Water, Sanitation and Hygiene (WASH) in Fisheries and Aquaculture Rapid Needs Assessment Tool USER GUIDE About the Water Global Practice © 2022 International Bank for Reconstruction and Development/The World Bank Launched in 2014, the World Bank Group’s Water Global Practice brings together 1818 H Street NW, Washington, DC 20433 financing, knowledge, and implementation in one platform. By combining the Telephone: 202-473-1000; Bank’s global knowledge with country investments, this model generates more Internet: www.worldbank.org firepower for transformational solutions to help countries grow sustainably. This work is a product of the staff of The World Bank with Please visit us at www.worldbank.org/water or follow us on Twitter at external contributions. The findings, interpretations, and conclusions expressed in this work do not necessarily @WorldBankWater reflect the views of The World Bank, its Board of Executive Directors, or the governments they represent. 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Please visit us at https://www.worldbank.org/problue Cover photo: Visual Stories Micheile/unsplash Water, Sanitation and Hygiene (WASH) in Fisheries and Aquaculture Rapid Needs Assessment Tool User Guide CONTENTS Abbreviations 03 Introduction 04 Overview of the Tool and User Guide 06 Guidance for using the Rapid Needs Assessment Tool 09 Assessment preparation 10 Assessment methods 11 Laboratory test results 11 Record and documentation reviews 11 Direct observations 12 Key informant interviews 12 Focus group discussions 13 Gender responsive assessment 13 Scoring 13 Analysis 14 Reporting 14 References 16 02 WASH IN FISHERIES AND AQUACULTURE ABBREVIATIONS COVID-19 coronavirus disease 2019 SOP standard operating procedure DHS demographic and health survey SOWC State of the World’s Children F&A fisheries and aquaculture TTL task team leader FAO Food and Agriculture Organization UN United Nations HMIS health management information system WASH water, sanitation, and hygiene MICS multiple indicator cluster survey WHO World Health Organization SDG Sustainable Development Goal RAPID NEEDS ASSESSMENT TOOL: USER GUIDE 03 Introduction OZIEL GOMEZ / UNSPLASH 04 WASH IN FISHERIES AND AQUACULTURE Fish and fish products are a key component to a The Sustainable Development Goals (SDGs) encourage in- healthy diet for over a billion people (WHO 2016). dustries to address the issue of WASH through the primary The fisheries and aquaculture (F&A) sector plays an goal of universal access to water and sanitation by 2030 (Goal 6). Ensuring that fish and aquaculture products are safe important role in food security and nutrition, poverty to eat and accessible to low-income populations is part of eradication, equitable development, and sustainable the solution to achieving SDG2: to end hunger and achieve resource utilization. World fish production reached food security and improved nutrition (UN 2015). Ensuring 179 million tons in 2018. Of the 156 million tons pro- that gender-differentiated roles and WASH-related practices duced for human consumption, 52 percent came are considered at different stages and types of the F&A value from aquaculture and the remaining from capture chain and among geographies is critical to effectively ad- fisheries (FAO 2020). dress WASH challenges (Goal 5). Fish producers should make sure that their products are safe WASH interventions can help prevent the spread of coronavi- to eat and of high quality. Food safety and quality can be rus disease 2019 (COVID-19). Even though, as of this writing, compromised during the production stage, but the occur- COVID-19 does not affect fish directly and is not transmitted rence of most foodborne diseases are associated with a lack through fish consumption, people in the sector can still be at of hygiene during postharvest activities (WHO 2016). risk and be impacted by COVID-19. Water supply, sanitation, and hygiene (WASH) infrastructure The objective of this rapid needs assessment is to assist World and practices are essential to ensure fish health, provide safe Bank Group task team leaders (TTLs) to identify needs and fish and fish products, and reduce the spread of antimicrobial gaps in the design and implementation of WASH measures in resistance. Implementation of WASH services are key to the the F&A sectors for their project area. This user guide outlines health of workers in the F&A sector. Large F&A operators the processes to conduct a rapid needs assessment directed often follow international standards or guidelines for best at small-scale operators in low- and middle-income countries. practices that integrate these standards of water manage- Once TTLS identify the gaps, they can use the Guidance Note ment, hygiene, and sanitation, but small-scale producers on WASH in Fisheries and Aquaculture (World Bank 2022) to often lack the means to produce safe and high-quality fish determine which