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GOVERNMENT OF THE UNITED REPUBLIC OF TANZANIA

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GOVERNMENT OF THE UNITED REPUBLIC OF TANZANIA Powered By Docstoc
					          THE UNITED REPUBLIC OF TANZANIA




              MINISTRY OF WATER




    WATER SECTOR DEVELOPMENT PROGRAMME

                   2006 – 2025




PROGRAMME IMPLEMENTATION MANUAL




             NOVEMBERSEPTEMBER 2006




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                                          Table of Contents

                                                                               Page
      Acronyms                                                                  v
      Definitions                                                               vii

1.    INTRODUCTION                                                                1
      1.1     Policy Framework                                                    1
      1.2     National Water Sector Development Strategy                          1
      1.3     Water Sector Development Programme                                  2
      1.3.1   Programme Objectives                                                2
      1.3.2   Programme Scope and Components                                      3
      1.3.3   Priority Areas of Intervention                                      5
      1.4     Institutional Arrangement                                           6
      1.5     Legislation                                                         8
      1.6     Programme Implementation Manual                                     9

2.    INSTITUTIONAL ARRANGEMENT                                                  10
      2.1       Water Resources Management                                       10
      2.2       Water Supply and Sanitation                                      12

3.    PLANNING PROCESS                                                           14
      3.1      Water Resources Management                                        15
      3.1.1    National Level                                                    15
      3.1.2    Basin Level                                                       15
      3.1.3    Local Government Level                                            16
      3.1.4    Community Level                                                   17
      3.2      Rural Water Supply and Sanitation                                 17
      3.2.1    National Level                                                    17
      3.2.2    Local Government Level                                            18
      3.2.3    Community Level                                                   19
      3.3      Urban Water Supply and Sewerage                                   22
      3.3.1    National Level                                                    22
      3.3.2    Water Supply and Sewerage Authority Level                         22
      3.4      Strengthening of Executive Agencies                               23
      3.4.1    National Level                                                    23
      3.4.2    Agency Level                                                      23
      3.5      Guidelines for Hiring of Service Providers                        24
      3.6      Hygiene and Sanitation                                            24
      3.7      Financial Resource Utilisation Agreement                          27

 4    GUIDELINES ON TECHNOLOGY OPTIONS                                           28
      4.1      Technology Options for Water Resources Management                 28
      4.1.1    Technical Guidelines                                              28
      4.1.2    Water Quality                                                     30
      4.2      Technology Options for Rural Water Supply and Sanitation          32
      4.2.1    Water Supply Technology Options                                   32
      4.2.2    Pumping Devices                                                   34
      4.2.3    Hand Pumps                                                        34
      4.2.4    Motorised Pumps                                                   34
      4.2.5    Photo Voltaic Solar Pump System                                   35
      4.2.6    Piston Pump Powered by Windmill                                   35
      4.2.7    Charco Dams                                                       35


Water Sector Development Programme 2006                                   Implementation Manual
     4.2.8     Guidelines on Water Quality                                        35
     4.2.9     Sanitation Technologies                                            36
                                                                                 Page
     4.3       Technology Options for Urban Water Supply and Sewerage             37
     4.3.1     Technical Guidelines                                               37
     4.3.2     Guidelines on Water Quality                                        37

5    CAPACITY BUILDING AND TRAINING                                               38
     5.1      Water Resources Management                                          39
     5.2      Rural Water Supply and Sanitation                                   43

     5.3       Urban Water Supply and Sewerage                                    47
     5.3.1     Training of UWSA Staff                                             47
     5.3.2     Outsourcing and Private Sector Participation                       47
     5.3.3     Support to Private Sector Service Providers                        49
     5.3.4     Partnering/Twinning                                                49
     5.3.5     Equipment and Retooling                                            50
     5.4       Manpower and Staffing                                              50
     5.5       Ministry of Water and Executive Agencies                           51

6    PROCUREMENT FRAMEWORK                                                        52
     6.1    General Procurement Policies and Guidelines                           52
     6.2    Implementation Arrangement                                            53
     6.3    Scope of Procurement                                                  54
     6.4    Procurement Notices                                                   54
     6.5    Procurement Plans                                                     54
     6.6    Procurement Procedures                                                55
     6.7    Procurement Methods and Thresholds                                    55
     6.8    Procurement Audits                                                    57    Formatted: Font color: Auto
     6.9    Oversight and Monitoring of Procurement Process                       57    Formatted: Font color: Auto
     6.10   Procurement Reporting and Record Keeping                              57    Formatted: Font color: Auto

7.   FINANCIAL MANAGEMENT FRAMEWORK                                               58
     7.1      General                                                             58
     7.2      Accounting Policies and Systems                                     59
     7.2.1    Accounting Standards                                                59
     7.2.2    Basis of Accounting                                                 59
     7.2.3    Records Management                                                  60
     7.2.4    Accounting Policies Adopted by Entities                             60
     7.2.5    Books of Accounts Maintained by Entities                            60
     7.2.6    Use of IFMS                                                         60
     7.2.7    Coding of Documents                                                 60
     7.2.8    Chart of Accounts                                                   61
     7.2.9    IFMS Operations                                                     61
     7.3      Financial Forecasting, Planning and Budgeting                       62
     7.3.1    Financial Forecasting                                               62
     7.3.2    Planning and Budgeting Procedures at National Level                 62
     7.3.3    Criteria for Allocation of Financial Resources
     7.3.43   Preparation of Procurement Plans                                    62
     7.4      Mechanism for Flow of Funds                                         63
     7.4.1    Programme Holding Account                                           64
     7.4.2    Development Partners Pledges to the Programme                       64
     7.4.3    Deposits into Water Sector Basket Fund Account                      64
     7.4.4    Disbursing Funds from Basket Fund Account to Programme Exchequer    64
              Accounts                                                                  Formatted: Centered
7.4.5   Reporting on Basket Fund Balance   65
7.4.6   Exchange Rate Procedure            65




