelationshipwiththeWSP,includingconsumerrightsandobligations e.WhereaWAGoperatesintheserviceareaofaWSP,thelattershall: i. ProvidetheCustomerRelations/ServiceManagerasthemaincontactpersonforWAGs ii. SwiftlyattendtoandactonconsumercomplaintsforwardedbytheWAG. f. Attend all meetings betweenWAGs and stakeholders for which a formal invitation must be donebyWAGs.PaycompensationtoconsumersasorderedbyWasreb{SPA12.7(d)}.

3.3. Water Services Regulatory Board

The role of the Water Services Regulatory Board in relation to consumer engagement is of a coordinativeandsupervisorynatureandgenerallyrelatestotheprotectionofconsumerinterests.

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3.3.1. Role in Information Provision

Wasreb ismandatedby theWaterAct2016 togather,maintainanddisseminate informationon waterservicesandtomonitorsectorperformance.TheBoard: a.Providesaccesstoinformationthroughmediathatareaccessibleandinaformatthatiseasily understandable. This includes the website and print media (reports, brochures, posters, andfliers) b.PublishestheannualSectorPerformanceReport(ImpactReport)ontheperformanceofWSPs and counties. This helps inform consumers and other stakeholders on developments and progress in the sector. The report provides comparative information on the quality of servicesandpromotescompetitionamongWSPsandcountiesinthesector c.SharesgeneralinformationonsectorstructureanddevelopmentswithWAGs.

3.3.2. Role in Consumer Consultation and Participation

TheWaterServicesRegulatoryBoardshall: a.InviteCBOsinterestedinworkingonconsumerengagementactivitiestosubmitproposalswith activitiesforfunding.Approvalofproposalsreceivedshalldependontheappropriatenessof activitiestothewatersectorandthecapacityfortheCBOtocarryoutproposedactivities. TherelationshipbetweenWasrebandtheCBOwillbecontinuedorterminatedbasedonthe CBOsperformance.Thus,approvalforsubsequentproposalswillbebasedondeliveryinthe previousphase b.Conveneanannualstakeholderforumwhereconsumerissueswillbeaddressed c.OrganisecapacitybuildingprogramsforWAGs d.MonitorandEvaluate:WasrebwillreceivereportsfromtheCBOsontheiractivitiesquarterly. FieldvisitswillalsobeconductedtoattendthemeetingsconvenedbytheWAGs. A structured timetable ofwhen theactivitieswill takeplacewill be developedand shared to ensuretheparticipationofWasreb,WSPs,CountyGovernmentandotherstakeholdersinthe watersector. e.FundthefocalCBOsselectedbasedontheirfundingproposals.TheCBOs,willhowever,have theautonomytosourceforfundingfromotherpartners,whileensuringthisdoesnotconflict withthemandateofWasrebspeltoutintheMOU.

3.3.3. Role in Consumer Complaints Resolution

TheWaterServicesRegulatoryBoard: a.Establishes rules and procedures for handling consumer complaints relating to service obligationsofWSPs.Wasrebalsoprovidesadviceontheapplicationoftheseproceduresand monitorstheiroperationinaccordancewiththeWaterAct2016. b.ImposeapenaltyfeewheretheWSPfailstoinvestigate,mediateandtakeactiononoverdue consumerrelatedcomplaintsforwardedbytheWAGandobligetheWSPtobearthecostof investigatingthecomplaint. c.DefineminimumrequirementsforanElectronicComplaintsManagementSystemthatcanbe adoptedbyutilitiesinKenya.

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3.4. Civil Society Organisations

Civil society has been widely recognized as an essential ‘third’ sector, most importantly for its advocacy role as regards good governance tenets like transparency, responsiveness and accountability inservicedeliveryand for itsability tobring topublicattentionenvironmental,social andcommunityconcerns. Wasreb considers the role of CSOs (NGOs, CBOs) in consumer engagement to be of a mediatingandsupportingnatureandcomplementarytotheformal-institutionalapproachtakenbythe WaterActionGroups.CivilSocietyOrganisations:

a.Directlyengageinawareness/sensitisationactivitiesatgrassrootslevel b.Mobilizecitizensandcommunitieswithintheirparticipatory,structuresandmakeuseoftheir conveningpower c.Articulateconsumerinterestsintheengagementprocessonlocalandnationallevels d.Encouragecitizenstomakeuseofavailableredress/recoursemechanisms e.PromotesocialaccountabilityofWSIs f.Conductindependentsurveysonconsumerviews/perceptionsandmakefindingsknowntothe relevantstakeholders g.AssistinmonitoringcomplianceofWSIswithprovisionsoninformationdisclosureandcorporate governance.