interventions can improve product quality (WHO 2016). and the health of the communities. RAPID NEEDS ASSESSMENT TOOL: USER GUIDE 05 Overview of the Tool and User Guide HAMISH JOHN APPLEBY / IWMI 06 WASH IN FISHERIES AND AQUACULTURE Table 1 WASH components covered and their respective intervention areas WASH component Intervention area Potable water supply Assessment of intake water Water supply Filtration and disinfection of intake water and quality Use of quality ice Use of alternatives to ice (gel packs) Feed management Waste and wastewater Wastewater treatment technologies management Waste management The rapid needs assessment aims to understand the Site selection and design spectrum of needs and risks, estimated severity of conditions, and existing capacities and resources. Cleaning and disinfection The assessment covers all stages of the F&A value Antifouling and cleaning of nets chain and F&A communities. It is aimed at three Personal hygiene WASH components: (a) water supply and quality, Worker’s health and safety system (b) waste and waste management, and (c) sanitation COVID-19 prevention and hygiene and their respective intervention areas Sanitation facilities (see table 1). Sanitation Menstrual hygiene management The tool kit consists of a checklist and a user guide. The and hygiene Quarantine facilities and measures checklist is based on good practices identified in the guidance Restriction of traffic/movement note, which uses international standards and best practice Use of high-quality seed guidelines. TTLs will use the tool kit to collect and analyze information about the needs of the target group. This will Stock immunity help determine gaps between the current situation and the Predator and pest control desired practices as outlined in the checklist. The checklist Disease outbreak control can be used to collect vital information for the World Bank Storage and transportation Group on the effectiveness of interventions, if the needs as- Fish processing and food handling sessment is performed before and after projects. RAPID NEEDS ASSESSMENT TOOL: USER GUIDE 07 The checklist lists elements for each intervention area. The Thus, each project may focus on different elements. The applicability of the element is indicated through the follow- proposed verification methods can guide the assessor in ing icons: how to check the element (e.g., observation, records, docu- mentation, or interview). The assessment part has columns in which the score can be ticked and columns for justification and reference. Applicable to fisheries The user guide facilitates the use of the rapid needs assess- ment tool on WASH in F&A and aims to: u Promote the understanding of the tool and enable users to apply it independently. Applicable to aquaculture u Provide guidance on what information to collect. The checklist and user guide should be used with the guid- ance note, which often elaborates on the elements to check. For further information about the linkages between WASH, Applicable to postharvest activities F&A, and human health, please refer to the Rapid Desk Re- view: WASH in Fisheries and Aquaculture (World Bank 2021). The tool is not intended to be comprehensive. Detailed guid- ance varies by location. Users should refer to standards and policies established by local authorities. Tools and guidance Applicable to community can be adapted to the specific country context, project, and stakeholder needs. 08 WASH IN FISHERIES AND AQUACULTURE Guidance for using the Rapid Needs Assessment Tool ALEX PROIMOS / WIKIMEDIA RAPID NEEDS ASSESSMENT TOOL: USER GUIDE 09 The length and depth of the rapid needs assessment Table 2 Reference materials depends on available time, budget, and resources Category Data source (examples) and the project’s size. To determine the assessment’s timeline, a defined scope should be developed, in- WASH-related health statistics HMIS, DHS cluding range of expertise required. The scope can be WASH statistics DHS, SOWC used to recruit TTLs and other staff and consultants. Fish catch and aquaculture Department of fisheries/local The main procedures in the assessment process are production data authority preparation, methods, and analysis and reporting. Water quality data Environmental agency/ministry Assessment preparation Standards and legislation Government (environment, fisheries), bureau of standards u Obtain the latest version of the rapid needs assessment FAO, WHO, UN, local/national Previous projects checklist and user guide. authorities u Review the checklist. Note: DHS = demographic and health survey; FAO = Food and Agriculture u Collect pertinent reference materials (see table 2). Ex- Organization; HMIS = health management information system; SOWC = State of the World’s Children; UN = United Nations; WHO = World Health amples may include: Organization. u Situation analyses u National surveys, such as the demographic health sur- u