                                                Formatted: Centered
                                                                                       Page
     7.5        Programme Accounts and Payments                                         65
     7.5.1      Disbursements from MoW Development Exchequer Accounts                   65
     7.5.2      Payments in Foreign Currency                                            66
     7.5.3      Programme Implementing Agencies Accounts used for Making Related        66
                Payments
     7.5.4      Payment Procedure for Implementing Agencies on Manual System            67
     7.5.5      Payment Procedure for Implementing Agencies on IFMS                     67
     7.5.6      Stale, Stolen and Cancelled Cheques                                     67
     7.5.7      Accounting for Direct Payments                                          68
     7.6        Periodic Accounting Routine and Financial Monitoring and                68
                Reporting
     7.6.1      Programme Reporting at MoW Level                                        68
     7.6.2      Reporting Requirements at Implementing Agency Level                     70
     7.7        Auditing and Monitoring Arrangements                                    71
     7.7.1      Auditing Requirements at Implementing Agency Level                      73
     7.7.2      Monitoring, Evaluation and Reporting                                    73
     7.7.3      Roles and Responsibilities                                              75
     7.7.4      Other Levels of Monitoring                                              75
     7.7.5      Follow up by Development Partners                                       75
     7.7.6      Monitoring Arrangements                                                 76

8.   MONITORING AND EVALUATION                                                          76
     8.1      Monitoring and Evaluation Systems                                         76
     8.2      Monitoring Indicators                                                     77
     8.3      Management Information System                                             79
     8.4      Reporting Procedures and Mechanisms                                       80

9.   SUSTAINABILITY                                                                     90
     9.1     Guidelines Pertaining to Water Resources Management                        90
     9.1.1   Water Quality Standards                                                    90
     9.1.2   Effluent Water Standards                                                   90
     9.1.3   Water User Fee Setting at Basin Level                                      90
     9.1.4   Regulation and Monitoring                                                  91
     9.2     Guidelines on Rural Water Supply and Sanitation                            91
     9.2.1   Water Quality                                                              91
     9.2.2   Tariff Setting                                                             92
     9.2.3   Supply Chain of Spareparts                                                 92
     9.2.43  Service Regulation and MonitoringService Regulation and Monitoring         92
     9.3     Guidelines on Urban Water Supply and Sewerage                              92
     9.3.1   Level of Services                                                          92
     9.3.2   Water Quality                                                              93
     9.3.3   Sewerage Services                                                          93
     9.3.4   Quality of Service                                                         94
     9.3.5   Tariff Setting                                                             94
     9.3.6   Service for the Poor                                                       95
     9.3.7   Regulation and Monitoring                                                  96

     LIST OF TABLES
     Table 1   Functional Responsibilities for Water Resources Management               11
     Table 2   Functional Responsibilities for Water Supply, Sewerage and Sanitation    12
     Table 3   Community Contribution Matrix                                            19
     Table 4   Household Sanitation Sub-project Cycle                                   25
     Table 5   Sub-project Cycle for Implementing School Sanitation                     26    Formatted: Centered
                                                                                Page
Table 6    Standards for Water –Effluent and Receiving Waters                    32
Table 7    Technology Decision Making Steps                                      32
Table 8    Factors Influencing Technology Options                                32
Table 9    Advantages and Limitations of Technology Options                      33
Table 10   Outline of Target Groups for CB&T at Basin Level                      40
Table 11   Assignment of WRM Tasks                                               41
Table 12   Community Level Target Groups in Water Supply Activities              43
Table 13   Capacity Building at LGA and Community Levels                         43
Table 14   Training Materials                                                    45
Table 15   Outline of LGA and Community Levels Training Programme                46
Table 16   Outsourcing Services                                                  48
Table 17   Potential Training Area                                               49
Table 18   Thresholds for Each Type of Selection Method for Goods, Works and     56
           Non-Consultant Services
Table 19   Types of Selection for Consultant Services and their Thresholds       56
Table 20   Chart of Accounts Structure                                           61
Table 21   Financial Reports                                                     69
Table 22   Stakeholder Responsibility for Monitoring and Evaluation              78
Table 23   Summary of Reporting Mechanisms and Evaluation Responsibilities       81
Table 24   Key Indicators in Performance Monitoring of Urban Water Supply and    97
           Sewerage Services

LIST OF FIGURES
Figure 1 Manpower Planning                                                       51
Figure 2 Flow of Funds to Implementing Agencies                                  63

LIST OF ANNEXES
Annex 1 List of Guidelines and Manuals                                           99
Annex 2 Sample Financial Resources Utilisation Agreement                        100




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                                                                  Formatted: Different first page header




