Capacity building and training approaches for water safety plans: A comprehensive literature review

Strengthening rural community water safety planning in Pacific Island countries: evidence and lessons from Solomon Islands, Vanuatu, and Fiji

Pacific Island Countries (PICs) collectively have the lowest rates of access to safely managed or basic drinking water and sanitation globally. They are also the least urbanised, have dynamic socioeconomic and increasing climate-linked challenges. Community-based water managers need to respond to variability in water availability and quality caused by a range of hazards. Water Safety Planning (WSP), a widely adopted approach to assessing water supply, offers a risk-based approach to mitigating both existing and future hazards. WSP is adaptable, and making modifications to prescribed WSP to adapt it to the local context is common practice. Within the Pacific Community Water Management Plus research project, we used formative research and co-development processes to understand existing local modifications, whether further modifications are required, and, to develop additional modifications to WSP in Fiji, Vanuatu and Solomon Islands. The types of additional local modifications we recommend reflect the unique context of PICs, including adjusting for community management of water supplies and required collective action, community governance systems, levels of social cohesion in communities, and preferred adult-learning pedagogies. Incorporating modifications that address these factors into future WSP will improve the likelihood of sustained and safe community water services in Pacific and similar contexts.

Development of a tool to support operationalising water safety plans: experiences from a national water utility in Ghana

Since their incorporation into the 2004 version of the World Health Organization's (WHO's) Guidelines for Drinking Water Quality (GDWQ), Water Safety Plans (WSPs) continue to be the pre-eminent process for the delivery of safe drinking water to consumers. WSPs achieve this by prioritising proactive, rather than reactive, management of risks to drinking water quality. Since the use of WSPs was incorporated into the GDWQ, a range of supporting resources have been produced to assist water suppliers in preparing WSPs. Producing a robust WSP is an important first step in the management of risk, but in many cases, the implementation of WSPs presents significant challenges, particularly in relation to the implementation of Module 5 (implementing improvements) and Module 6 (monitoring of control measures). To address barriers to WSP implementation, the Ghana Water Company Limited (GWCL), in a peer-to-peer partnership with two Australian water utilities, developed a pilot WSP implementation strategy for one of the company's drinking water supply systems. One of the outputs of the collaboration was the development of a framework for operationalising water safety planning, which incorporates basic guidance for embedding the WSP within routine operations, in order to ensure the safe management of drinking water.

Dual system of water safety plan auditing in Hungary: benefits and lessons learnt

A risk-based approach is recognised worldwide as the most reliable means for the provision of safe drinking water. Efficient implementation of the water safety plan (WSP) approach, recommended by the World Health Organization (WHO), is facilitated by an auditing framework. In Hungary, development of WSPs is a legal obligation for water suppliers. WSPs are subject to a two-stage regulatory audit, a consultative central technical audit and a formal local audit. In 2019, a survey was conducted in cooperation with WHO to evaluate audit experiences of over 1,200 WSPs. Recommendations from the central audit significantly improved coherence and compliance of WSPs, confirming the efficiency of the dual approach. The use of a WSP template provided by the national authority further increased consistency and reduced time and work demand of the audit. Both water suppliers and public health authorities indicated a need for further capacity building on WSP development and auditing. The main challenge for water suppliers is the identification and risk assessment of hazards associated with the water source and distribution within premises. The recast European Union drinking water regulation is expected to accelerate the uptake of WSP and strengthen linkages to water catchment management and water safety in buildings.

lmplementation of a national regulatory framework for drinking water safety plans in Uruguay

The establishment of national strategic frameworks for systematic scaling-up of water safety plans (WSPs) implementation needs to overcome major constraints: lack of legislation and policies, and the need for appropriate monitoring tools. In 2018, the Uruguayan regulator for energy and water services promulgated a regulation intended to ensure an ambitious and pragmatic strategy that supports and promotes WSP implementation and auditing at a national scale. The goal is to have all drinking water supply systems with their WSP implemented by 2030. For this, a demanding schedule was recommended considering the size of the drinking water supplies: (i) large systems serving more than 2,000 inhabitants and (ii) small and very small systems serving fewer than 2,000 inhabitants. A mandatory verification through internal and external audits was also established. This work describes the legal and regulatory framework as well as the challenges and opportunities that open up for the generalization of WSP implementation in Uruguay. Despite the impact of COVID-19 on working conditions for water suppliers, as for the year 2022, WSPs have been successfully implemented in 94 water systems serving more than 2.4 million people. Results of successful implementation and auditing processes are presented and discussed covering methods and outcomes.

