Consumer Engagement Guideline Consumer Engagement... · 2017-07-07 · b. Consultation refers to a two-way dialogue between WSIs and consumers, in order to chan-nel and respond to

1Water Services Regulatory Board - Consumer Engagement Guideline

WATER SERVICES REGULATORY BOARDEnsuring Access to Quality Water Services for All

Consumer Engagement Guideline

Guaranteeing the Rights of Consumers in Water Supply and Sanitation Services

2 Water Services Regulatory Board - Consumer Engagement Guideline

GUARANTEEING THE RIGHTS OF CONSUMERS

IN WATER SUPPLY AND SANITATION SERVICES

Ensuring Access to Quality Water Services for All


Published byWater Services Regulatory Board© Water Services Regulatory Board

Supported by


TABLE OF CONTENTS

1. Introduction 5

1.1. Purpose of the Guideline 6

2. Framework of Consumer Engagement 7

2.1. DefinitionandScopeofConsumerEngagement 7

2.2. Objectives,LevelsandPrinciplesofConsumerEngagement 7

2.3. ApproachtoConsumerEngagement 8

3. Roles And Responsibilities in Consumer Engagement and Complaints Handling 10

3.1. Water Action Groups 10

3.2. Water Service Providers 13

3.3. Water Services Boards 16

3.4. Water Services Regulatory Board 19

3.5. CivilSocietyOrganisations 20

4. Water Action Group Consumer Complaints Handling Procedure 22

ConsumerComplaintsHandlingProcedure 25

5. Implementation of the Guideline 26

5.1. ReportingtotheWaterServicesRegulatoryBoard 27

5.2. MonitoringandEnforcementoftheGuideline 27


BoD: Board of Directors

CBO: CommunityBasedOrganization

CE: ConsumerEngagement

CEO: ChiefExecutiveOfficer

CSO: CivilSocietyOrganization

FGD: Focus Group Discussion

HR: HumanRight

SPA: ServiceProvisionAgreement

MD: Managing Director

MWI: Ministry of Water and Irrigation

MWSRs: Model Water Services Regulations

NGO: Non-governmentalOrganization

WAB: Water Appeal Board

WAG: Water Action Group

WARIS: WaterRegulationInformationSystem

WASREB: Water Services Regulatory Board

WSI: Water Sector Institution

WSB: Water Services Board

WSP: Water Service Provider

WSS: Water Supply and Sanitation

WSSP: Water Sector Strategic Plan (2010-2015)

ACRONYMS


1. INTRODUCTION

TheWaterServicesRegulatoryBoard(Wasreb)wasestablishedasanautonomousstatecorpo-ration under the Ministry of Water and Irrigation (MWI) in 2003, following the adoption of a new legalandinstitutionalframeworkfortheprovisionofwatersupplyandsanitation(WSS)services.UndertheWaterAct2002,Wasrebismandatedtosetrulesandenforcestandardsthatguidethesectortowardsensuringthatconsumersareprotectedandhaveaccesstoefficient,adequate,affordable and sustainable services.

WiththerecognitionofthehumanrighttowaterandsanitationintheBillofRights(Article43)oftheConstitutionKenya2010,ithasbecomeaconstitutionaldutyforstateactors–asdutybear-ers–toactandreportontherespect,fulfilmentandprotectionoftheright.Wasrebinparticularisthereforetaskedtoreinforceeffortsinpromotingandmonitoringitsprogressiverealization.

Thehumanrighttowaterandsanitation:

entitleseveryperson toaccesssufficient,safe,acceptable,physicallyaccessibleandaf-fordablewaterfordomesticpurposesaswellasreasonablestandardsofsanitation

entailsapplyinghuman rightsprinciplesofnon-discriminationandequality,participationandempowermentaswellastransparencyandaccountabilityinwatersupplyandsanita-tion (WSS) services.

Furthermore,theConstitutionofKenya(2010)entitlesconsumerstoservicesofareasonablequality.Italsoentitlesthemtoinformation,protection,andredress(Article46).Thismeansthatconsumersrequireadequaterepresentationinmattersaffectingthem.

WasrebacknowledgestheneedforstrengtheningparticipationandempowermentofconsumersofWSSservicesinrealizingtheirrights.ThisGuidelinethereforehastheobjectivetoguaranteetherightsofconsumersbyenablingthemtoeffectivelyengageintheservicesprovidedbyWaterServiceProviders(WSPs)andWaterServicesBoards(WSBs).Thisinvolvesinformationprovisionbywater sector institutions (WSIs) to consumers, formalized consultationandparticipationofconsumers inserviceprovisionaswellaseffectivedocumentationandhandlingof consumercomplaints.

Withrespecttothelatter,theWaterAct2002mandatesWasrebto:

Establishproceduresforhandlingcomplaintsmadebyconsumersagainstlicensees(S47(c))

Adviselicenseesonproceduresfordealingwithcomplaintsfromconsumersandtomonitortheoperationoftheseprocedures(S47(f)).

Theaboveobjective is further informedby theNationalWaterServicesStrategy2007,whichspecifiesthat:

Performanceof serviceprovisionshallbe improved throughgoodcorporategovernance,whichinvolvesthe“promotionofschemestomakethevoiceofconsumerstransparentandpublic” (p. 11)

WSPsshallbeheldaccountableforinformingthepublicaccordingtotheobligationsgivenby regulation (p. 12)

AllWSPsshallimplementtherequirementsoftheWasrebGuidelinesconcerningreporting(accountability)andinformation/sensitizationactivitiesaswellasengagementofconsum-ers/citizens(p.24).


The objective is also anchored in the Water Sector Strategic Plan 2010-2015 (WSSP), which

states that “Regulation of water and sanitation service provision has to strive to enforce theparticipationofwaterusersandtheunderservedcitizensthroughWaterActionGroups(WAGs)andpromotionofgoodcorporategovernance”(p.17)

emphasizes that thehuman right towater and sanitation canonly beensuredwith theempowermentofconsumersthroughtheestablishmentofconsumergroupsandincreasedcoverageintheurbansettingwithformalisedserviceprovision(p.21)

identifiesenlarging,supportingandcapacitatingWAGsinallmajortownsasakeyactivityforthepromotionofthehumanrighttowaterandsanitationunderthestrategicobjectiveto“promotegoodgovernance...”(StrategicObjective2;p.55).

TheWSSPrecognizesthatconsumerparticipationdoesnotonlyrefertocustomersthatareactu-allyservedbyaformalWSPbutalsotounderservedcitizens,mainlyinlow-incomeurbanareas(p.17).Effectively,thismeansthatconsumers,asrightholders,comprisecustomersbutalsotheunderserved.Thesameapproachhasbeenadopted in thisGuideline, in linewith thehumanrightsprincipleofnon-discrimination.

TheRegulatoryBoardwillapplythisGuidelinewhenmonitoringandreportingontheperformanceofWSPsandWSBs.TheformerandthelattermustfollowthisGuidelinewhenplanningforandexecutingtheiroperations,whenreportingtoWasrebandtothepublicaswellaswhensubmittingtariffadjustmentapplicationsforconsiderationbytheRegulatoryBoard.

CompliancewiththisGuidelineisaconditionoftheLicencefortheprovisionofwaterservices,grantedtotheWSBsbytheRegulatoryBoard,aswellastheServiceProvisionAgreement(SPA),granted to the WSPs by the WSBs and approved by Wasreb. The Guideline has been developed to be consistent with the Licences and the SPA developed by the Regulatory Board.

1.1. Purpose of the GuidelineThepurposeofthisGuidelineisto:

a. ReaffirmandexpandonprovisionsoftheLicenseandSPAinrespecttoconsumerinforma-tion, consultation and participation as well as recourse

b. Establish new requirements and procedures for and set outWasreb’s approach to con-sumerengagement,includingresolutionofconsumercomplaints;

c. Institutionalizeconsumerparticipation,goingbeyondthead-hocinvolvementofconsumers,e.g.throughcivilsocietyorganizations(CSOs).

TheGuidelineshallbeappliedbyWSPsandWSBstoassisttheminmeetingtheirobjectivesinservicedeliveryandimprovingtheirconsumerorientation.


