OR/18/002 Institutional framework and guiding documents for RWS in Uganda

Liddle, E and Fenner, R. 2017. Review of handpump-borehole implementation in Uganda. British Geological Survey Open Report, OR/18/002.

Prior to 1997, the Government of Uganda (GoU), via the MWE was responsible for all RWS delivery in Uganda. In 1997, however, having undergone decentralisation, the responsibilities for RWS shifted to the district local governments (DLGs) under the newly formulated Local Governments Act (1997). Today, the planning, procurement, implementation for RWS projects is driven by the DLGs with support from the MWE and a series of MWE technical support units. A multitude of civil society organisations also plan, procure for, and implement RWS projects.

The following sections outline the roles and responsibilities of the different actors in the planning, procurement, and implementation of RWS projects. The main actors and their relationships are summarised in Figure 2.1. The two main documents that guide all RWS planning, procurement, and implementation in Uganda are then explained.

File:OR18002fig2.jpg

Figure 2.1 Main actors in Ugandan RWS.

MWE (DWD): Ministry of Water and Environment (Directorate of Water Development). MWE (DWRM): Ministry of Water and Environment (Directorate of Water Resources Management). MoFPED: Ministry of Finance, Planning and Economic Development. TSUs: technical support units. DLGs: district local governments. DWOs: district water offices. CSOs: civil society organisations. O&M: operations and maintenance.

National level actors

The MWE is responsible for coordinating, regulating, and monitoring all other actors and their activities and for providing support to DLGs and other service providers. MWE is comprised of three directorates, two of which are directly involved in RWS: 1) the Directorate of Water Development (DWD), and 2) the Directorate of Water Resources Management (DWRM).

For RWS services, DWD, under their Rural Water Supply and Sanitation department, provides technical oversight and support to the DLGs in their planning, procurement, and implementation. DWD is also responsible for capacity development at the DLG level.

DWRM is responsible for developing and maintaining national water laws, policies, and regulations. As part of this work, DWRM is responsible for managing and monitoring the use and development of water resources. DWRM does so through issuing water use, abstraction, and wastewater discharge licenses. Additionally, DWRM is responsible for ensuring the quality of work during water infrastructure construction. For RWS projects this involves issuing drilling contractor and individual hydrogeologist/groundwater consultancy firm licenses.

To assist their work, DWD has nine technical support units (TSUs) across the country. TSUs support and monitor DLG work. Their main activities throughout the year include: technical support to DLGs in developing their annual work plans for water supply, communicating new planning and budgeting guidelines to DLGs, verification of works, and review of DLG performance. The TSUs were originally developed in 1997 as a short-term structure in the early days of decentralisation to help build the capacity of the new employees in the district water offices (DWOs) (there were originally eight TSUs). This original project was for five years and was donor funded. Come 2002, however, it was realised that given the high turnover of employees within the DWOs, as well as the ongoing formation of new districts, capacity at the district level was an ongoing problem, hence TSUs were still needed. TSUs therefore became a permanent part of the MWE structure. Today, approximately 35 staff are employed across the nine units and the water supply sub-sector is the only in the country that has this mid-level tier between central and local government.

The Ministry of Finance, Planning and Economic Development (MoFPED) plans for and releases the indicative planning figures and the conditional grant finances for RWS services to the DLGs.

Development partners (for example, Department for International Development and African Development Bank) provide a substantial amount of funding for RWS programmes. A Sector Wide Approach to Planning (SWAP) for the Water and Sanitation Sector was adopted in September 2002. Development partners and the GoU therefore support a single policy and expenditure programme, which is under GoU leadership. The rural water and sanitation sub-sector SWAP implementation is the most advanced in the country terms (MWE, 2016a). Development partners also provide funding for civil society organisation programmes.