Water Sector Development Programme 2006   Implementation Manual
  Acronyms

AfDB         African Development Bank
BWB          Basin Water Board
BWO          Basin Water Office
CAPSTART     Capacity Building Starter Activities
CB&T         Capacity Building and Training
CBO          Community Based Organisation
COWSO        Community Owned Water Supply Organisation
CWC          Catchment Water Committee
DAWASA       Dar es Salaam Water and Sewerage Authority
DBMS         Database Management System
DC           District Council
DGCG         Donor Government Consultative Group
DHS          Demographic and Health Survey
DP           Development Partner
DPG          Development Partners’ Group
DWR          Division of Water Resources
DWSS         District Water Supply and Sanitation
DWST         District Water and Sanitation Team
EIA          Environmental Impact Assessment
ESA          External Support Agency
EU           European Union
EWURA        Energy and Water Utilities Regulatory Authority
FSP          Facilitation Service Provider
GA           General Administration
GBS          General Budget Support
GoT          Government of Tanzania
HBS          Household Budget Survey
HIV/AIDS     Human Immunodeficiency Virus/Acquired Immunodeficiency Syndrome
IEC          Information, Education and Communication
IRBMP        Integrated River Basin Management Plan
IWRM         Integrated Water Resources Management
JAS          Joint Assistance Strategy
KPI          Key Performance Indicator
LFA          Logical Framework Analysis
LGA          Local Government Authority
LGRP         Local Government Reform Programme
M&E          Monitoring and Evaluation
MDGs         Millennium Development Goals
MIS          Management Information System
MKUKUTA      Mkakati wa Kukuza Uchumi na Kuondoa Umaskini Tanzania
MoF          Ministry of Finance
MoHSW        Ministry of Health and Social Welfare
MoU          Memorandum of Understanding
MoW          Ministry of Water
NAWAPO       National Water Policy
NEMC         National Environment Management Council
NGOs         Non-Governmental Organisation
NPRS         National Poverty Reduction Strategy
RWSSP        Rural Water Supply and Sanitation Programme
NSGRP        National Strategy for Growth and Reduction of Poverty
NWB          National Water Board
NWSDS        National Water Sector Development Strategy
                                                                               Formatted: Centered
O&M        Operation and Maintenance
PER/MTEF   Performance Expenditure Review/Medium Term Expenditure Framework
PHDR       Poverty and Human Development Reports
PMO-RALG   Prime Minister’s Office – Regional Administration and Local Government
PRS        Poverty Reduction Strategy
PS         Permanent Secretary
RDP        Rural Development Policy
RDPS       Rural Development Policy and Strategy
RS         Regional Secretariat
RWSS       Rural Water Supply and Sanitation
RWST       Regional Water and Sanitation Team
SWAP       Sector Wide Approach to Planning
TA         Technical Assistance
TAC        Technical Advisory Committee
TAS        Tanzanian Assistance Strategy
TSP        Technical Service Provider
TWG        Technical Working Group
TZS        Tanzanian Shillings
UfW        Unaccounted-for-Water
USD        United States Dollar
UWSA       Urban Water and Sanitation Authority
UWSS       Urban Water Supply and Sewerage
UWSSP      Urban Water Supply and Sewerage Programme
WATSAN     Water and Sanitation Committee
WRM        Water Resources Management
WRMP       Water Resources Management Programme
WSS        Water Supply and Sanitation
WSSA       Water Supply and Sanitation Authority
WSDP       Water Sector Development Programme
WUA        Water User Association
WUF        Water User Fee
WUG        Water User Group




                                                                                    Formatted: Centered
         Definitions                                                                                                          Formatted: Font: 14 pt
                                                                                                                              Formatted: Left: 0.79", Right: 0.79", Top:
                                                                                                                              0.79", Gutter: 0", Section start: New page,
Access: Is an outcome indicator influenced by the water sector and other water related sectors such as health,                Height: 11.69", Header distance from edge:
education, agriculture, lands, natural resources. Examples would be percentage households or population served with           0.49", Footer distance from edge: 0.49",
                                                                                                                              Different first page header
improved water supply or sanitation.

Aquifer: An underground geological formation, or group of formations, which contain water and are sources of
groundwater for wells and springs, and which are not necessarily contained within river basin boundaries.

Authority: An autonomous organisation established by or under an Act of Parliament to carry out specific functions
within defined areas, accountable to a Minister through a Board of Directors.

Board: Particularly means the Board of Directors of a statutory body or company, i.e. a non-executive Board. Can also
mean an autonomous organisation established by or under an Act of Parliament to carry out specific functions within
defined areas, accountable to a Minister through a Board of Directors, i.e. an executive Board.

Catchment: An area drained by a stream, lake or other body of water. Can also refer to an area which drains into a
dam.

Clustering: The grouping of water supply and sewerage services in a number of local government areas under one
statutory / autonomous body in order to achieve commercial viability. Clustering can be based either on regional and
local government boundaries or river basins, depending on the number of local government authorities, potential
viability, social / cultural factors, and geographical proximity.

Commercial: Ownership of water supply assets is transferred to autonomous legally established organisations (c.f.
Authorities) with responsibility for the provision of water supply and sewerage services and the collection of revenues,
and the organisations have full responsibility and accountability for the maintenance, protection and expansion of the
assets.

Community: A group of households, hamlets or villages which are served by a common water supply facility whereby
responsibility for maintenance, protection and expansion wholly or partially rests on the users.

Community Owned: Ownership of water supply assets is transferred to legal entities established by communities (c.f.
Water Consumer Associations) and the communities have full responsibility and accountability for the maintenance and
protection of the assets.

Community Water Supply: Shall mean inter alia, water supply for a rural setting

Cost Recovery: Reimbursement to providers of water supply and sewerage services of both recurring and non-
recurring costs associated with operation, administration and maintenance. Costs include but are not limited to the costs
of design, development, upgrades, equipment and any other costs associated with capital investment.

Coverage: is an output indicator, whether water supply or sanitation e.g. number of connections to sewerage system.
This is what the sector purchases with the financial resources in a particular period.