2. FRAMEWORK OF CONSUMER ENGAGEMENT

2.1. Definition and Scope of Consumer EngagementThe term “consumerengagement” refers to rules, instrumentsandprocesses thatdefine theinvolvementofconsumersinmattersrelatingtotheprovisionofwaterandsanitationservicesbyWSBsandWSPs.Theterm“consumer”refersbothtocustomers who are already provided with formalisedWSSservices–i.e.theyhaveacustomercontractwithaWaterServiceProviderorre-ceiveservicesthroughformalpublicstandpostsoryardtaps–aswellastounderserved citizens whoarenotyetreceivingformalisedWSSservices.Thetermencompassesthreedifferenttypesofconsumers:domesticconsumers,commercialconsumersandinstitutionalconsumers.Itisac-knowledgedthatconsumersarenotahomogeneousgroupbutaremadeupofmenandwomenofdifferentages,socioeconomicstatuses,ethnicities,religions,needsandabilities.

2.2. Objectives, Levels and Principles of Consumer Engagement

Inalignmentwiththeprinciplesofthehumanrighttowaterandsanitation,theobjectivesofcon-sumerengagementunderthisGuidelineareto:

a. Give a voice to all consumers: Enhancing the responsivenessofWSIs to consumerde-mands(especiallywithregardtotheequitableallocationofinvestments/accesstoservices)andimprovingsocialaccountabilityofWSIs

b. Strengthen access to information and disclosure of information on WSS services: In-creasing transparency in the sector and enhancing public awareness on the rights and obli-gationsofconsumersandWSIs

c. Enhance the regulation and monitoring of WSS services: Strengthening the capability of oversight bodies to enforce contractual obligations and service standards

d. Advance utility-consumer relations and build trust:ImprovingtheimageofWSPs(espe-ciallyinlow-incomeareas),reducingillegalconnectionsandvandalism,increasingthewill-ingnesstopay,anddevelopingrealisticexpectationsbyconsumers

e. Improve the consumer orientation of WSS services:AligningWSStotheneedsofconsum-ersandincreasingtheefficiencyofservicedelivery.

EngagementofconsumersunderthisGuidelinecomprisesfourlevelsofinvolvementwithvaryingdegreesofinfluenceonWSSservicesdeliveryanddecision-making:

a. Provision of informationonrequestoratregularintervals(e.g.throughbills,publicmeet-ings,massmedia)relatestoone-waycommunicationfromWSIstoindividualconsumers,thepublicandcommunitiesatlarge

b. Consultationreferstoatwo-waydialoguebetweenWSIsandconsumers,inordertochan-nelandrespondtofeedbackfromthegrassrootsleveltoWSIs

c. Formalizedparticipationmeans thatWSIs involveconsumer representatives indecisionmaking,implementationandmonitoring

d. Recourse/redressmechanismsensure that consumers obtain anappropriate responseto/resolutionoftheircomplaints.


Acrossthesefourlevelsofinvolvement,thefollowingprinciplesshallguidetheprocessofcon-sumerengagement.Goodconsumerengagementis:

Proportionate: EngagingconsumersshouldnotentailunduecostsorregulatoryburdensonWSPs,WSBsandconsumersandshallreducetheneedforregulatoryintervention

Accountable: ConsumerengagementshouldensurethatWSPsandWSBsareaccountabletotheirconsumersfortheservicestheyoffer

Consistent: AllWSPsandWSBsareexpectedtoengageeffectivelyandinaconsistentman-nerwiththeirconsumers

Targeted: Engagementinstrumentsshouldbeappropriatefortheissuesinquestion.Theyshould be gender sensitive, should consider the needs of people with disabilities, and should take intoaccountdifferent typesof consumers (consumers in low-incomeareas,andcommercial/individualconsumers)

Transparent: Watersectorinstitutionsshouldstrivetoavoidunnecessarycomplexity,ensur-ingthatprocessesandresponsibilitiesremainclear.Thishelpsconsumerstounderstandhowtheycanengageandhowtheirviewsaretakenintoaccount

Responsible: ConsumerEngagement shouldbesupportedbya responsible relationshipbetweenconsumersandWSPs.

2.3. Approach to Consumer Engagement WasrebrecognizesthatinformedcitizensandavibrantcivilsocietyareaprerequisitetoensuringthatWSSservicesfulfilconsumerrightsandrespondtotheirneeds.

Hence,Wasreb’sapproachtoconsumerengagementisbuiltonthefollowingpillars:

a. An active role for civil society: Non-governmentalorganizations (NGOs)andcommunitybasedorganizations(CBOs)enablethe involvementofconsumers inWSSservices.Theyprovideessentialbottom-upfeedbackandplayanimportantroleaswatchdogsandwhistleblowersinthesectorinordertoimprovegovernanceinWSSservices.Wherethisiscomple-mentedbyaformalengagementmechanism,theinvolvementofconsumerscanbefurtherdeepenedandtheirvoicecanbeheardinamorepermanentandsustainedmanner.

b. Institutionalized consumer feedback through Water Action Groups: Toeffectivelyempow-erconsumers,thereisneedforaninstitutionalisedmechanismthroughwhichservicepro-vidersreceivefeedbackandareheldtoaccount;i.e.therehastobeaformalengagementpartnerforWSPsandWSBs,whoisateyelevelandcanfollowupconsumercomplaintsandconcernswiththem.

However,neitherWasrebnorWSBsprovideservicesdirectlytoconsumers.Consequently,theylackdirectaccesstoconsumerfeedbackandcomplaintsonwatersupplyandsanita-tionservices.Tofillthisgap,thisGuidelineestablishesacomplementaryandpermanentfeedbackanddialoguemechanismintheformofgrassrootsgroupsofcitizenvolunteers,called Water Action Groups (WAGs). WAGs will operate under and in close cooperation with WasrebandwillserveasanengagementpartnerforWSPsandWSBs.Theywillarticulateconsumerinterestsandfollowuponunresolvedconsumercomplaintswiththem.Also,theywillassistWasreb,WSBsandWSPsintheengagementofconsumersandcivilsocietyatlarge.

c. The strengthening of access to information:Thetimelydisclosureofqualityinformationtoconsumersiskeytoengagingthemfromaninformedpointofview.Consumershavealegitimateinterestininformation,asitensurestransparencyinthesectorandempowers


themtoholdWSIs toaccountand toengage ineffectivedialogue.Therefore,WSPsandWSBsshallmakeinformationavailabletothepublicinatimelyanduserfriendlymanner.Typesofinformationthathavetobedisclosedinclude:

i. Contactdetailsandopeningtimesofcustomerservicecentres(MWSRsX(111))

ii. ProfileandcontactdetailsofWaterActionGroups

iii. Waterquality,tariffs,serviceinterruptionsandwatershortages(MWSRsXI(117))

iv. Servicestandards,rightsandobligationsofconsumersi.e.ServiceChartersandCom-plaintsProcedure(MWSRsXI(117))

v. ServiceProvisionAgreements

vi. Resultsofcustomersatisfactionsurveys

vii. Summaryofannualreportincludinginformationonoperationalandfinancialperform-ance (SPA 14.3, Licence 12.4)

viii. CompositionandspendingoftheBoardofDirectors

ix. Planned,ongoingandrealizedinvestments(targetcommunity,implementationtime-linesetc.)andtendersformajorcapitalworks(Licence6.3&9;SPA12.9,13).

InformationshallbeprovidedbyWSIs,whereapplicablesupportedbyWAGs,throughthefollow-ingchannels:

i. Website

ii. Mass Media

iii. Customerservicecentresandbill

iv. Communityoutreachandpublicawarenessactivities

v. Annual Reports of WSPs and WSBs.

d. The strengthening of consultation and participation of consumers: WSBs and WSPs shall enableconsumerconsultationandparticipationtoensurethatfeedbackinformstheplan-ning,provisionandmonitoringofservices.Consumerconsultationshallensurethatgeneralsectordevelopmentisdemandresponsive.

Consultationandparticipationof consumers throughWSBsandWSPs shall be enabledthroughthefollowinginstruments,whereapplicable,assistedbyWAGs:

i. Focus Group Discussions

ii. CommunityForumsandPublicForums

iii. PublicHearings

iv. PublicConsultationsonTariffAdjustment

v. CustomerSatisfactionSurveys

vi. AnnualConsumerSummit

vii. Annual General Meeting (AGM) of WSPs

viii. ConsumerMembershiponBoardsofDirectors(BoDs)ofWSPs.

e. The establishment of an effective complaints mechanism and procedure: Consumershave the right to demand the fulfilment ofminimum service standards fromWSPs andWSBsandithastobeassuredthattheircomplaintsareeffectivelyandpromptlyaddressed.Hence,thisGuidelinedefinesaformalmechanismandprocedureforthefollow-upofunre-solvedandlongstandingcomplaintsthroughWaterActionGroups.