Civil society organisations (CSOs) (non-governmental organisations, faith-based organisations, and community-based organisations) play an active role in RWS and every year drill and install a number of HPBs. CSO efforts compliment DLG efforts. MWE expects CSOs to follow the guidelines and protocols set out in the District Implementation Manual (DIM) (MWE, 2013b) and in the Sector Grant and Budget Guidelines (for example, MWE, 2016b) (see Section 2.5) when implementing a HPB project. When a CSO is planning a project in a particular district, they must go through the DWO and utilise the DWO’s knowledge when identifying the communities. Constant communication between CSOs and DWOs is required to: a) help target the most in need communities, b) inform the DWO of what is happening, and c) ensure that DWO and CSO plans do not replicate each other, i.e. to ensure two HPBs are not being planned for the same community at the same time. In 2017, the Uganda Water and Sanitation NGO Network (UWASNET) had a membership of 150 CSOs, although not all are working on HPBs. Many focus on the construction of alternative water supply infrastructure, for example, protected springs, and software activities, including, community mobilisation, training of water user committees (WUCs), capacity building in DLGs, hygiene promotion, and advocacy and lobbying.

Private sector

The private sector is responsible for the direct implementation of water supply activities through contracts from DLGs, CSOs, and private individuals. The private sector is typically engaged via a competitive bidding process. MWE guidelines state that all HPB projects must procure:

1. An individual hydrogeologist or a groundwater consultancy firm for the siting work. This person/firm must hold a valid license from DWRM.
2. A drilling contractor (DC) for D/I. The DC must hold a valid license from DWRM.
3. An individual hydrogeologist or a groundwater consultancy firm for D/I supervision. This person/firm must hold a valid license from DWRM. For ease of contract management, this person/firm can be the same as that procured to do the site selection work.

NB: individual hydrogeologist or a groundwater consultancy firm, is referred to as a consultant heron.

The GoU is firmly committed to privatisation, hence neither they, nor DLGs, should be drilling themselves, nor should they own any drilling rigs.

In order to operate in Uganda, DCs must have a valid drilling license which is issued annually (June) by DWRM. It is illegal for DLGs, CSOs, and private individuals to contract a non- licensed DC. A list of DCs with valid drilling licenses is published at the beginning of the financial year (July) in the national newspapers. DC licenses began in 1999 and for a DC to be able to apply for a license they need to submit documentation outlining their equipment, their staff, along with their CVs, and the company's history. For a DC license to be issued, the given DC must meet a range of technical and financial criteria.

DWRM introduced a similar licensing process for consultants in July 2016. As with DCs, for a consultant license to be issued, the given consultant must meet a range of technical and financial criteria. In July 2017, it became illegal for DLGs, CSOs, and private individuals to contract a non-licensed consultant for siting or supervision. A list is published alongside that of the DCs.

The Ugandan Drilling Contractors Association (UDCA) was established in 2016; their future plans include:

1. regular spot-checks of drilling operations,
2. capacity building through running short courses for drillers,
3. communication of new government guidelines and rules with drillers,
4. the development of a code of practice for drilling,
5. working with MWE to identify and sanction problematic DCs.

From June 2017, DC drilling licenses will not renewed and new licenses will not be issued if the DC is not a member of UDCA.

District level

DLGs are responsible for the provision and management of RWS services in liaison with DWD. DLGs (121 in total) receive conditional grants from the MoFPED for this work, specifically the Development Grant and the Non-Wage Grant. The Development Grant must be spent on hardware related activities: 80% on new water source construction, 15% on rehabilitation, 5% on investment planning (per the 2016/17 Sector Grant and Budget Guidelines (MWE, 2016b name="mwe2016b") – these percentages can change from year to year). The Non-Wage Grant is to be spent on software activities, including community sensitisation, mobilisation, WUC trainings, meetings between the DWO and sub-county extension workers, and any administrative/office costs in the DWO. This conditional grant structure was introduced in financial year 2015/16. Pre-2015/16, DLGs received one conditional grant for this work which had be to be divided between the different activities. While the division varied from year to year, the percentages were typically: ~75% on new water source construction, ~15% on rehabilitation, ~7% on software activities, and ~3% on administration.

The following DLG offices are involved during RWS planning, procurement, and implementation.