Wasreb acknowledges the significant potential for enhancing consumer engagement through systematic collaboration with Civil Society Organisations (CSOs). Core areas for potential collaborationwithCSOsinclude:

i.Buildingpolicyconsensus,disseminatingpolicypositionsandenhancingpublicsupportfor policies ii.Mobilizingparticularconstituents,particularlythevulnerableandmarginalizedtodemand forimproveddeliveryofwaterservicesthroughenhancedparticipation iii.Buildingsocialcapital(associations,contactsnetworksandnormssuchastrustand tolerance)whichstrengthenscooperationbetweenthevariousplayersinthewaterservicessector iv.SupportandcooperatewithWAGsinprovidingfeedbackontheperformanceofWSPs andinimplementingengagementactivities(suchcollaborationissubjecttopriorapproval byWasreb) v. ParticipateinWasreb/WSPorganisedengagementforumsandconsultativeevents vi.EngageinresourcemobilizationtosupporttheestablishmentandcapacitybuildingofWAGsfor sustainedimplementationofWAGsactivities.

Interested CSOs are encouraged to approach Wasreb for partnerships formalized through MemorandumofUnderstandingonspecificareasofcollaborationwherenecessary.WaterAction GroupsfallunderthisgrouphencetheyarerequiredtosignMOUswithWasrebpriortoengaginginany consumerrelatedactivities.

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4. IMPLEMENTATION OF THE GUIDELINE

ThefollowingstepswillguidetheprocessofimplementingthisGuideline:

a. Incorporation of consumer engagement activities

EveryWSPshallincorporateconsumerengagementactivities,objectivesandindicatorsinitsstrategicplans,businessplans(undercustomerservices),andoperationalplansinlinewithresponsibilitiesout-linedinsection3.

i.WSPsshallbudgetforconsumerengagementactivitiesandinstrumentsandprovideevidenceofthesamethroughanapprovedbudgetandexpenditurereportfortheperiodonWARIS.ii.EngagementactivitiesofaWSPthatinvolveWaterActionGroupsoperatingintherespectiveserviceareashallbecommunicatedtoand,ifpossible,coordinatedwiththerespectiveWAG

b. Establishment of Water Action Groups by Wasreb

Wasrebwill progressively establishWAGs in each county andwill introduce them to their respectiveWSPsandCountyGovernmentstoeasetheiroperations.Wasrebmay,collaboratewithotherpartnersincludingCountyGovernments,tobuildthecapacityoftheCBOstoeffectivelydischargetheirconsumerengagementroles.

RecruitmentofWAGmemberswilltakeplaceonacompetitivebasisandaspertheWAGOperationalGuideline.

c. Establishing an Electronic Complaints Management System

WasrebwillprogressivelypushfortheadoptionofICTinservicedeliveryamongtheWSPs.WSPsshallbeexpectedtograduallybudgetforICTequipmentandinfrastructurethatwillfacilitatethetransitionintoanelectroniccomplaintssystem.

d. Monitoring and Enforcement of the Guideline

CompliancetotheconsumerengagementprovisionsunderthisguidelinewillbemonitoredthroughtheWaterRegulationInformationSystem(WARIS),inspections,whereapplicable,WAGsComplaintsReviewReportstoWasreband,whenavailable,anelectroniccomplaintssystem.

WasrebwillmonitortheperformanceofWSPsinresolvingconsumercomplaintsandwillreportannuallytothepubliconthecomplaintsresolutionrateofWSPs.

Non-compliancewiththeguidelinewillresultinenforcementactionsbyWasrebinlinewithitsComplianceandEnforcementStrategy,includingissuingofpenalties,publishingofthedefault,placingaLicenseeorWSPunderaSpecialRegulatoryRegimeandconsiderationofnon-approvaloftariffs.

Water Service Regulatory Board

5th Floor, NHIF Building, Ngong Road

PO Box 41621 - 00100 GPONairobi, Kenya

T. +254 (0) 20 273 3561

E. info@wasreb.go.keI. www.wasreb.go.ke