Drainage Basin: A hydrological area consisting of part of the surface of the earth covered by a drainage system made
up of surface water streams, or bodies of impounded surface water and the tributaries.

Household Connection: Water supply connections to domestic properties having internal plumbing.

Peri-urban Areas: Emerging settlements outside the formal housing areas of an urban area. In these settlements there
is lack of basic services such as water supply and sanitation facilities. Generally the people living in these areas are in
the low income group with limited ability to pay for water and sanitation services.




WSDP Consolidated Report, July 2006
Public Tap: A tap or water distribution point which is used by a number of different consumers who pay for water
drawn, and which is commonly found in peri-urban areas, informal settlements, and rural water supplies.

Rainwater Harvesting: A technology used for collecting and storing rainwater from land surfaces, rock catchments or
rooftops using simple techniques such as jars and pots as well as more complex techniques such as charcos dams.

Regulation: The activities involved in ensuring consumers receive the most cost effective level of service that they have
been led to expect and are prepared to pay for. Specifically this involves: protecting consumers; assuring a demand
driven approach; improving efficiencies and effectiveness of service providers; protecting assets; and promoting
competition.

River Basin: An entire geographical area drained by a river and its tributaries (also referred to as a watershed).

Rural setting: Settlement with village socio-economic life style, whether within or outside an urban area.

Sanitation: Whilst a broad definition of sanitation covers the state of cleanliness of the environment and includes a wide
range of waste management activities, within the context of this Programme sanitation is defined as the provision of
appropriate facilities and services for the on-site disposal of human excreta and waste waters, and public education on
water related hygienic principles.

Sector Wide Approach to Planning (SWAP): A situation where financial resources for capital investment, from both
Government and Development Partners, are provided in support of jointly agreed expenditure strategies and plans,
under Government leadership.

Service Provider: An institution or organisation with actual or delegated responsibility for providing water supply and
sewerage or sanitation services to consumers in accordance with contractual requirements. Service Providers can
include inter alia Local Government Authorities, Water User Associations, Water User Trusts, Non-Government
Organisations, and private operators.

Sewerage: Human excreta disposal systems relying on water as the waste transporting medium.

Small Towns: Secondary emerging settlements (mainly in rural areas) that have transformed from village status into           Formatted: Font: Arial Narrow, 11 pt, Not
small township status. In the context of the WSDP, “Small Towns” also means “Townships”.Small Towns: Secondary               Highlight
emerging settlements (mainly in rural areas) that have transformed from village status into small township status. A
settlement can be identified as a small town if the population is 10,000 or above, with a higher housing density than in a
rural situation, and commercial facilities such as shops and markets.

Stakeholders: Any and all organisations and persons having a direct interest in the Water Sector.

Trans-boundary Waters: The water resources contained within Drainage or River Basins which cross the geographical
boundaries of more than one sovereign country.

Urban Area: Urban Area means an area within the jurisdiction of an authority established or deemed to have been
established under and governed by the Local Government (Urban Authorities) Act, 1982; and the Local Government
(District Authorities) Act, 1982.

Water Consumers Association (Vikundi vya Huduma ya Maji): A legal entity established by communities for the
ownership, management, operation and maintenance of water supply services.

Water Scarcity: The situation occurs when demand for water exceeds the available amount during a certain period or
when poor quality causes restrictions, and calls for better management of the limited water resources.

Water Users Association (Vikundi vya Watumiaji Maji): A legal entity established by the users of water resources
within a specified area to manage the allocation of water resources and resolve conflicts amongst water users within that
area.



                                                            v
Yard Connection: Water supply connections to domestic properties which have a tap in the compound of a property or
attached to the property, but with no internal plumbing.




                                                        vi
                                      Formatted: Left




WSDP Consolidated Report, July 2006
PROGRAMME IMPLEMENTATION MANUAL                                                                                             Formatted: Font: 18 pt




1    INTRODUCTION

The Programme Implementation Manual (PIM) has been developed as a framework within which WSDP will be
implemented. It is designed as a working tool – a reference document – to assist the Ministry of Water (MoW) and
partner institutions including Local Government Authorities (LGAs), in implementation of the WSDP. It is a quick guide on
how the programme should be managed and implemented. The PIM provides key actors with information on the
Programme context, policies, institutional arrangements, stakeholders’ responsibilities, implementation strategies,
guidelines and procedures.

In addition to PIM, each sub-sector prepared the Operation Guidelines to guide specific technical and other aspects of
component activities. Sub-sector Specific Implementation Guidelines and PIM shall form part of development contracts
between the Ministry of Water and respective implementing agencies (UWSSAs, BWOs, EAs and LGAs) for
implementation of WSDP.

The PIM is structured into nine main sections as follows:

Section 1 Introduction, provides a quick overview of the WSDP and associated national and sector strategic policy
issues, institutional arrangement and legislations.

Section 2: Institutional Arrangement: This section outlines the institutional arrangements for both WRM and WSS
that have been put in place to facilitate implementation of the WSDP. The roles and responsibilities of the main
stakeholders at the national, basin, regional and council levels are discussed.

Section 3: It Planning Process, from inception to implementation stages of the programme.

Section 4: Guidelines on Technology Options, approach to choice of option and upkeep of installed facilities.

 Section 5: Capacity Building and Training which focuses on manpower and staffing, outsourcing,
partnering/twinning, principles and strategies for capacity building, community level capacity building, and management
of training.

Section 6: Procurement Framework, which provide essential provisions related to preparation of business plans,
procurement management, planning and including flow of funds.