3. ROLES AND RESPONSIBILITIES IN CONSUMER ENGAGEMENT AND COMPLAINTS HANDLING

In alignment with theWater Act and key regulatory instruments such as Licences, SPAs andGuidelinesissuedbytheRegulator,theconsumerengagementframeworkadoptedinthisGuide-linereaffirmsandselectivelywidenstherolesandresponsibilitiesofWSPs,WSBsandcivilsocietyorganisationsrelatingtoconsumerengagement.Thisincludesconsumercomplaintsresolution.Theframeworkalsocreatesanewplayer,theWaterActionGroups.

3.1. Water Action GroupsWaterActionGroups(WAGs)playakeyroleinconsumercomplaintsresolutionandfulfilafacili-tatingfunctionintermsofbottom-upconsumerfeedbackandtop-downconsumerinformation,therebyassistingservicedeliveryimprovement.TheyderivetheirmandatedirectlyfromtheReg-ulatorandoperatewithintheexistingregulatoryframework,inalignmenttosectorlegislationandpolicies.TheroleofWAGsintheinstitutionalframeworkforWSSservicesisdepictedbelow.

WAGs are recruited by Wasreb, who also funds their operations. They are directly accountable to theRegulator,towhomtheywillsubmitquarterlyoperationalandfinancialreports.AdedicatedPublicRelationsOfficeratWasrebensuresregularcontactwiththeWAGs.

Inperformingtheirdailyoperations,WAGsareguidedbytheOperational Guideline for Water Action Groupswhich–inter alia–definestherecruitmentprocedure,reportingobligations,andperformancemonitoring.Theyalsosignacodeofconductwhichtheymustadheretointheirop-erations.CollaborationbetweenWSPsandWSBsandtherespectiveWaterActionGroupwillberegulatedbytheWAG’sTermsofReference.Together,thisenablesWasrebtoeffectivelymanageandmonitortheperformanceofWAGs.

ToallowWAGstoeffectivelyreportandfulfiltheroleofaformalengagementpartner,eachWSPand WSB shall allocate a dedicated focal personatmanagementleveltotherespectiveWaterActionGroup:

Ministry of Water and Irrigation

Water Services Regulatory Board

Water Services Boards

Water Service Providers

ConsumersSensitization

Upwardfeedback/Engagement/Complaintsresolution

Service Provision Rules

Service Provision Agreement(SPA)

License

Water Action Groups


AtWSPlevel,theWAGfocalpersonshallbetheCustomerRelations/ServiceManagerbear-ingtheoverallresponsibilityforthecollaborationwithWAGs.He/she(orhis/herappointedrepresentative)isresponsiblefortheconsolidationofconsumerfeedbackandcomplaints,official reportingandfollow-upofcomplaints throughmonthlyconsolidationmeetings. InlargerWSPs,theremaybeadditionalfieldcontactpersons,responsibleforcomplaintsfol-low-upincertainregions/zonesoftheWSP.SuchfieldstaffmayalsocomeintocontactwithWAGmembersbutultimateaccountabilitylieswiththeManagingDirectoroftherespectiveWSP

AtWSBlevel,theWAGfocalpersonshallbetheHeadofCommunicationsorPublicRela-tions.TheofficerwillberesponsibleforreportingontheperformanceoftheWSBinrespecttocomplaintsresolutionthroughquarterlyreviewmeetings.Ultimateaccountability,howev-er,lieswiththeCEOoftherespectiveWSB

TheWAGfocalpersonatWasrebistheHeadofCommunications.

ThemainresponsibilitiesofWaterActionGroupsareto:

a. AssistWasreb,WSBsandWSPsinprovidinginformationonWSSservicesandinbuildingconsumerawarenessoninstitutionalmandates

b. Sensitizeconsumersontheirrightsandresponsibilities

c. Channelbottom-upfeedbacktoWSPs,WSBs,andWasreb

d. FacilitatetheparticipationofconsumersindecisionsrelatedtoWSSservices

e. ServeasanengagementpartnerforWSPsandWSBsinfollowingupunresolvedconsumercomplaintsandfacilitateconflictresolution

f. AssistWSPsindetectingandtacklingunlawfulbehaviour

g. SupportWasrebinthemonitoringcomplianceofWSPsandWSBswithservicestandards/benchmarksthroughimprovedinformationflowfromthegrassrootslevel

h. Providelinkagesbetweenwatersectorinstitutionsandconsumers,residentsassociations,civilsociety,communitybasedorganizations,faithbasedgroupsandothergroupingswithinthecommunity.

3.1.1. Responsibilities in Information Provision

WaterActionGroupswill:

a. Support consumer access to information.Thismayentailfacilitatinginformationprovisionthroughinterpersonal,printorelectronicmedia

b. Undertake,inconjunctionwithWSPs,community outreach and public awareness activi-tieswiththeaimofimprovingutility-consumerrelationsandreversingthenegativeimageofWSPsamongstdeprivedconsumersandviceversa.Thisisbymeansofbarazas/publicinformationmeetings,communitydrama/theatre,roadshows,exhibitions,massmedia(ra-dioprogrammes),educationalsessions,anddoor-to-doorvisits

c. Send representatives to participate in consultative and information meetings convened by WSPsandWSBstogatherinformationforonwarddisseminationtoconsumers.

3.1.2. Responsibilities in Consumer Consultation and Participation

WaterActionGroupswill:

a. Together with the respective focal persons, convene public hearings at least twice a year andwherefeasible,onaquarterlybasis,tofacilitatethedialoguebetweenWSP/WSBrep-


resentativesandconsumerson issuesrelatedtoWSSservices.Moreparticularly,publichearingsservetoenableconsumerstoputforwardcomplaintstotherespectiveWSP/WSBand allow the latter to respond. This involves, inter alia:

i. Facilitatinganddocumentingtheresultsofpublichearingsandsubmittingthesametothe respective WSPs, WSBs, and the public

ii. MonitoringtheimplementationofthecommitmentsmadebytherespectiveWSPsandWSBs.

b. Conduct focus group discussions (FGDs) togather in-depthcitizen feedbackonpercep-tions, preferences and ideas onwater and sanitation services in the community.WAGsdocumentresultsandemergingissuesofFGDsandcollectcomplaints/issuesofindividualconsumerstoberaisedduringpublichearingswithWSPandWSBrepresentatives

c. Participate/engageincommunity, religious or social forums (barazas), called by chiefs or religiousleaders,toaddressconsumersonWSSservices.Theywillalsoreceiveconsumerfeedback, createconsumerawarenessandsupportWSPs inmaking in-roads intoareaspreviouslyinaccessibletothem

d. Engage in public consultations on tariff adjustments by WSPs

e. Send representatives to consultation meetings/forumsconvenedbyWSPs/WSBsorWas-reb.

3.1.3. Responsibilities in Consumer Complaints Handling and Follow-up

WAGsensurethatwhereWSPsandWSBsdonotadequatelyfulfiltheirrolewithrespecttocon-sumercomplaintsresolution,theyareheldaccountable;i.e.theyarenot the primary entry point for complaints butdealwithcomplaintsthatarenotattendedtoadequatelyandthereforere-mainunresolved.Byforwardingandfollowinguponconsumerfeedbackandconcerns,theyalsomakesurethatconsumerinterestsaretakenintoaccountbyWSPsandWSBs.