Financial, institutional, environmental, technical, and social (FIETS) aspects of water, sanitation, and hygiene conditions in indigenous - rural Indonesia

Background

There is increasing recognition of the complexity underlying WASH conditions in developing countries. This article explores the complexity by assessing the vulnerability of a specific area to poor WASH conditions using a qualitative approach.

Methods

We present our findings for the district of East Sumba in Indonesia. This area is known as one of the poorest regions in Indonesia with inadequate WASH services, indigenous belief that hinder the practice of WASH-related behaviours, and has a high rate of children malnutrition. All the factors that contribute to poor WASH conditions were discussed through the lens of the Financial, Institutional, Environmental, Technological, and Social (FIETS) framework. We then summarised the factors and visualized the “system” using a mind map which shows how factors are interconnected and helps to find the root causes of poor WASH conditions.

Results

There are three main challenges that inhibit the improvement of WASH conditions in this area: inadequate institutional capacity, water scarcity, and poor socio-economic conditions. We found that a village leader is the most important actor who influences the sustainability of WASH services in this area and healthcare workers are influential WASH promoters. This study also shows how culture shapes people’s daily lives and institution performance, and influences the current WASH conditions in East Sumba. The mind map shows there is an overlap and interconnection between FIEST aspects and WASH conditions in the study area.

Conclusion

WASH conditions are influenced by many factors and are often interconnected with each other. Understanding this complexity is necessary to improve WASH conditions and sustain adequate WASH services in developing countries. Finally, WASH interventions have to be considerate of the prevailing cultural practices and should involve multidisciplinary stakeholders.

Supplementary Information

The online version contains supplementary material available at 10.1186/s12889-021-11800-x.

A mixed methods study to evaluate participatory mapping for rural water safety planning in western Kenya

Water safety planning is an approach to ensure safe drinking-water access through comprehensive risk assessment and water supply management from catchment to consumer. However, its uptake remains low in rural areas. Participatory mapping, the process of map creation for resource management by local communities, has yet to be used for rural water safety planning. In this mixed methods study, to evaluate the validity of participatory mapping outputs for rural water safety planning and assess community understanding of water safety, 140 community members in Siaya County, Kenya, attended ten village-level participatory mapping sessions. They mapped drinking-water sources, ranked their safety and mapped potential contamination hazards. Findings were triangulated against a questionnaire survey of 234 households, conducted in parallel. In contrast to source type ranking for international monitoring, workshop participants ranked rainwater's safety above piped water and identified source types such as broken pipes not explicitly recorded in water source typologies often used for formal monitoring. Participatory mapping also highlighted the overlap between livestock grazing areas and household water sources. These findings were corroborated by the household survey and subsequent participatory meetings. However, comparison with household survey data suggested participatory mapping outputs omitted some water sources and landscape-scale contamination hazards, such as open defecation areas or flood-prone areas. In follow-up visits, participant groups ranked remediation of rainwater harvesting systems as the most acceptable intervention to address hazards. We conclude that participatory mapping can complement other established approaches to rural water safety planning by capturing informally managed source use and facilitating community engagement.

Water Safety Plans and HACCP implementation in water utilities around the world: benefits, drawbacks and critical success factors

Drinking water is of paramount importance for people's health. Many outbreaks due to poor water quality are being recorded even nowadays. Although the institutional framework exists at global (e.g., WHO guidelines) and national level, there are still many factors contributing to water contamination. Risk assessment tools, such as HACCP and Water Safety Plans, are being elaborated all over the world to act proactively referring to drinking water quality. The present paper aims at reviewing the implementation status of risk assessment tools around the world and presenting the benefits and the difficulties recorded during the implementation process. The benefits include improved water quality, improved operational efficiency, reduced consumers' complaints, reduced production cost, and reduced potential hazardous incidents. Studying the difficulties, the identification of critical success factors for the implementation of such tools is feasible. Some of the critical success factors include the financial and human resources, staff training, effective identification of critical control points, correct estimation of the occurrence and the severity of the hazards, effective coordination, and efficient monitoring.