Determine assessment sites based on scope, size, and aim vey (DHS) and multiple indicator cluster survey (MICS) of the project. u Local and national standards and legislation u Apply for local and/or international review board approval u International standards and best practices (if applicable). u Consult with thematic experts, as needed, to fill any re- u Select assessors who have sufficient knowledge and skills, maining information gaps; experts may include: are familiar with cultural norms, and can speak the local u Health specialists language. In addition: u Gender specialists u Assessors should have at least five years of experience u F&A specialists in F&A. 10 WASH IN FISHERIES AND AQUACULTURE u As far as possible, ensure gender balance, ethnic diver- sity, and complementary and multidisciplinary skill sets. Assessment methods u Provide assessors with clear instructions on responsi- To prepare the checklist, write down information on the bilities and work objectives. company or community where the rapid needs assessment u will be carried out, including the company’s or community’s Assessors should know how to engage with communi- name, persons interviewed, date, location, and type of ties appropriately and how to react to emergency and facility. disaster situations. u Assessors will need to be well-versed in the assess- Five main verification methods are recommended in the ment methods they will carry out, such as interviews, checklist: laboratory tests, record and document reviews, observations, and focus group discussions. key informant interviews, observations, and focus group dis- u Prepare the rapid needs assessment checklist, as needed: cussions. In addition, a gender responsive needs assessment is critical to accurately reflect the perspectives and opin- u Select the correct checklist(s) needed for your ions of women and men participants, who represent their project (fisheries, aquaculture, postharvest and/or community. community). u Complete the Reference column with the guideline, Laboratory test results standard, or regulation against which the assessors should evaluate. Laboratory tests should be conducted to determine, for example, water and soil quality. Assessors will verify these u Gather required materials and supplies. Resources re- test results at the facility. If these are unavailable, samples quired may include: should be taken and a laboratory equipped with the neces- u Checklist with pertinent standards and best practices sary equipment should conduct the testing and obtain the filled in. required equipment and supplies. u Camera to collect proof or justification. u GPS to mark location of vessel, facility, or community. Record and documentation reviews u Water quality test kits and measurement equipment to Various records may serve as historical proof. Assessors will verify water quality. need to be trained in what the required records are referring u Hygiene and moisture test kits. to, what they look like, and where to find pertinent infor- mation. We suggest taking photographs of the necessary u Temperature probes and timers. records. Documents such as standard operating procedures u Basic supplies such as pens, paper, and clipboards. (SOPs), work instructions, protocols, and plans should be u Train assessors (and supervisors, as needed). reviewed as well. u Plan logistics. RAPID NEEDS ASSESSMENT TOOL: USER GUIDE 11 Direct observations Box 1 INTERVIEW TECHNIQUES Direct observation is a data gathering technique that may include watching a process, behavior, characteristic, or inter- Share these and similar techniques with assessors. action; providing a snapshot of the conditions or a situation, such as observing conditions and features from a range of u Prepare yourself well. viewpoints and places; and walking around the premises and using all senses to get a good overview of the conditions. u Introduce yourself and the aim of the interview. Some activities are conducted at a certain time or day, so u Ensure confidentiality agreements or nondisclosure this should be considered when doing a site visit. Observa- agreements are in place, if needed. tions often lead to further questions that can be answered by interviews or discussion groups and cross-checking answers u Ensure privacy of the interview premises. with questions. u Ask open-ended questions and avoid leading Key informant interviews questions. For some elements, record reviews and observations are u Show respect based on the social and cultural con- not sufficient. Assessors will need to be trained in conduct- text and the appropriate level of formality. ing key informant interviews, and semistructured interview protocols may need to be created (box 1). Key informant u Pay attention and use active listening techniques, interviews can be used to verify historical records or gather even if what the respondent is saying is not immedi- additional insight. Depending