Toachieveswiftresolutionofcomplaints,WAGsshall:

a. Takeupconsumercomplaints,registeredwithaWSPandjustifythecomplainti.e.acom-plaintiseligibleifithasformallybeenraisedwiththerespectiveWSPonbasisofadefaultofthelatterundertheSPA(ScheduleD),MWSRsorCustomerContractbut

i. hasnotbeenrespondedtowithinthespecifiedtimeframeof10workingdays(SPA,Schedule D)

ii. theconsumerremainsdissatisfiedwiththeresponseoftheWSP

iii. relates to a default of the WSB under the Licence.

b. Registereligibleconsumercomplaints

c. Immediately forwardeligiblecomplaintswhichfallundertheresponsibilityof theWSPtothefocalperson(orfieldcontactperson).WhereanunresolvedcomplaintdoesnotresultfromthedefaultofaWSPbutoftherespectiveWSBundertheLicence,itshallbeforwardeddirectly to the WSB focal person

c. FollowupandmonitoractionoftherespectiveWSP/WSB

d. PreparemonthlyConsolidation Reports whichcaptureallpendingWSP-relatedcomplaintsandconsumerfeedback,andsendthemtotheWSPfocalperson

e. TogetherwiththerespectiveWSPfocalperson,convenemonthlyConsolidation Meetings tomonitorthestatusofcomplaintsandfeedbackforwardedviathemonthlyConsolidation


Report;forpendingcomplaintsthatwereforwardedwithinthereportingperiodbutonwhichnoactionhasbeen takenyet,agreeonactionand timelines (notexceeding20workingdays)

f. WherethereisnoactionbytheWSPwithinagreedtimelines,immediatelyforwardoverduecomplaintstotherespectiveWSB,foractionbythelatter

g. Prepare quarterly Review Reports,listingoverdueWSP-relatedcomplaintsandfeedbackonWSSservicesandsendthemtotheWSBfocalperson

i. Prepare quarterly Consolidation Reports,whichcapturependingWSB-relatedcomplaintsandconsumerfeedback,andsendthemtotheWSBfocalperson

j. TogetherwiththerespectiveWSB’sfocalperson,conveneReview Meetings onaquarterlybasis(tripartitemeetingsbetweenWSB,WSPandWAG)to:

i. FormallyreviewthestatusofoverdueWSP-relatedcomplaintsforwardedviathequar-terlyReviewReport;forcomplaintsthatwereforwardedtotheWSBwithinthereportingperiodbutonwhichnoactionhasbeentakenyet,agreeontimelines(notexceeding15workingdays)forinvestigation,mediationand,whereapplicable,enforcementac-tion by the WSB

ii. MonitorthestatusofWSB-relatedcomplaintsandfeedbackforwardedviathequarter-lyConsolidationReport;forpendingcomplaintsthatwereforwardedwithinthereport-ingperiodbutonwhichnoactionhasbeentakenyet,agreeonactionandtimelines(notexceeding15workingdays).

k. Where there isa failure toactby theWSBwithinagreed timelines, immediately forwardoverduecomplaintstoWasreb,foractionbythelatter,andincludethemintheBiannualReview Report

l. Prepare Biannual Review Reports, listingunresolvedWSP-andWSB-relatedcomplaintsandasynthesisofconsumerfeedbackfortherespectiveservicearea

j. TogetherwithWasreb’s focalperson,convene reviewmeetingsonaneedsbasis,butatleasttwiceayear(quadripartitemeetingsbetweenWasreb,WSB,WSPandWAG), tofor-mallyreviewthestatusofunresolvedWSP-relatedandWSB-relatedcomplaintsaswellasconsumerfeedbackforwardedviatheBiannualReviewReport;forpendingcomplaintsthatwereforwardedwithinthereportingperiodbutonwhichnoactionhasbeentakenyet,agreeontimelines(notexceeding15workingdays)forinvestigation,mediationand,whereappli-cable,enforcementactionbyWasreb.

3.2. Water Service ProvidersThemainresponsibilitiesofWaterServiceProvidersinrelationtoconsumerengagementarede-terminedbythedirectservicerelationshipwiththeirconsumers.Thisinvolvesregularlyinformingandinteractingwithconsumersintheirserviceareaonservicequalityandaccess,withsupportfromtheWAGs,whereapplicable.WSPshavearesponsibilitytoswiftlyresolveconsumercom-plaints.

WaterServiceProvidersshalltherefore:

a. Provideservicequalityrelatedinformationtoconsumersintherespectiveserviceareaandengageinoutreachandsensitizationactivities

1Action”referstoeither(1)shorttermmeasuresbyaWSPtoresolvespecificcomplaintor(2)initiationofaproc-esswithclearlyoutlinedmeasuresandtimelinestoaddresscomplexproblems/infrastructuralchallengesraisedbyaconsumer.


b. Directlyandregularlyconsultconsumersandcommunitiesintheserviceareaontheircon-cerns and needs

c. EnableparticipationofconsumerrepresentativeswithintheirBoardsofDirectors

d. ImplementredressmechanismsasprovidedforintheirSPAandintheMWSRs

e. ProactivelycollaboratewiththeWAGintheirservicearea(includesadequatelysensitizingstaffon themandateandoperationsofWAGs),engage inclosedialogueand recognizethemasanengagementpartner

f. FollowuponfeedbackandresolvecomplaintsforwardedbyWAGs.


WaterServiceProvidersshall:

a. Provide easy access to information such as tariffs, water quality, service interruptions,minimumservicelevels,consumercomplaintsprocedure,customersatisfaction(customersatisfaction survey) and, where applicable, contact details of the local WAG through outlets andmedia that are easily accessible and in a formatwhich enables commonmenandwomentounderstand(SPA12.9&20,Licence12.4,MWSRsXI,TariffGuideline7).Out-lets/mediaincludebutarenotlimitedtopaymentpointsandfieldoffices,signageinpublicareas,callcentres,uptodatewebsiteandprintmedia(brochures,posters,leaflets,massmedia)

b. Maintain a customer service centre withqualifiedstaffforthepurposeofaddressingandresolvingconsumerapplications,consumerservicerequestsandcomplaints inaperma-nentway(MWSRsX,110&111)

c. Issueatminimumoneconsumer billpermonthinasimple,easy-to-readformattoeachconsumer,containingallkey informationasspecifiedinMWSRsVI,andprovideabreak-downofchargesonrequest

d. Implementcommunity outreach and public awareness activities (where applicable with supportfromtherespectiveWAG)tobuildtrustandraisethepublicunderstandingoftheservicesprovided.Thisshallbedonethroughbarazas/publicinformationmeetings,massmedia(radioprogrammes),educationalsessions,anddoor-to-doorvisits(MWSRsXI118)

e. Publish(inprintandontheirwebsite)asummaryoftheirAnnual Report to the licensee, informingthepublicandstakeholdersontheirfinancialperformanceaswellasperform-anceinmeetingserviceobligations.Thesummaryshallcontainanoverviewofconsumerengagementactivitiesandoutcomesaswellasofconsumercomplaintsreceivedandre-solved.Itshallbemadeavailabletimelytothepublic(SPA14.3)

f. SharecomplaintsandservicedeliveryrelatedinformationwithWAGrepresentatives,wherea WAG operates in the service area of the WSP.


WaterServiceProvidersshall:

a. Initiate community forums(whereapplicablewithsupportfromtherespectiveWAG)andparticipate in religious or social forumsonaneedsbasistodiscusswithconsumersandreceivetheirfeedbackonserviceissuesandtomakein-roadsintopreviouslyinaccessibleareas(MWSRsXI118)


b. AspartofaTariffAdjustmentProcedureandinlinewiththeTariffGuidelineandtheGuide-linesonPublicConsultationforTariffApprovalProcess,initiateaPublic Consultation on Tariff Adjustment to enablestakeholders toprovide their viewson thesameandseekclarificationssothatthesecanbetakenintoaccountintheadjustmentprocess.WhereaWAG operates in the service area, the WAG will be invited to participate in the consultation andtofacilitateadequaterepresentationofacrosssectionofconsumers

c. AgreewiththerespectiveWSBonappropriateactionstorespondtoconsumerconcerns,as established through the customer satisfaction survey, conducted every two years (SPA 12.6).CommunicatetheseactionstoWasreb

d. Hold Annual General Meetingfortheirshareholders,appointedinlinewiththeCorporateGovernance Guideline

e. Where a WAG operates in the service area of a WSP, the latter shall, together with the WAG, convene public hearingsno lessthantwiceayearand, if feasible,onaquarterlybasis.TheseareorganizedbytherespectiveWAGinordertoallowtheWSPto:

i. Respondtoconsumercomplaintsandconcerns,collectedbytheWAGinadvanceofthehearing,inaformalizedframeworkandtogainbetterunderstandingofconsumersneedsanddemands

ii. Maketime-boundcommitmentsfortheresolutionofcomplaintsraised

iii. Respondtomattersarisingduringthemeetingandagreeonawayforward.

f. Participate intheannualConsumerSummitconvenedbyWasrebandinvolvingallWSPsand WSBs

g. InviteWAGrepresentativestoconsultativemeetings/events.