Whither regulation, risk and water safety plans? Case studies from Malaysia and from England and Wales

We explore the interplay between preventative risk management and regulatory style for the implementation of water safety plans in Malaysia and in England and Wales, two jurisdictions with distinct philosophies of approach. Semi-structured interviews were conducted with 32 water safety professionals in Malaysia, 23 in England and Wales, supported by 6 Focus Group Discussions (n = 53 participants). A grounded theory approach produced insights on the transition from drinking water quality surveillance to preventative risk management. Themes familiar to this type of regulatory transition emerged, including concerns about compliance policy; overseeing the risk management controls of regulatees with varied competencies and funds available to drive change; and the portfolio of interventions suited to a more facilitative regulatory style. Because the potential harm from waterborne illness is high where pathogen exposures occur, the transition to risk-informed regulation demands mature organisational cultures among water utilities and regulators, and a laser-like focus on ensuring risk management controls are delivered within water supply systems.

Can Security and Safety Education Support Sustainability? Lessons Learned from Poland

The aim of the article is to prove that sustainable development goals can be supported by security and safety education, where security refers to the state of being free from danger or threats and safety applies to creating protection from risks or dangers. This kind of education, which is obligatory in Polish schools, encompasses interdisciplinary knowledge and universal values focusing on improvement of human existence through minimisation of threats. Through the Word Frequency Query, the most intense descriptors of security and safety education were distinguished and fitted within the framework of sustainable development goals. The obtained data were supported with literature analysis identified with relevant keywords in the Web of Science database. It was proved that security and safety education reflects the idea of sustainable development in a variety of aspects. Since common foundations were identified, it could be inferred that teaching security and safety is a great platform for promotion of sustainable development goals. Moreover, in countries where security and safety education is taught as a separate school subject, more cross-disciplinary sustainability issues should be implemented in the curricula and taught with the use of novel strategies and tools.

Interaction of Factors Influencing the Sustainability of Water, Sanitation, and Hygiene (WASH) Services in Rural Indonesia: Evidence from Small Surveys of WASH-Related Stakeholders in Indonesia

It is argued that there are interconnected and dynamic factors that influence the sustainability of water, sanitation, and hygiene (WASH) services in developing countries. Five sustainability factors are often mentioned by literature: financial, institutional, environmental, technical, and social (FIETS) factors. This article aims to understand the interaction of those five sustainability factors in the context of WASH services in Indonesia. A system approach, in the form of a “modified” causal loop diagram, was utilized to analyze this interaction. The strength of influence from one factor to others were obtained from small surveys of 16 WASH practitioners and experts from international and national non-governmental organizations (NGOs) based in Indonesia and national government institutions related to WASH. It was found that institutional factor is the “leverage” factor, i.e., the most influential and least dependent, in the WASH services system in Indonesia. It means that WASH institutional strengthening is necessary to sustain WASH services in Indonesia. Furthermore, the most important feedback loop is social–WASH services. This depicts the importance of the bi-directional effect of WASH services and the social conditions of the community, i.e., the more supportive the community is, the higher the likelihood of the sustainability of WASH services, and then positively influence back the social conditions of the community. Moreover, the relationship between factors varies across context or location. Finally, this paper shows that the sustainability of WASH services involves complex interactions of the sustainability factors and understanding these interactions is critical to sustaining the WASH services or program in rural Indonesia.