on the element, interviews ately relevant. may be conducted with business managers, staff, or commu- nity members. Low participation rates of 20 percent or 30 u Be objective. percent by one gender or age group can skew findings sig- nificantly. If there is difficulty attracting female participants, u Be aware of nonverbal communication. they may be facing barriers or obstacles to participation, u Repeat or summarize answers. including the location or time of the interviews. It is strongly recommended to ensure gender balance and age groups u Be thankful and ask respondents if they have any- when conducting key informant interviews. If applicable, mi- thing to add or have questions. nority groups, such as the physically disabled, should also be included. They can provide different aspects about proce- Ensure respondents are given information on the out- dures, access, risks, priorities, vulnerabilities, and capacities come of the assessment. at the business or community level. 12 WASH IN FISHERIES AND AQUACULTURE Focus group discussions u Assess the gender division of tasks in the target groups among productive, reproductive, and community activi- Focus group discussions are especially useful for quickly ties and analyze how these relate to health challenges. obtaining a range of viewpoints. They typically contain four u Analyze social norms affecting men’s and women’s access to eight individuals, enough people to ensure a lively discus- to WASH services and available infrastructure among the sion but small enough that voices are not lost (WHO 2020). stages of the F&A value chain. Views should be sought from a balanced number of women and men, different age groups, minority groups, and the u Assess behavioral norms and infrastructure and how physically disabled, as relevant. these differ by gender. u Ask questions to men and women to assess their perspec- Assessors will need to be trained in conducting focus group tives, even on questions that deal with women’s issues discussions, and protocols may need to be created. For ex- (such as menstrual hygiene). For instance: “What do you ample, women speak much less in group settings when men think are the most serious issues facing women in the F&A are present (Liamputtong 2002). Single-sex focus groups sector?” can help understand differences in perspectives between men and women, and some topics may be best discussed u Collect and analyze quantitative and qualitative data on with a female-only group (e.g., menstrual hygiene). decision-making processes and participation of women and men in WASH-related activities. A focus group discussion should be held in a comfortable location; organizers should try to minimize interruptions and encourage an informal atmosphere. There should be an Scoring agreement and understanding in the group on the reason Each applicable element of the checklist will be assessed for the discussion. Effective notes should be taken, or the (according to the predetermined reference, column M) and discussion should be recorded (with permission). scored according to the following three-level rubric: (a) ad- equate (low risk); (b) minor improvements needed (medium Gender responsive assessment risk), or (c) inadequate (high risk). The scores are explained Undertaking gender analysis to identify gender-specific in table 3. WASH-related challenges is a systematic attempt to identify The assessor should justify the score with an explanation. If key issues contributing to gender inequalities and possible applicable, the criteria should be included as a reference (SOP, solutions. Prepare assessors with these tasks to follow: best practice guidelines, regulation). Exact criteria are not u Identify the WASH needs, priorities, and risks of men provided because they can vary among countries and project and women workers in the F&A sector, depending on the areas. National and local standards and regulations should be country context and which stage of the value chain they followed. In case these are absent, international best practice are in. guidelines can be followed (e.g., WHO guidelines). RAPID NEEDS ASSESSMENT TOOL: USER GUIDE 13 Table 3 Scores and description of risk categories based on good practices in checklist Score Risk Description Examples Procedures are in place and implemented, laboratory test results Adequate Low Business or community follows good practices. show variables are in range, infrastructure is available, well- maintained, and clean. Business or community does not comply with Equipment not meeting correct standards. Minor good practices but is not likely to reduce improvements Medium establishment´s ability to meet acceptable There are minor sanitation or minor construction deficiencies (broken required hygiene, food safety, worker’s health, and drainpipe or water tap for hand washing not functioning optimally). environmental requirements. Business or community does not