3.2.3. Responsibilities in Consumer Complaints Resolution

TheWaterServiceProvideristheprimaryentrypointforconsumercomplaints.Thismeansthatadequateprocedures,instruments(suchasCustomerServiceCentres,ComplaintRegisters),or-ganizationalstructuresandatleastonetrainedanddedicatedCustomerComplaintsOfficerhavetobeinplace.Thiswill:

Allowingtheconsumereasyaccesstoinformationandrecourse(SPA12.7a)and

EnablingtheWSPtotakeupandeffectivelydealwithcomplaints(SPA12.7c),torecordandannuallyreporttothelicenseeoncomplaintsreceived(SPA12.7b)andtoresolvedisputeswithconsumers(SPA12.8).

Inimplementingmeasuresforconsumercomplaintshandling,consumercompensationandhan-dlingofconsumerdisputesaswellasinexecutingthesemeasures(responsetimestoconsumerrequestsandcomplaints,paymentofcompensationsetc.)WSPshavetofollowtheprovisionsofSPA(12.7,12.8andScheduleD)andMWSRs(X,XV,XVI).

Towarranteffectiveresolutionofcomplaints,WSPsshall:

a. Enterintoacustomercontractwitheachofitscustomers.ThecontractneedstobeinlinewithWasreb’sGuidelinesand,whereavailable,theModelCustomerContractissuedbytherespectiveWSBandapprovedbyWasreb(SPA12.1a,b&ScheduleN)

b. Develop,submitforapprovalbytheWSBandpublish(inprintandontheirwebsite)atailor-madeservice charter,specifyingservicestandards,andrightsandobligationsofconsum-ers.This includesexplainingtoconsumerswheretofind informationonservices,howtoprovidefeedbackandfilecomplaints,andhowthesewillbeaddressed(CorporateGovern-ance Guideline 4.3)


c. Befullyresponsiblefortheservicesdeliveredthroughcommunalwaterpointsoperatedun-dertheirmanagement(SPA,12.5(d)).ThisimpliesthataconsumerwhoobtainsaservicethroughaWSP-runcommunalwaterpoint,evenifwithoutacustomercontractperse,en-tersintoacontractualrelationshipwiththeWSP,includingconsumerrightsandobligations

d. WhereaWAGoperatesintheserviceareaofaWSP,thelattershall:

i. ProvidetheCustomerRelations/ServiceManagerasthemaincontactpersonforWAGs

ii. SwiftlyattendtoandactonconsumercomplaintsforwardedbytheWAG.

e. OnbasisofthemonthlyConsolidationReport,convenemonthly Consolidation Meetings togetherwiththeWaterActionGroup(wheneverrequestedbytheWAG)toreportonthesta-tusofforwardedcomplaintsandconsumerfeedback;forpendingcomplaintsforwardedbyWAGswithinthereportingperiod,agreeonactionsandtimelines(notexceeding20workingdays)

f. Participate in quarterly Review Meetings convened by the respective WSB together with theWaterActionGroup to justify to theWSBconcerningcomplaints thathave remainedpendingbeyondthetimelimit

g. ParticipateinquadripartiteReviewMeetingsconvenedbyWasrebtogetherwiththeWAGonaneedsbasisandatleasttwiceayeartojustifytoWasrebconcerningthosecomplaintsthathaveremainedpendingbeyondthetimelimit

h. PaycompensationtoconsumersasorderedbytheWSB(Licence7.2;MWSRSXVI(149))orWasreb(SPA12.7(d)).

3.3. Water Services Boards WaterServicesBoardsareresponsibleforensuringthattheiragentsareresponsivetoconsumerneeds.Thisincludestheswiftresolutionofconsumercomplaints.

Thereare,however,certainareaswhereWSBshavedirectengagementresponsibilitiestowardstheconsumer.Thismainlyrelatestotheplanningandimplementationofwaterandseweragein-vestments.EngagingconsumerswillaidWSBsindeliveringvalueformoneyandinensuringthatthetimingandlocationofinvestmentsareinlinewithconsumerpriorities.Consumersalsohavetherighttobeinformedonplanned,ongoingandimplementedinvestments,whichpresupposesthemonitoringofandreportingonthesame.

WaterServicesBoardsshalltherefore:

a. Implementandenforcetheconsumerredressmechanismasprovidedfor intheLicenseand MWSRs

b. Informconsumers,consultthemandenabletheirparticipationinWSSservicesinthere-spectiveWSBarea,particularlyasrelatestoinvestments

c. EnsureparticipationofconsumerrepresentativeswithinBoardsofDirectorsofWSPs

d. FollowupunresolvedcomplaintsforwardedbyWAGstoWSPs

e. CollaborateproactivelywithWAGsandsensitizestaffontheirmandateandoperations

f. ResolveconsumercomplaintsandattendtoconcernsforwardedbyWAGswhichfallundertheir responsibility.



WaterServicesBoardsshall:

a. Provide access to informationthroughthewebsiteandprintmedia(supplements,reports,brochures,posters,leaflets,massmedia).TheinformationincludeskeydocumentssuchasLicence,AnnualReportandSPAs,generalinformationonWSPs(contactdetails,customerservices etc.) as well as contact details of all WAGs operating in the service areas of their agents, where applicable (Licence 12.4)

b. EmployaPublic Information/Communications Manager andmandatehim/her to takeresponsibilityfortheprovisionofinformationtothepublic(Licence12.4)

c. Publish (in print and on their website) an Annual Reportinordertoinformthepublicandstakeholdersonstrategicpriorities, investmentprogrammes, theirownperformance, theperformanceof theiragents,and theircompliancewithserviceobligations,aswellasasummaryoftheirfinancialstatements.TheReportshallcontainacomparativeoverviewofconsumercomplaintsreceivedandresolvedbytheiragentsaswellasasummaryofWSB-relatedcomplaintsreceivedandresolved.Itshallbemadeavailabletimelyandinaneasytoreadformattothepublic(Licence12.4)

d. Shareservicedeliveryaswellasinvestmentrelatedinformationfordifferentserviceareaswith representatives of the respective WAG.


WaterServicesBoardsshall:

a. Initiate, at least every two years, an independent Customer Satisfaction Survey for each agentundertheirjurisdiction,capturingconsumerattitudes,prioritiesandperceptionsonthequalityandadequacyofservicesintherespectivearea.Theresultsofeachcustomersatisfaction survey will be reported to the respective WSP for action as well as to Wasreb andmadeavailabletothepublic(SPA12.6,Licence7.1)

b. Participate in Public Hearings wheneverrequestedbyaWSPoraWAG,to

i. Respondto(mostly longstanding)consumerconcerns/complaintsrelatedto invest-mentsininfrastructureandotheraspectsfallingundertheresponsibilityoftheWSBinaformalizedframework

ii. Maketime-boundcommitmentsfortheresolutionofthecomplaintsraised

iii. Respondtomattersarisingduringthemeetingandagreeonawayforward.

c. MonitorcompliancewiththeprovisionsoftheCorporateGovernanceGuidelineinrespecttotherepresentationofconsumersontheBoardsofWSPsundertheirjurisdiction

d. Participate intheAnnualConsumerSummitconvenedbyWasrebandinvolvingallWSPsand WSBs

e. InviteWAGrepresentatives fromselectedserviceareas toconsultativemeetings/events,wheneverconsumersintherespectiveserviceareasareaffected.