Development and implementation of water safety plans for groundwater resources in the southernmost city of West Azerbaijan Province, Iran

The transfer of water from the source to the consumption point is always associated with the possibility of contamination in any of its various components. To resolve this problem, the World Health Organization has considered a water safety plan. The purpose of this study is to implement water safety plan in the water supply system of Bukan city. This study was performed on Bukan's water supply system in 2019-20 using a software to guarantee the quality of the water safety plan and the WHO and IWA guidelines. The software checklists were prepared and after confirming the validity of the translation and its facial and content validity, it was completed based on the records of the Water and Sewerage Company and interviews with experts. Out of a total of 440 points of full-application of the program and 392 points for the reviewed phases, 183.6 points were acquired and 43.7% of WSP-coordinated implementation was observed. The highest percentage of WSP-coordinated implementation (75.2%) was assigned to the validation stage with the highest point, and the support program stage had the lowest percentage of performance (1.1%). Among the major components of the water supply system, the final consumption point received the most attention from the system. Given the lifespan of the introduction and use of WSP in the world, it was expected that better results would be obtained from evaluating the implementation and progress of this approach in Bukan's water supply system. However, the implementation rate of this program in this city compared to other cities in Iran, showed that according to the implementation time (one year), the obtained results are relatively convincing and good and the water supply system has a moderate level of safety.

Status of risk-based approach and national framework for safe drinking water in small water supplies of the Nordic water sector

Reliable safe water supply is a pillar of society and a key to public health. The Nordic countries have an abundance of clean fresh water as a source for drinking water supplies. They have followed developments in safeguarding water, both the recommendations of the World Health Organization framework for safe drinking water and European legislation. Worldwide, including the Nordic countries, small water supplies are less compliant with water safety regulation. The forthcoming EU directive on drinking water require risk-based approaches and improved transparency on water quality. This research looks at the Nordic frameworks for safe water supply, with emphasis on risk-based approaches and smaller systems. We analyzed the legal frameworks for safe water, the structure of the water sector across the Nordic countries and explored how prepared these countries are to meet these requirements. Our findings show that, while legal requirements are mostly in place, delivery of information to the public needs to be improved. Most Nordic countries are in the process of implementing risk-based management in large and medium size water supplies, whereas small supplies are lagging. We conclude that a key to success is increased training and support for small supplies. We suggest wider adoption of the Nordic model of cooperation with benchmarking of safe water for all to transfer knowledge between the countries. This work provides insights into challenges and opportunities for the Nordic countries and provides insights relevant to countries worldwide in their effort towards realization of SDG Target 6.1.

Comparing the German enabling environment for nationwide Water Safety Plan implementation with international experiences: Are we still thinking big or already scaling up?

Ensuring safe drinking-water is the target of the Water Safety Plan (WSP) approach, which has been successfully applied to a large number of water supply systems around the world. Effective country-wide scaling up of WSP implementation requires an enabling environment at the policy level. By utilizing a multi-step mixed methods approach, this study summarizes international experience with WSP implementation and scaling-up efforts following the 8 steps of the WSP road map published by WHO and IWA for an enabling environment, shows what steps Germany has in place, and compares this with published international experience to inspire further policy action. Contrasting the international experience to the German situation revealed several overlaps but also profound differences, which, in turn, offer opportunities for mutual learning. Most experience in Germany and internationally is documented for the earlier steps of the WSP road map. Information particularly on developing a national strategy, securing financial instruments, activities to support continual implementation of WSPs and on review of the overall WSP experiences and sharing lessons learned appears to be scarce, while the importance of training, collaboration and alliances, and the value of a regulatory push are often stressed. In Germany, stakeholder engagement, guidance documents and workshop materials have been of vital importance. Information that could particularly inform further action in Germany mostly relate to considering a national WSP strategy, and how to shape an approach for external quality assurance of WSPs.

Capacity challenges in water quality monitoring: understanding the role of human development

Monitoring the qualitative status of freshwaters is an important goal of the international community, as stated in the Sustainable Development Goal (SDGs) indicator 6.3.2 on good ambient water quality. Monitoring data are, however, lacking in many countries, allegedly because of capacity challenges of less-developed countries. So far, however, the relationship between human development and capacity challenges for water quality monitoring have not been analysed systematically. This hinders the implementation of fine-tuned capacity development programmes for water quality monitoring. Against this background, this study takes a global perspective in analysing the link between human development and the capacity challenges countries face in their national water quality monitoring programmes. The analysis is based on the latest data on the human development index and an international online survey amongst experts from science and practice. Results provide evidence of a negative relationship between human development and the capacity challenges to meet SDG 6.3.2 monitoring requirements. This negative relationship increases along the course of the monitoring process, from defining the enabling environment, choosing parameters for the collection of field data, to the analytics and analysis of five commonly used parameters (DO, EC, pH, TP and TN). Our assessment can be used to help practitioners improve technical capacity development activities and to identify and target investment in capacity development for monitoring.