Section 7: Financial Management Framework. It outlines essential provision related to
preparation of business plans, including tariffs and flow of fund.


Section 8: Monitoring and Evaluation; gives an approach to monitoring and evaluation of programme
implementation and general reporting mechanism and formats on programme undertakings.


Section 9: Sustainability; it explains about different guidelines and regulations safeguarding installed
facilities, that when followed will guarantee the sustainability of services.




                                                               2
1.1 Policy Framework

The National Water Policy was revised in 2002, introducing reform elements of devolution, poverty alleviation, public
and civil service reforms. It was strongly influenced by national policy instruments that address issues of poverty and
economic development, and incorporate water sector reforms as one of the several related components which, when
combined, offer a multi-sector approach to poverty reduction and economic growth.

Key policies such as the National Development Vision 2025 set the stage for the Poverty Reduction Strategy (PRS) and
the Rural development Policy (RDP), which were then supported by the Local Government and Public Sector Reforms.
The comprehensive review of the PRS led to the MKUKUTA (Mkakati wa Kukuza Uchumi na Kuondoa Umaskini) that
sets operational goals and puts policy in a functional framework, which in the water sector is embodied in the National
Water Sector Development Strategy (NWSDS) of 2006.

1.21.1 National Water Sector Development Strategy                                                                              Formatted: Bullets and Numbering


Unsatisfactory development of the Water Sector has revolved around inadequate understanding and appreciation of the
central role that water plays in key sectors of the economy, vulnerability of the economy to climate variability (floods and
drought), lack of clarity with regard to institutional framework for water resources development and management,
inadequate and inequitable provision of services, and insufficient financing.

In keeping up with the changing global trends in the Water Sector, and taking into account other national policy reforms,
the Government launched a revised National Water Policy in July 2002. This sets out the future direction for the Water
Sector in achieving sustainable development and management of the Nation’s water resources for economy-wide
benefits and an increase in the availability of water supply and sanitation services. Water resources aspects of the
National Water Policy have implications for all water using key sectors of the economy, such as agriculture, energy,
industry, livestock, mining, environment, tourism and fisheries, as well as for domestic supply.

The Policy embodies the principle that basins should be the planning and management units rather than regions, and
the principles of decentralisation and devolution of water supply service management to the lowest appropriate level.
Prior to launching of the policy, the Water Sector had suffered from uncoordinated strategies and programmes that often
resulted in unsustainable water utilisation, threats to past investments in costly infrastructure, and, ultimately,
unsatisfactory services. Following launching of the National Water Policy, which has proclaimed a new era for the Water
Sector, the National Water Sector Development Strategy was prepared in order to further develop the Policy aspiration
and define an implementation framework.

The Ministry has restructured its institutions to be compatible with the requirements of the country’s decentralisation and
reform policies through measures that are in line with the National Water Policy of 2002, taking into account provisions of
the Local Government Reform Policy. The National Water Sector Development Strategy has been developed to support
re-alignment of the water related aspects of other key sectoral policies (for example, energy, irrigation, industry, mining,
and the environment) with the National Water Policy, and to focus on specific roles of various actors through clearly
defining roles and responsibilities and hence the removal of duplications and omissions. Further, the institutional
framework underscores separation of service delivery and regulation to ensure fair play among various actors and
sectors.

The National Water Sector Development Strategy is, therefore, a blueprint for prioritised timely and appropriate
interventions to address the Water Sector challenges in the process of achieving all the targets narrated in the National
Strategy for Growth and Reduction of Poverty by 2010, the Millennium Development Goals by 2015, and contribute
towards achieving the Tanzania Development Vision Targets by 2025. Furthermore the Strategy leads to reshaping and
increasing sector financing through a smooth and manageable institutional arrangement. The NWSDS sets out the
strategy for NAWAPO implementation and in turn guided the formulation of the Water Sector Development Programme
(WSDP).

1.32     Water Sector Development Programme



                                                             3
The Water Sector Development Programme (WSDP) is a consolidation of three sub-sector programmes; Water
Resources Management and Development; Rural Water Supply and Sanitation; and Urban Water Supply and Sewerage.
The programme also includes strengthening of the general administration of MoW as well as strengthening of one
Executive Agency (Drilling and Dam Construction Agency (DDCA), and establishing other two, namely Water Resources
Institute (WRI) and Maji Central Stores (MCS) to effectively support implementation of the WSDP. Stakeholder
participation was high during the National Water Policy review, formulation of the National Water Sector Development
Strategy (NWSDS) and sub-sector programmes. This will enhance potential for sustainability of the WSDP during
programme implementation, especially through the established MoW and DPG-Water coordination and collaboration
arrangements

1.23.1 Programme Objectives

Tanzania’s Development Vision 2025 aims at achieving an absence of abject poverty and attaining high quality of life for
all people by 2025. Water supply, sanitation and water resources management feature prominently in the development
Vision 2025. Access to safe water in rural areas is targeted to rise from 53% (2003) to 90% by 2025 and for urban
population rise from 73% (2003) to 100% by 2025. In the medium term, MKUKUTA commits Tanzania to achieving the
Millennium Development Goals (MDGs) for access to safe water, sanitation and a sustainable environment, while also
setting targets for 2010. These include an increased proportion of the rural population with access to clean and safe
water from 53% in 2003 to 65% by 2010. It also calls for increased access to clean and safe water to the urban
population to rise from 73% in 2003 to 90% by 2010.

Intrinsic to these overall targets, are the objectives of equity of access, water management capacity, and proper
maintenance of water and sanitation systems, use of environmentally sound technologies, and effective water tariffs,
billing and revenue collection mechanisms.