3.3.3. Responsibilities in Consumer Complaints Resolution

WaterServicesBoardsareobligedto:

a. Ensure the implementation and application of the relevant provisions of the SPA andMWSRsregardingcustomermanagementandcomplaintsresolutionbytheiragentsinline


withWasreb’sregulationsandguidelines.ThisparticularlyreferstotheapplicationoftheModelCustomerContractbytheiragentsandtheapplicationofthecomplaintsproceduresetoutintheMWSRsandexpandedoninthisGuideline(Licence7.1(1)&7.2(1))

b. EnsurethatallWSPshaveacustomerservicecharterpublishedintheareaofsupply.Theyshallalsoapprovethecustomerservicechargerinrespecttoservicelevelssetoutandad-equacyofcontent(Licence7.1(1))

c. Adequatelyandpromptlyresolveallcomplaintswhichhavenotbeenaddressedsatisfacto-rilybytheiragentandareforwardedtotheLicenseethroughadesignatedCustomerCom-plaintsOfficer/liaisonpersonandinlinewiththeMWSRsandthisGuideline(Licence7.2(2),(3),(4)).ThismayincludeorderingWSPsundertheirjurisdictiontopaycompensationorpenaltiesandenforcingthesame(WaterActS73(2)&47;Licence7.2(3);MWSRsXVI(149))

d. InlinewithSPAClause12.8andMWSRsPartXVI,resolvedisputesbetweenconsumersandWSPsand,whereapplicable,orderthepartyfoundatdefaulttocompensatetheotherforthe losses caused

e. AdequatelyandpromptlyresolveconsumercomplaintsrelatingtoadefaultofthelicenseeinmeetingitsserviceobligationsundertheWaterActandLicenceClause3

f. WhereaWAGoperates inoneormoreWSPserviceareasundertheir jurisdiction,WSBsshall:

i. ProvidetheHeadofCommunicationorPublicRelationsasthemaincontactpersonforWAGs

ii. Swiftlyinvestigate,mediateand,whereapplicable,takelegalenforcementactionsonWSP-relatedconsumercomplaintsforwardedbytheWAG(Licence7.2)

iii. SwiftlyattendtoandactonconsumercomplaintsforwardedbytheWAGwhichrelatetoadefaultofthelicenseeinmeetingitsserviceobligationsundertheWaterActandLicenceClause3.

g. Convenetripartitequarterly review meetings together with the respective WAG, attended bytherespectiveWSP,onthebasisofthequarterlyreviewreportto:

i. formally review overdueWSP-related complaints; for pending complaints forwardedwithinthereportingperiod,agreeontimelinesforinvestigation,mediationand,whereapplicable,enforcementaction(notexceeding15workingdays)

ii. reportonthestatusandrespondtocomplaintsrelatingtotheWSB,agreewiththeWAG on actions and time limits (not exceeding 15working days) for pending com-plaints forwarded within the reporting period.

h. Participateinquadripartitebiannual review meetings convened by Wasreb together with the respective WAG to

i. justify toWasreb concerningWSP-related complaints that have remained pending.Alsoexplainareaswhereadequateenforcementwasnottakenwithinthetimelimitagreed with the respective WAG

ii. justifytoWasrebconcerningWSB-relatedcomplaintsthathaveremainedpending.

i. Wheredefaultingon itsobligation toact, andwhereorderedbyWasreb,paya financialcompensationtothecomplainant(Section68oftheWaterAct2002)and/orapenaltyfeeinlinewithLicenceClause3.3.


3.4. Water Services Regulatory Board TheroleoftheWaterServicesRegulatoryBoardinrelationtoconsumerengagementisofaco-ordinativeandsupervisorynatureandgenerallyrelatestotheprotectionofconsumerinterests.

TheWaterServicesRegulatoryBoard:

a. Definesminimumrequirementsrelatedtoconsumerengagement

b. StandardizesreportingofWSPs,WSBsandWAGsonconsumerengagement

c. Monitors and enforces relevant guidelines and regulations

d. Providesconsumerinformationonprogressandperformanceinthesector

e. Consultsconsumersonissuesofsector-widerelevance

f. RewardsstrongconsumerorientationofWSPsandWSBsandcompliancewithconsumerengagementstandardsandpenalizesnon-complianceand lackofconsumerresponsive-ness

g. Enforcestheredressmechanism(asafinalinstanceofcomplaintsresolution)

h. Coordinates,financesandsupportstheWaterActionGroups.

3.4.1. Role in Information Provision

WasrebismandatedbytheWaterAct2002togather,maintainanddisseminateinformationonwaterservicesandtomonitorsectorperformance.TheBoard:

a. Provides access to informationthroughmediathatareaccessibleandinaformatthatiseasilyunderstandable.Thisincludesthewebsiteandprintmedia(reports,brochures,post-ers,andfliers)

b. Publishes the annual Sector Performance Report(ImpactReport)ontheperformanceofWSPsandWSBs.Thishelpsinformconsumersandotherstakeholdersondevelopmentsandprogressinthesector.TheReportprovidescomparativeinformationonthequalityofservicesandpromotescompetitionamongWSPsandWSBsinthesector(WaterActS47(l))

c. SharesgeneralinformationonsectorstructureanddevelopmentswithWAGs.

3.4.2. Role in Consumer Consultation and Participation


a. Convenesanannual Consumer Summit servingasahigh-levelforumforWAGstopresentconsolidated feedback tostakeholders (NGOs,consumerassociations)andWSIs (MoWI,Wasreb,WSBsandWSPs).Thefeedbackrevolvesaroundissuesinthesector(servicequal-ity,equitableaccessetc.)asperceivedbyconsumers.Itservestohighlightbestpracticesaswellastorewardgoodperformersanddrawattentiontoweakperformers.

b. OrganisesconsultativemeetingswithWAGrepresentatives.

3.4.3. Role in Consumer Complaints Resolution


a. Establishesrulesandproceduresforhandlingconsumercomplaintsrelatingtoserviceobli-gations of WSPs and WSBs. Wasreb also provides advice on the application of these proce-duresandmonitorstheiroperation(WaterAct2002,S47(c)&(f)).Accordingly,Wasreb:


i. SpellsoutprovisionsspecifyingacomplaintsanddisputeresolutionprocedureintheMWSR(X,XV,XVI)

ii. With this Guideline, inter alia,establishesthecomplementaryWAGcomplaintsproce-dure(Chapter5).

b. ApprovestheModelCustomerContractswhichhavetobesubmittedbytheWSBsandneedtobeinlinewiththecomplaintsanddisputeresolutionprocedurecontainedintheMWSR(Licence7.1(2))

c. AdvisesWSBsontheinterpretationofthelicenceorguidelinesintheconsumerappealsprocessundertheMWSR(XVI148(h))

d. ConvenesquadripartiteReviewMeetingswithWAGs(attendedbyWSBandtherespectiveWSPs)onaneedsbasis,butatleasttwiceayear,toformallyreviewthestatusofunresolvedWSP-relatedandWSB-relatedcomplaintsaswellasconsumerfeedbackforwardedviathebiannualReviewReport;forpendingcomplaintsthatwereforwardedwithinthereportingperiodbutonwhichnoactionhasbeentakenyet,agreewiththeWAGontimelines(notex-ceeding15workingdays)forinvestigation,mediationand,whereapplicable,enforcementaction

e. Furthermore,theWaterServicesRegulatoryBoardmay:

i. OrderWSPstopaycompensationtoconsumersforfailingtoprovideservicesorfailingtocomplywiththeprovisionsoftheSPA,wherethisfailuredoesnotextendtothosecausedbyorresultingfromunavailabilityofthefacilitiesorthroughanyotherfaultoftheWSB(SPA12.7(d),(e))

ii. TakestepsagainsttheWSB(inlinewithSection68oftheWaterAct2002aswellasSub-clause3.3oftheLicence)wherethefailureresultsfromadefaultbytheWSBtomeetitsServiceObligations(LicenceClause3).Thisincludesbutisnotlimitedtoor-deringthepaymentofafinancialpenaltytothecomplainant.

f. TheRegulatoryBoardprovidesthehighestlevelofescalationforunresolvedconsumercom-plaintsforwardedbyWAGs.Therefore,Wasrebmay:

i. DirectWSPs to pay compensations to the aggrieved consumers,whose complaintshavenotbeenresolvedadequately,inlinewithSPA12.7(d)

ii. Imposeapenaltyfee/thepaymentofcompensationfordamagesontheWSBwheretheresponsibilityforthefailurelieswiththeWSB(Licence,Clause3);Section68oftheWaterActandClause3.3oftheLicenceapplies.

g. ImposeapenaltyfeewheretheLicenseefailstoinvestigate,mediateand,whereapplica-ble,takeenforcementactionsonWSP-relatedconsumercomplaintsforwardedbytheWAG(failuretoact),andobligetheWSBtobearthecostofinvestigatingthecomplaint.