Operational research on rural, community-managed Water Safety Plans: Case study results from implementations in India, DRC, Fiji, and Vanuatu

Water Safety Plans (WSPs) are internationally recommended risk assessment and management strategies for water delivery. However, documented outcomes and impacts from implementing WSPs are lacking, particularly for community-managed supplies. In this research, previously implemented, community-managed WSPs were evaluated in four countries through a mixed-methods protocol assessing: WSP implementation quality, WSP management via key informant interviews (KII) and focus group discussions (FGD), household characteristics, and collection-point and stored household water quality in WSP and non-WSP communities. Overall, 256 KIIs and FGDs, 816 household surveys, and 1,099 water quality samples were completed. The quality of WSP implementations scored 6-13 out of 18 possible points. KIIs and FGDs found WSP communities had improved capacity to manage water supplies and identify key risks to safe water delivery. Fewer non-WSP community households reported paying for water in DRC and Vanuatu (p < 0.001). WSP community water collection-points had more E. coli contamination than non-WSP community collection-points in DRC (p = 0.009), Fiji (p = 0.020), and Vanuatu (p = 0.004); household results varied, although exploratory analysis revealed that non-WSP communities were imperfectly matched to WSP communities. Overall, we found: 1) incomplete WSP implementations; 2) small improvements in water supply operations; and, 3) no documented microbiological water quality improvements from WSPs. These results highlight that WSPs implemented in rural, community-managed supplies are challenging and question their effectiveness; if implemented additional technical and financial resources are necessary to support community-managed WSPs.

Development and implementation of a water-safety plan for drinking-water supply system of Cali, Colombia

The water-safety plan (WSP) approach integrates risk assessment and management practices into a drinking-water supply system (DWSS), ensuring water quality from the catchment to the consumer. This research was oriented toward the development and implementation of a WSP in the DWSS for the city of Santiago de Cali, Colombia. We adapted the methodological stages of the WSP established by the World Health Organization: (i.) assemble a WSP team, (ii.) describe the existing DWSS, (iii.) identify hazards and hazardous events, (iv.) evaluate risks, and (v.) plan risk management. In this methodological structure, we propose the use of different risk assessment tools at each step of DWSS, which can be implemented in water systems of different sizes. The results of our study allowed the identification of hazardous events that may compromise the effectiveness of the WSP: Of the 103 events found, 16 were related to the catchment, 40 to treatment processes, 27 to the distribution system, and 9 to consumers, while the remaining 11 were associated with organizational, planning, contingency, and emergency factors. We found that the most critical components of the DWSS are the distribution system and the consumers, with 29.6% and 33.3% of the hazardous events classified as at a very high risk level, respectively. Clearly, improvement and support programs for the WSP were needed to optimize existing control measures and corrective actions and to evaluate new ones to reduce risk levels. The treatment processes and distribution system steps were shown as the main barriers of the DWSS mainly they are under governance of water company, unlike the catchment and consumers which presented higher levels of risk because in these steps the water company has less control and influence. Our research confirms that the WSP is an important tool for decision-making by water-service companies-improving their administrative, financial, organizational, and operational management. It also shows that it is essential that their senior management and other stakeholders be part of the WSP team at each stage of implementation of the DWSS.