The objectives for the Water Sector Development Programme are reflected in the three components, as shown in the
sections that follow below.

Objectives of the Water Resources Management and Development (WRMD) component1 are to:
    (a) develop a sound water resources management and development framework in all nine water basins, for                  Formatted: Indent: Left: 0.25", Bulleted +
                                                                                                                             Level: 1 + Aligned at: -0.5" + Tab after:
         optimising the utilisation of the water resources in a sustainable manner for various competing uses;               -0.25" + Indent at: -0.25", Tab stops: 0.5",
    (b) promote good governance of water resources through empowering water users, encouraging participatory and            List tab
         transparent decision-making, devolving ownership to user level, and granting secure water rights with
         responsibilities to water users, community groups, local government and Basin Boards; and
    (c) Strengthen the capacity of basin offices to address trans-boundary and lake basin issues.

The overall objective of the Rural Water supply and Sanitation Programme (RWSSP) component is improved quality
and quantity of drinking water and sanitation services for the rural population sustained through improved district level
capacity, effective local water user entities, private sector participation and good health/hygiene/sanitation practices.
The RWSSP component includes both rural, small towns and peri urban populations.

The overall objective of the Urban Water Supply and Sewerage Programme (UWSSP) is improved and sustained quality
and quantity of drinking water and sewerage services for urban populations managed by financially autonomous and
commercially viable Urban Water and Sanitation Authorities (UWSAs)/Water Supply and Sanitation Authorities
(WSSAs), while providing efficient and cost-effective services.

These broad objectives of the WSDP are geared towards achieving the three outcomes of MKUKUTA — (i) economic
growth and reduction of income poverty, (ii) improved quality of life and social well-being, and (iii) good governance and
accountability. The water sector’s contribution to MKUKUTA objectives is aimed at these three clusters by: (a) scaling
up water and sanitation service delivery to achieve Millennium Development Goals (MDGs), (b) establishment of a
sustainable platform for water resources governance and development, and (c) strengthening of sector institutions and

1
    MoW (2006) “Water Resources Management and Development Programme”, Dar es Salaam, February 2006.


                                                            4
accelerated capacity building at the national, basin and local government levels as well as in the public and private
sectors.

1.23.2 Programme Scope and Components

The WSDP comprises three components under the SWAP framework: the Water Resources Management and
Development Programme, the Rural Water Supply and Sanitation Programme and the Urban Water Supply and
Sewerage Programme. Funding would be sought for implementation of the WSDP through the General Budget Support
overnment Budgetary System (GBS) and other agreed funding mechanisms that disaggregate the WSDP into four
Support Blocks in accordance with the level at which they will function:
     (i)    Local Government - Scaling up of Service Delivery to meet MDGs;                                             Formatted: Indent: Left: 0.33", Hanging:
                                                                                                                         0.42", Numbered + Level: 1 + Numbering
     (ii) Basin Level - Strengthening of Water Resources Management Governance;                                         Style: i, ii, iii, … + Start at: 1 + Alignment: Left
                                                                                                                         + Aligned at: -8.25" + Tab after: -7.75" +
     (iii) UWSA level -Scaling up of Service Delivery to meet MDGs; and
                                                                                                                         Indent at: -7.75", Tab stops: -0.25", List tab
     (iv) National Sector Level - Support to Sector Institutional Strengthening and Capacity Building, including        + Not at -7.75" + 0.25"
             Executive Agencies.

The Water Sector Development Programme is designed to address shortfalls in urban and rural water supply
infrastructure, to improve water resource management primarily through strengthening the country’s nine Basin Water
Offices (BWOs), and to strengthen the sector institutions and their capacities.

A set of Operational Guidelines and Manuals have been prepared on a sub-sectors basis to guide implementation
process of specific issues. Crosscutting frameworks and manuals have also been prepared to guide implementation.

(i) Water Resources Management

The WRMD programme comprises three sub-components:
     Basin -Level- Water Resources Reforms and Investments;
     National Level - Water Resources Reforms and Investments; and
     National Level- Cross-Sectoral Investment.

Basin Level - Water Resource Reforms and Investments

The main focus of the sub-component is on the establishment and strengthening of the nine Basin Water Offices
(BWOs). Besides support for the staffing and physical infrastructure of the BWOs, considerable attention is given to
strengthening their capacity in water resources monitoring, assessment and enforcement. Other subcomponent
activities include: protection of important water sources; water demand management; strengthening legislation and
enforcement; integrated water resources planning, trans-boundary water body management and a variety of cross-
cutting activities (disaster management, public awareness, inter-agency networking and establishing water resources
Management Information System).

National Level - Water Resource Reforms and Investments

The sub-component primarily supports the MoW Division of Water Resource in strengthening of its capacity to fulfil its
mandate. This will include support for: human resources development, operational support, trans-boundary water
resources management, development and implementation of a national communication and awareness strategy,
technical support for development of training capacity for IWRM, and flood and drought management.

National Level - Cross-Sectoral Investment
The main aim of this sub-component is to strengthen harmonisationstrengthen harmonisation and coordination of water
resources policy and plans between water related sectors. Three main sub-components are included: harmonisation of
sector policies, laws, strategies and plans, and cross-sectoral coordination. The sub-component is designed to assist
institutions at these different levels to adapt to the new policy that includes full participation in WRMD.