3.5. Civil Society Organisations Civilsocietyhasbeenwidely recognizedasanessential ‘third’sector,most importantly for itsadvocacyroleasregardsgoodgovernancetenetsliketransparency,responsivenessandaccount-abilityinservicedeliveryandforitsabilitytobringtopublicattentionenvironmental,socialandcommunityconcerns.

WasrebconsiderstheroleofCSOs(NGOs,CBOs)inconsumerengagementtobeofamediatingandsupportingnatureandcomplementarytotheformal-institutionalapproachtakenbytheWa-terActionGroups.CivilSocietyOrganisations:


a. Directlyengagedinawareness/sensitisationactivitiesatgrassrootslevel

b. Mobilizecitizensandcommunitieswithin theirparticipatory,structuresandmakeuseoftheir convening power

c. Articulateconsumerinterestsintheengagementprocessonlocalandnationallevels

d. Encouragecitizenstomakeuseofavailableredress/recoursemechanisms

e. PromotesocialaccountabilityofWSIs

f. Conductindependentsurveysonconsumerviews/perceptionsandmakefindingsknowntotherelevantstakeholders

g. AssistinmonitoringcomplianceofWSIswithprovisionsoninformationdisclosureandcor-porate governance.

Wasrebacknowledgesthesignificantpotentialforenhancingconsumerengagementthroughsys-tematiccollaborationwithCivilSocietyOrganisations(CSOs).Coreareasforpotentialcollabora-tionwithCSOsinclude:

i. Buildingpolicyconsensus,disseminatingpolicypositionsandenhancingpublicsupportforpolicies

ii. Mobilizingparticularconstituents,particularlythevulnerableandmarginalizedtodemandforimproveddeliveryofwaterservicesthroughenhancedparticipation

iii. Buildingsocialcapital(associations,contactsnetworksandnormssuchastrustandtoler-ance) which strengthens cooperation between the various players in the water services sector

i. SupportandcooperatewithWAGsinprovidingfeedbackontheperformanceofWSPsandWSBsandinimplementingengagementactivities(suchcollaborationissubjecttopriorap-proval by Wasreb)

ii. ParticipateinWasreb/WSB/WSPorganisedengagementforumsandconsultativeevents

iii. SubjecttopriorWasrebapprovalandthroughformalizedengagementwithWasreb,partici-pateinresourcemobilizationtosupportestablishmentandcapacitybuildingofWAGsforsustainedimplementationofWAGsactivities.

InterestedCSOsarerequiredtoapproachWasrebforpartnershipsformalizedthroughMemoran-dumofUnderstandingonspecificareasofcollaboration.


4. WATER ACTION GROUP CONSUMER COMPLAINTS HANDLING PROCEDURE

TheWaterActionGroupComplaintsHandlingProcedure forms thebackbone forWasreb’sap-proachtoconsumerengagement,sinceitwillservetoholdWSPsandWSBsaccountabletowardsconsumers.Itconsistsofamaximumoffourconsecutivesteps:

1. ConsumercomplaintstoWSP

2. ConsumercomplaintstoWAGforfollow-upwithWSP/WSB

3. WAGforwardsconsumercomplainttoWSB

4. WAGforwardsWSP/WSB-relatedconsumercomplainttoWasreb.

STEP 1: Consumer Complaint to WSP

Scenario 1A –WSP resolves consumer complaint timely and to the satisfactionofconsumer:Complaintisregisteredasresolvedatfirststageandnofurtheractionisneeded.

STEP 2: Consumer Complaint to WAG for follow-up with WSP/ WSB

IncaseaWSPdoesnotprovideasubstantiveresponsetotheconsumerwithinatimeframeof10 working days(SPA,ScheduleD)aftercomplaintwassubmittedorconsumerremainsdissatisfiedwithresponseprovidedbyWSP,theconsumermayfilethecomplaintwithaWAGrepresentativeforfollow-up.TheWAGrepresentativewill immediatelyverifythecomplaint(registrationstatus,validity,responsibility)andwillreportittotheWSPfocalperson–foractionbyWSP–andincludeitinmonthlyWAG-WSPConsolidationReport.

Scenario 2A–WAGComplainttoWSPsatisfactorilyresolvedatfirstmonthlyconsoli-dationmeeting:Ifresolutionisconfirmedbytheaggrievedconsumer,theWAGshallregistercomplaintasresolvedatsecondstage

Scenario 2B – WAGcomplainttoWSPsatisfactorilyresolvedatsecondconsolidationmeeting:Ifresolutionisconfirmedbyaggrievedconsumer,theWAGshallregistercom-plaint as resolved at second stage

Scenario 2C – WAGComplainttoWSPnotsatisfactorilyresolvedatsecondconsolida-tionmeeting:ComplaintshallbeforwardedbytheWAGrepresentativeforfollow-upbythe WSB.

Incase theWSP responsesubstantiates that thecomplaint fallsunder the responsibilityofaWSB,theWAGrepresentativewillreportittoWSBfocalperson–foractionbyWSB–andincludeitinthequarterlyWAG-WSBConsolidationReport.

STEP 3: WAG forwards Consumer Complaint to WSB

WSP-relatedcomplaints:UnderScenario2C,theWAGrepresentativewillreportthecomplainttotheWSBfocalpersonandwillincludeitinthequarterlyWAG-WSBReviewReport.

Scenario 3A –WAGcomplaintissatisfactorilyresolvedatreviewmeeting(WSBactionpriortomeeting):


Scenario 3B –WAGcomplaintissatisfactorilyresolvedwithinagreedtimelimit(notexceeding15workingdays)afterreviewmeeting(WSBactionaftermeeting):

Underbothscenarios,theWSBhasinvestigatedthecomplaint,hasmediatedasolu-tion,and,whereapplicable,orderedtheWSPtopaycompensationfordamages.Ifres-olutionisconfirmedbyaggrievedconsumer,WAGshallregistercomplaintasresolvedat second stage. No further forwarding is necessary

Scenario 3C – WAGcomplaintisnotsatisfactorilyresolvedwithinagreedtimelimit(15workingdays)afterreviewmeeting:WherecomplaintremainspendingduetofailuretoactonsideofWSB,WAGshallforwardcomplainttoWasrebforfinalresolution.

WSB-relatedcomplaints:IfcomplaintreferstoadefaultofWSB,WAGrepresentativewillreportcomplainttoWSBfocalpersonandwillincludeitinquarterlyWAG-WSBConsolidationReport.

Scenario 3A* – WAG Complaint to WSB satisfactorily resolved at quarterly reviewmeeting: If resolution is confirmedbyaggrievedconsumer,WAGshall register com-plaint as resolved at second stage

Scenario 3B* – WAGcomplainttoWSBsatisfactorilyresolvedwithinagreedtimelimit(notexceeding15workingdays)after reviewmeeting: If resolution isconfirmedbyaggrievedconsumer,WAGshallregistercomplaintasresolvedatsecondstage

Scenario 3C* – WAGComplainttoWSBnotsatisfactorilyresolvedwithinagreedtimelimit(notexceeding15workingdays)afterreviewmeeting:Complaintshallbeforward-ed by WAG representative for follow-up by Wasreb.

STEP 4: WAG forwards WSP/WSB-related Consumer Complaint to Wasreb

Followingsituationunderscenario3C (unresolvedWSP-relatedcomplaint)or3C* (unresolvedWSB-relatedcomplaint),WAGimmediatelyforwardscomplainttoWasrebandincludesitinbian-nual WAG- Wasreb Review Report.

Scenario 4A/4A* – WAGcomplaintishandledsatisfactorilyatbiannualreviewmeet-ing(Wasrebactionpriortomeeting)

Scenario 4B/4B* – WAGcomplaintishandledsatisfactorilywithin15workingdaysafterbiannualreviewmeeting(Wasrebactionaftermeeting)

Underbothscenarios,Wasrebhas investigatedcomplaint,hasmediatedasolutionand/ordirectedWSP(WSP-relatedcomplaint)orWSB(WSB-relatedcomplaint)tocom-pensateaggrievedconsumer.Whereapplicable,WasrebhaspenalizedLicenseeforitsfailuretoactandhasobligedittobearthecostofinvestigatingcomplaint.Thelattershall be registered as resolved at fourth stage

WhereordersbyWasrebarenotcompliedwithbytheWSP/WSB,theRegulatormay,inlinewithSection68oftheWaterAct,choosetoprosecutethepartyfoundatdefault.