Status of Water Safety Plan Development and Implementation in Uganda

Uganda was among the first countries in Africa that pioneered Water Safety Plan (WSP) development and implementation, with the first WSP dating back to 2002. The objective of this study was to assess WSP status in Uganda, focusing on the experience of the National Water and Sewerage Corporation (NWSC), in order to understand the factors that influenced it and strategies for scaling-up. This study consisted of a review of documentation for 20 WSPs, 42 interviews, a focus group discussion and four field visits. Results show that the development of the 20 WSPs over the last 15 years was largely incomplete and diverse. Most of the WSPs focused on system assessment and improvement, but failed to include WSP monitoring, verification and management. The monitoring of control measures was implemented in nine of the 20 systems, while verification took place in the form of internal (5/20) and external (2/20) auditing. The main barriers identified to WSP implementation were inadequate training, team composition and deployment, mistaken perception and inability to evaluate WSP effectiveness. Conversely, the main enabling factors were management commitment, public health responsibility, good customer relations, financial availability and reliable laboratories. These findings suggest a need for more institutionalization of WSPs with improved coordination across stakeholder groups.

Water safety plans for water supply utilities in China, Cuba, France, Morocco and Spain: costs, benefits, and enabling environment elements

Water Safety Plans (WSPs) are a management tool to identify and prioritize risks and implement appropriate control measures throughout the water supply chain, from catchment to consumer. WSPs have been implemented in over 90 countries; yet, costs, benefits and the enabling environment elements necessary for WSP implementation are under-studied. To better understand these factors, we conducted interviews with WSP implementation management teams from 20 private urban water utilities in China, Cuba, France, Morocco and Spain in 2014. Collectively, these utilities serve 10.6 million consumers and supply over 2.2 million m3/day of water to consumers. Time for WSP implementation to achieve certification averaged 13 months. The main startup cost was staff time, averaging 16.2 full-time equivalent person-months. Additional costs, averaging €16,777, were for training staff, hiring consultants, purchasing equipment, and certifying WSPs. Benefits commonly reported included improved hazard control, treatment practices, record keeping, and client and health agency confidence.

Evaluation Methods of Water Environment Safety and Their Application to the Three Northeast Provinces of China

Focusing on the topic of water environment safety of China, this paper has selected the three northeast provinces of China as the research object due to their representativeness in economic development and resource security. By using the Entropy Weight Method, the Grey Correlation Analysis Method, and the Principal Component Analysis Method, this paper has first constructed a water environment safety evaluation system with 17 indicators from the economic, environmental, and ecological aspects. Furthermore, this paper has screened the initially selected indicators by the Principal Component Analysis Method and finally determined 11 indicators as the evaluation indicators. After indicator screening, this paper has adopted the improved Fuzzy Comprehensive Evaluation Method to evaluate the water environment safety of the three northeast provinces of China and obtained the change in water environment safety of different provinces from 2009 to 2017. The results show that the overall water environment safety of the region had improved first but worsened afterward, and that in terms of water safety level, Jilin Province ranked first, followed by Heilongjiang Province and Liaoning Province. The three factors that have the greatest impact on the water environment safety of the three provinces are: Liaoning—Chemical Oxygen Demand (score: 17.10), Per Capita Disposable Income (score: 13.50), and Secondary Industry Output (score: 11.50); Heilongjiang—Chemical Oxygen Demand (score: 18.64), Per Capita Water Resources (score: 12.75), and Concentration of Inhalable Particles (score: 10.89); Jilin—Per Capita Water Resources (score: 15.75), Chemical Oxygen Demand (score: 14.87), and Service Industry Output (score: 11.55). Based on analysis of the evaluation results, this paper has proposed corresponding policy recommendations to improve the water environment safety and promote sustainable development in the northeast provinces of China.

Comparative evaluation of risk management frameworks for U.S. source waters

The U.S. Safe Drinking Water Act required states to develop source water assessment programs identifying existing and potential contamination sources; however, comprehensive risk prioritization and management approaches for surface water supplies have seen limited application. This participatory study assessed which permutation(s) of risk management frameworks and tools might benefit U.S. utilities by combining a literature review with external utility interviews. Qualitative data provided a basis for categorical assignments of goodness of fit with each of 24 framework evaluation criteria across five categories. Weighted integration using stakeholder input provided a relative ranking of applicability, later validated at a decision-making workshop. Hybridization of the American National Standards Institute/American Water Works Association (ANSI/AWWA G300) source water protection standard and World Health Organization Water Safety Plan guidance was recommended to develop a comprehensive risk management approach for U.S. source waters. Cost-benefit components of other guidance materials were recommended to incorporate financial considerations into risk ranking and mitigation decisions.