implement good practices so that if the situation were allowed Ineffective pest control (rats are seen), inadequate cleaning program, Inadequate High to continue it may result in unsafe products, no toilets available, no effluent treatment, or no use of ice or reduced fish health, pollution, and worker’s health alternatives. implications. Analysis gap and the extent to which the intervention could be ef- fective. Expectations of change of gaps over time should be The method of analysis may vary according to the needs considered. Feedback from stakeholders on the results of of the project and available budget and other resources. the needs assessment may help prioritize interventions. Typically, the rapid needs assessment is used to qualitatively evaluate the gaps between the current situation and the de- Reporting sired outputs and outcomes. The results include consolidated data collected through the checklists and the background Reporting of findings is an important aspect of the rapid data. These data should be summarized, detailing key obser- needs assessment, and TTLs should be as detailed as possible. vations and findings. Using the results, gaps such as missing This will benefit the project and can help identify further im- infrastructure or technology, processes, practices, or skills provements in the needs assessment tool. Reporting should can be identified. be performed on the checklist, which should be kept as a controlled document in a document management system. The gaps can be filled by implementing interventions. High- risk gaps should be prioritized, followed by elements that Standardization of the reporting template is required to en- need improvement. Depending on the project goals, inter- sure that the quality of the information is consistent. Other vention areas might be prioritized using the reason for the important aspects of reporting include: 14 WASH IN FISHERIES AND AQUACULTURE u Review and consensus among the TTLs of the outcomes in confidence” or privacy issues) so they can be applied to of the report. TTLs involved in the project should sign off other cases. on the report prior to submission. u Recommendations on potential improvements and u Number of items (e.g., SOPs, records, observations, in- implementation of WASH interventions will be a crucial terview answers) checked. For each criteria, the number outcome of the needs assessment for any World Bank of items checked helps the reader or project team leader Group project. Subject matter experts may need to be in- determine the depth of the assessment. volved, depending on the complexity of the intervention. u Justification of the assessment score should be described It is recommended that the report is presented in a table in detail, especially in the first few years, so a review pro- (see table 4). cess can identify and correct weaknesses. u Novel interventions may be found when conducting the Results should be communicated to the participants and rapid needs assessment that are effective at reducing other stakeholders in a report or stakeholder meeting. Feed- WASH-related risks. These interventions should be docu- back should be recorded and integrated in the final report. mented in the final report in detail (if no commercial “told Table 4 Reporting template Good practice Number recommendation of items Assessment Justification Intervention recommendation checkpoint checked 1.1 4 Minor improvement needed Potable water comes from improved u Monitor effectiveness of disinfection sources but does not have adequate using laboratory testing and testing disinfection method applied or monitored for chlorine u Reassess and install adequate disinfection equipment (inline chlorine dosing) … … … … u … RAPID NEEDS ASSESSMENT TOOL: USER GUIDE 15 REFERENCES FAO. (2020). The State of World Fisheries and Aquaculture 2020: Sustainability in action. https://doi.org/10.4060/ca9229en Liamputtong, P. (2002). Focus Groups: Theory and Practice. Sage Publications: Thousand Oak. https://methods.sagepub.com/ book/focus-group-methodology UN. (2015). Transforming our world: The 2030 agenda for sustain- able development – A/RES/70/1 (p. 41). WHO. (2016). Five keys to safer aquaculture products to protect pub- lic health. 1–38. https://apps.who.int/iris/handle/10665/204618 WHO. (2020). Health Cluster Guide – A practical handbook. In WHO (2nd ed.). https://www.who.int/health-cluster/resources/ publications/hc-guide/HC-Guide-chapter-10.pdf?ua=1 World Bank. (2021). “Rapid Desk Review: Water, Sanitation and Hygiene (WASH) in Fisheries and Aquaculture” (unpublished internal World Bank document, September 2021). Washington, DC: The World Bank Group. World Bank. (2022). Water, Sanitation and Hygiene (WASH) in Fisheries and Aquaculture: Guidance Note. Washington, DC: The World Bank Group. 16 WASH IN FISHERIES AND AQUACULTURE RAPID NEEDS ASSESSMENT TOOL: USER GUIDE 17 18 WASH IN FISHERIES AND AQUACULTURE