                                                          5
(ii)     Rural Water Supply and Sanitation Services

The RWSSP is linked to three sub-components of the Programme, namely:

District Management Support
(i)      LGAs implementing demand-based RWSS.
(d)(ii) District Water and Sanitation Teams (DWSTs) conducting community project appraisals.                                Formatted: Numbered + Level: 1 +
                                                                                                                            Numbering Style: i, ii, iii, … + Start at: 1 +
(e)(iii) Community projects being financed in whole or part from District Water and Sanitation Funds (DWSFs).               Alignment: Left + Aligned at: 0" + Tab after:
                                                                                                                            0.5" + Indent at: 0.5"
(ii)(iv) LGAs mitigating impacts of HIV/AIDS on Programme results.
(f)(v)   DWSTs providing on-going monitoring & support to communities in RWSS O&M and the promotion of good                 Formatted: Numbered + Level: 1 +
                                                                                                                            Numbering Style: i, ii, iii, … + Start at: 1 +
         sanitation, health & hygiene.                                                                                      Alignment: Left + Aligned at: 0" + Tab after:
                                                                                                                            0.5" + Indent at: 0.5"
Construction of RWSS facilities
(i)    Increased access to water supply & sanitation services (total users / beneficiaries coverage ascoverage as
       percentage of total rural population).
(ii)   Increased number of rural communities with adequate management, operation and maintenance procedures,
       which fully involve women in decision-making roles.
(iii)  Reduced drudgery and time spent forspent for collecting water.
(iv)   Improved water quality.
(v)    Improved knowledge, attitudes and practices in relation to health, sanitation and hygiene and sanitation
       (including increased use of latrines and habit of washing hands after toilet).

Institutional Strengthening and Development
(i)         MoW fulfilling it’s redefined role and mandate as: (a) a facilitator and coordinator of sector policies
            and investment programmes; (b) a supporting agency for local governments and communities; and (c) and
            enabling agency for NGOs and private sector.
(ii)        New sector projects being formulated in accordance with MoW policy & guidelines.
(iii)       MoW coordinating multi-donor SWAP financing of RWSSP and other initiatives.
(iv)        Improved access of communities to spare parts and technical assistance for hand pump / system
            maintenance and repair.
(v)         Improved capacity and increased activity of the private sector / NGOs in providing goods and services to the
            RWSS sub-sector.
(vi)        RWSSP management information system functioning and providing necessary information to planners and
            decision makers at national, regional and district levels.

(iii)    Urban Water Supply and Sewerage

The component aims at transforming the UWSAs and WSSAs (Water Supply and Sanitation Authorities) into
autonomous and commercially viable entities which will be licensed and regulated by EWURA. Separating the
regulatory, management and monitoring functions will enable the overseer Boards to concentrate on managing their
Authorities as commercial entities, the regulator will ensure efficiency and equity, while Consumer Consultative Councils
will protect welfare of the community.

The UWSAs will be strengthened through improvements in demand forecasting, water sources assessment and
planning, control over unaccounted-for-water, water quality management, network analysis, tariff setting and billing
systems, control over operating costs and aging arrears, and acquisition of investment funding. All the existing 19
UWSAs as well as DAWASA need investment in infrastructure in water supply and sewerage services of different levels
and scale, which will be covered under this component. Requirements include refurbishment, upgrading and extension
to existing water supply systems including source development, and in some cases, treatment plants. Priority is given to



                                                           6
towns that have not previously received significant funding and urgently require assistance to upgrade their water supply
and sewerage systems.

(iv)           Strengthening of Ministry General Administration

Implementation of the WSDP would be done at different levels from community, sub catchments, catchments
through district and basin levels, up to the national level. The MoW general administration will be strengthened
to provide effective administrative support for the programme implementation. Strengthening of the general
administration will be in the areas of office construction, training, provision of office equipment and transport,
and establishment of a Management Information System.

(v)            Strengthening of Executive Agencies

Since 1998, the MoW’s units that were identified for Executive Agencies are were the Drilling and Dam
Construction Unit Construction Agency (DDCA), ,Water Resources Institute (WRI) and the Maji Central Stores
(MCS). Ever since, the Drilling and Dam Construction Unit has been converted into Drilling and Dam
Construction Agency ( DDCA) is operating as an Executive Agency while WRI and MCS are to be
established. The ultimate aim of establishment of executive agencies is to change them into being
autonomous and financially independent, hence the need for strengthening. It is envisaged that DDCA and
MCS will be financially autonomous by year 2010, while the WRI shall become financially autonomous by year
2015.

1.23.3 Priority Areas of Intervention Under NSGRP/MKUKUTA                                                                           Formatted: Font: Arial Narrow, 11 pt, Bold


The NSGRP/MKUKUTA strategies on water resources management, water supply and sanitation are:                                        Formatted: Font: Arial Narrow, 11 pt
The Water Sector Development Strategy outlines MKUKUTA strategies on water resources management, water supply
and sanitation, as follows:

       (i)            increase sustainable access to inexpensive and reliable sources of water in both rural and urban areas;
       (ii)           ensure access and affordability of safe water, especially in rural areas focusing on vulnerable households,
                      including older people headed household;
       (iii)          increase access to reliable water as an input for economic production with the aim of increasing the
                      contribution of water in the GDP, and ensure sustainable management of water catchments areas and
                      maintenance of forest cover in critical highland catchments;
       (iv)           ensure improved access to reliable water supplies through promotion of small-scale rainwater harvesting;
       (v)            promote rainwater harvesting incorporating small, medium and strategic large-scale dams and reservoirs;
                      and
       (vi)           improved land management and adoption of water conservation technologies, and implementation of
                      national plans to halt desertification and land degradation, and restore degraded lands.