The District Water Office (DWO) oversees all water supply interventions. For RWS, their main activities include:

1. collection, collation, and assessment of community requests for new water sources, including community visits to assess need and demand for a new water source,
2. preparation of the annual work plan,
3. procurement of consultants and DCs in partnership with the District Procurement and Disposal Unit and the District Contracts Committee;
4. drafting of contracts in partnership with the District Procurement and Disposal Unit,
5. contract management,
6. mobilisation of sub-county extension workers for community sensitisation, mobilisation, and WUC training,
7. monitoring of water sources post-construction and reporting of information to DWD,
8. preparation and submission of quarterly reports to the DWRM that indicate all work conducted in the district over the past quarter, and
9. in case of disasters and emergency situations, the DWO are to actively participate in disaster management in collaboration with other relevant departments.

All DLG projects are planned one year in advance of the financial year (1st July – 30th June) in which they will be implemented, depending on the indicative planning figures that have been assigned to the respective DWOs. These figures are typically released in October for the following financial year. When implementing a HPB project, all DWOs must follow the guidelines and protocols set out in the DIM and in the given financial year’s Sector Grant and Budget Guidelines (see Section 2.5). The following staff must be employed in each DWO (MWE, 2016b):

• 1 water engineer (commonly referred to as the district water officer — acts as the project manager for DWO led projects),
• 1 engineering assistant (commonly referred to as the borehole technician), and
• 4 assistant water officers.

The Chief Administrative Officer (CAO) is responsible for the overall management and approval of the annual work plan for water supply that is prepared and submitted by the DWO. The CAO is also the accounting officer for all district funds.

The District Engineer is involved in the implementation of the district water programme and is the immediate supervisor of the district water officer.

The District Procurement and Disposal Unit (PDU) is responsible for procurement and disposal activities, including planning for procurement, recommending the most appropriate methods for procurement, advertising bid opportunities, preparing and issuing bid documents, preparing and issuing approved contract documents, and supporting the District Contracts Committee.

The District Evaluation Committee (DEC) is responsible for evaluating all bids and reporting the results of this evaluation to the PDU. The DEC is comprised of a minimum of three members, and should include DWO technical staff.

The District Contracts Committee (DCC) is responsible for adjudicating the recommendations from the PDU, approving the DEC results, approving bidding and contract documents, and approving the procurement and disposal methodology used. The DCC is established by the CAO and is comprised of five members.

Community level

WUCs within recipient communities are responsible for O&M post-construction. O&M costs are to be covered by the WUC, including paying for a handpump mechanic if needed and the purchase of spare parts. The WUC is also responsible for reporting any repair requirements that are beyond their financial and technical capacity to the sub-county.

Guiding documents for RWS planning, procurement, and implementation

Two main documents guide all RWS planning, procurement, and implementation in Uganda: 1) the District Implementation Manual (2013) and 2) the Sector Grant and Budget Guidelines (released annually). Both were referred to in the previous sections. MWE expects all actors within RWS, including CSOs, to follow the guidelines set out in these documents.

The District Implementation Manual (DIM) (2013) provides an overview of the planning, procurement, and implementation process that MWE expects all actors in rural water supply and sanitation (WASH) to follow. The DIM is designed as a one-stop reference document for practicing WASH professionals and for any new actors that need to orientate themselves with the sector (MWE, 2013b). It includes details on:

1. the legal, policy, and institutional framework for rural WASH,
2. the DLG planning, monitoring, and evaluation process for WASH,
3. the process that needs to be followed when selecting recipient communities,
4. the process that needs to be followed for community mobilisation and sensatisation,
5. the different WASH technologies that may be installed in communities (includes design guidelines),
6. who from the private sector needs to be procured when implementing a rural WASH project,
7. the different methodologies that can be used for procurement and the process that needs to be followed under each,
8. contract management procedures, and
9. the data that needs to be submitted to MWE at the end of any WASH project.

The Sector Grant and Budget Guidelines are prepared annually by DWD and act as a guide, in partnership with the DIM, for the planning, procurement, and implementation of RWS activities. It is in these guidelines that DWD communicates the conditions on which the conditional grants are being given, how the conditional grants from MWE are to be spent (the percentages for different activities), and any changes in the way procurement and implementation are to be conducted in the coming financial year.