WhereaWSP,WSBorconsumerfeelsaggrievedbythefinaldecisionofWasrebanddisputesthesame,theaggrievedpartymayreferthecasetotheWater Appeal Board(WAB)forfinalresolu-tion.

ConsumersareencouragedtoseekresolutionoftheircomplaintsthroughtheWSIsinplace.Thisdoesnot,however,pre-emptotheravenuesofapproachsuchasprovidedthroughtheCommis-siononAdministrativeJustice.


Consumer feedbackprovidedtoWaterActionGroupsischannelledusingthesamemechanismsprovidedbythecomplaintsresolutionprocedure.WaterActionGroups:

a. CompilewrittensummariesofconsumerfeedbackandpresentitinConsolidationandReview Meetings with water sector institutions

b. Follow-uponundertakingswhichareagreedonwithWSPsorWSBsonthebasisofthefeedbackprovidedtothem

c. Forwardinformationontheimplementationstatusofundertakingstothenextlevel.


Consumer Complaints Handling Procedure

Water Appeal Board (WAB)

Biannual Review Meeting (WAG-WSP-WSB-WASREB)

Quartely Review Meeting (WAG-WSP-WSB) 3A:Complaintresolvedat

meeting3A*:Complaintresolvedat

meeting

Complaintfallsunderresponsibility of WSB

Timelimitforresponse by WSP 10workingdays

3C*:Complaint not resolved

3B*:Complaintresolvedaftermeeting(Timelimit ≤ 15 working days)

3B:Complaintresolvedaftermeeting(Timelimit≤ 15 working days)

2C: Complaint not resolved

Timelimit≤20workingdays

3C:Complaint not resolved

4B or 4B*: Complaint resolved after meeting (Timelimit ≤15 working days)

4A or 4A*: Complaint resolved at meeting

Step 4: WAG forwards WSP/WSB-related consumer complaint to WASREB

Ifcomplainantor WSI feels aggrieved by WASREB’s decision, the complaint may be referred to the Water Appeal Board

R

R

R

Step 3: WAG forwards consumer complaint to WSB

Step 2: If complaint not handled satisfactorily by WSP, complaint is filed

with WAG for follow-up

Consumer complaintR - ComplaintResolved

-Penalties/Compensationapplies

2nd Monthly ConsolidationMeeting

(WAG-WSP) 2B: Complaint resolved

2A: Complaint resolved

Complaint falls under responsibility of WSP

Step 1: Consumer complaint to WSP

1st Monthly ConsolidationMeeting

(WAG-WSP)

Consumer feedback

R

R

R

R


5. IMPLEMENTATION OF THE GUIDELINE

ThefollowingstepswillguidetheprocessofimplementingthisGuideline:

a. Incorporation of consumer engagement activities, objectives and indicators in businessplans(undercustomerservices),strategicplansandoperationalplansofWSPsandWSBs,in line with responsibilities outlined in section 4.

i. Licensees andWSPs shall budget for consumer engagement activities and instru-ments

ii. EngagementactivitiesofaWSPthatinvolveWaterActionGroupsoperatinginthere-spectiveserviceareashallbecommunicatedtoand,ifpossible,coordinatedwiththerespectiveWAGwithintheframeworkofthemonthlyconsolidationmeetings.

b. Establishment of Water Action Groups by Wasreb

WasrebwillgraduallyrolloutWaterActionGroupstoallurbanWSPs,withthelong-termobjec-tiveofestablishingoneWAGpercounty(whereserviceareasextendbeyondcountyboundaries,WAGscanalsobeformedacrosscounties).Therearetwomainapproachesfor theprioritizedestablishmentofWAGs:

i. Establishmentonaneedsbasis–WasrebwillfirstestablishWAGswhereitobservesunderperformanceofaWSPwithrespecttotherequiredminimumservicelevels(SPA,ScheduleD).InsuchacaseaWAGissetupasacomplianceandenforcementmeas-ure

ii. Establishmentonrequest:AWSPand/orlocalresidents/consumerscanformallyre-questfortheestablishmentofaWAGintheirservicearea.Wasrebwillconsidersuchrequest.

RecruitmentofWAGmemberswilltakeplaceonacompetitivebasisandaspertheWAGOpera-tional Guideline.

c. Establishing an Electronic Complaints Register/System

Toovercomeinefficienciesandinconsistenciesintheregisteringandreportingofconsumerfeed-backandcomplaints,WasrebaimsatimplementinganelectroniccomplaintssystemthatwillbeusedbyWSPs,WSBsandWAGsinregisteringandfollowinguponconsumercomplaints.Thesys-temwillhelpWSPsandWSBstohandlecomplaintsinamoreefficientandtransparentway.ItwillenableWasrebtobettermonitortheperformanceofWSPsandWSBswithrespecttominimumstandardsinserviceprovision(SPA,ScheduleD)generallyandconsumercomplaintsresolutionin particular.


5.1. Reporting to the Water Services Regulatory BoardInlinewithSection50(1-4)oftheWaterAct2002,LicenceClause12andtheReportingGuide-line,LicenseesandWSPsshallannuallyreporttoWasrebontheirconsumerengagementactiv-ities.Reportingshallbevia theWaterRegulation InformationSystem(WARIS)and theAnnualLicenseeandWSPReports.Thisincludesannualreportingonconsumercomplaintsreceivedandresolved,byarea,service,typeofcomplaintandlevelofresolution(SPA12.7(b).

5.2. Monitoring and Enforcement of the GuidelineCompliance to the consumer engagement provisions under this Guideline will be monitoredthroughtheWaterRegulationInformationSystem(WARIS),inspections,whereapplicable,WAGsComplaints ReviewReports toWasreb and,when available, an electronic complaints system.WhileWasreb’scurrentcompliancemonitoringregimealreadycoversanumberofindicatorsonconsumerengagement,thenewprovisionsnecessitateaddingthefollowingindicatorstoit:

WasrebwillmonitortheperformanceofWSPsandWSBsinresolvingconsumercomplaintsandwillreportannuallytothepubliconthecomplaintsresolutionrateofWSPsandWSBs.

Non-compliancewiththeGuidelinewillresultinenforcementactionsbyWasrebinlinewithitsComplianceandEnforcementStrategy,includingissuingofpenalties,publishingofthedefault,placingaLicenseeorWSPunderaSpecialRegulatoryRegimeandconsiderationofnon-approvalof tariffs.

LEAD SKILL CHECKING COMPLIANCE

INDICATOR ASPECTS OF COMPLIANCE & ENFORCMENT

Communications

andInformation

Managemen

Legal and

Enforcement

New indicators to be monitored

ServiceCharteravailable EnsurethatServiceChartersareavailable

Numberandpercentageofcomplaints(Cs)resolvedatfirstlevel;noWAGinvolvement

Ensurethatcomplaintsarerecordedandreported

Where WAGs are available

Numberofpublichearingsconductedperyear Ensure that public hearings are conducted at least twice a year.

NumberandpercentageofCsresolvedatsecondlevel;WAGintervenesata) WSP-level(WSP-relatedCs)b) WSB-level(WSB-relatedCs)

EnsurethatWAGsConsumerComplaintsProcedureisappliedandthatcomplaintsare recorded and reported

NumberandpercentageofCsresolvedatthirdlevel;WAGforwardsCtoWSB(onlyappliestoWSP-relatedCs)

Numberandpercentageofcomplaintsresolvedatfourthlevel–WAGforwardsWSP/WSB-relatedCtoWasreb




Water Services Regulatory Board5th Floor, NHIF Building, Ngong Road

P.O. Box 41621 - 00100 GPO Nairobi, KenyaTel: +254 (0)20 2733559/61

Fax: +254 (0)20 2733558Email: [email protected]

Website: www.wasreb.go.ke

Design & Layout |RealONE Concepts Ltd | Tel: +254 (0)20 2014741, 2694177 | Cell: 0716 582246 | Email: [email protected] | www.realoneconcepts.com

Documents

Consumer Engagement Guideline Consumer Engagement... · 2017-07-07 · b. Consultation refers to a two-way dialogue between WSIs and consumers, in order to chan-nel and respond to