In order to achieve the Water Sector Development Programme objectives, resource allocation and expenditure in
programme implementation, will focus on the following prioritised areas:

               i)         Rehabilitation of malfunctioning water supply systems including pumping facilities, treatments plants,
                          distribution mains and networks in both rural and urban areas;
               ii)        Expansions of existing water supply systems in both rural and urban areas;
               iii)       Construction of new water supplies schemes to bring services to areas not covered by existing water
                          supply systems in both rural and urban areas including peri – urban areas;
               iv)        Development, extension and upgrading of urban sewerage facilities;
               v)         Rehabilitation and expansion of hydrological , hydro geological and hydro meteorological networks;
               vi)        Exploration of underground water in the thrust of drilling of boreholes finding new water sources
                          especially in dry areas to ease drilling of boreholes;
               vii)       Catchment restoration and conservation of water sources from pollution and close monitoring of water
                          quality;



                                                                    7
           viii)   Promotion and construction of rainwater harvesting incorporating small, medium and strategic large-
                   scale dams and reservoirs;
           ix)     Promotion of improved and use of latrine facilities in rural areas as well as awareness creation on
                   hygiene;
           x)      Capacity building, training and strengthening of BWOs; LGAs, UWSAs, Executive Agencies and at
                   national level to carry out mandated responsibilities.

1.34       Institutional Arrangement

The Ministry of Water will oversee the implementation of the programme. Oversight will be through Water Sector
Working Group (WSWG), which brings together key Government and Non-Government stakeholders and Development
Partners. The working group will among other things approve Annual Work Plans and budgets and undertake quarterly
oversight implementation review meetings. Programme management will ould be coordinated through a Programme
Coordination Team within the Policy and Planning Division and Procurement and Financial Units to be established by
MoW. Day to day implementation of sub-components of the programme will however be delegated to targeted
implementing entities as follows: (i) Water Resources Management – Basin Water Offices; (ii) Rural and Urban Water
Supply – (a) Local Government Authorities, and (b) Urban Water and Sewerage Authorities/Water Supply and Sanitation
Authorities .

Regulation of rural water supply and sanitation service delivery will be done by LGAs, while regulation of the
UWSAs/WSSAs will be carried out by the Energy and Water Utilities Regulatory Authority (EWURA) established under
Act 11 of 2001. EWURA is designed to will regulate four sectors namely: electricity, petroleum, natural gas and water &
sewerage. The functions of the Regulator include:
     issuing, renewing and cancelling licences;
          establishing standards;
          regulating rates and charges;
          making rules; and
          monitoring performance.
1.3.1      Water Resources Management

The institutional framework and the proposed water legislation provide for a National Water Board and Basin Water
Boards, both of which are made up of stakeholder representatives of LGAs, of the water-related sector institutions, water
users, private sector, NGOs, and women groups. Implementation will, therefore, be done with the active participation of
all stakeholders through their Basin or National Water Boards.

Basin Water Offices will be primarily responsible for water resources programme planning, management and overall
coordination at Basin level. Day-to-day leadership and decision-making would lie with MoW. The MoW would manage
implementation of national and cross-sectoral components of the programme in collaboration with related institutions,
prepare guidelines, and provide backstopping to Basins. MoW would consolidate the basin, national and cross-sectoral
components of the programme for submission to NWB.

Basin water resources management is a multisectoral activity and activities under WRMDP would require interaction with
communities and water users. The BWO should develop modalities for utilising the DWSTs which are interdisciplinary
and inter-departmental for management of the WRMDP in respective districts. The BWOs will develop action plans
which are integrated into district annual plans, and will establish mechanism for coordinating, strengthening and
integrating district outputs into basin perspective.

1.3.2      Water Supply and Sanitation

The NAWAPO (2002) and the local government reforms, have necessitated significant changes in the roles of
implementing agencies. MoW is now charged with a backup, “facilitating” role:, formulating policies, providing technical


                                                           8
support, and focusing on co-ordination, monitoring and evaluation, and capacity building to the LGAs, BWOs and UWSAs
who are taking the lead role in managing implementation of water supply and sanitation activities.

1.3.3 Local Government Authorities (LGAs): Local Government Authorities will be responsible for planning and
managing their own RWSS Plans, including financial and procurement management and monitoring and evaluation and
for contracting consultants and local service providers to assist with planning and implementation of the programme at
the district level and in communities.

The Ministry of Water has been restructured to become more consistent with the core roles and functions envisaged in
the NAWAPO 2002 and the LGRP. In the new roles, MoW will share some of its responsibilities with LGAs, user
communities and Private Sector Service Providers.

1.3.4 Urban Water and Sewerage Authorities (UWSAs): Urban Water and Sewerage Authorities will be
responsible for planning and managing their water supply and sewerage systems. The utilities will enter into
development contracts with MoW to handle capital grants and routine operations and maintenance and secure
professions services to assist them improve efficiency and expand their systems over time. All utilities will be licensed
by EWURA for regulatory purposes. The MoW has assumed the role of monitoring and evaluation of technical
performance of UWSAs not under EWURA mandate as well as soliciting resources for investments.

1.3.5 Urban Water Supply and Sewerage Authorities and LGAs would be required to acquire water rights and
appropriate discharge permits for sewage disposals from respective BWOs. The LGAs will only be allowed to dispose
sewage in designated waste treatment ponds or sewers with agreement with the respective UWSA.




1.45     Legislation

1.4.1    Water resources management

Water Resources Management in Tanzania is governed by: the Water Utilisation (Control and Regulation) Act No. 42 of
1974, as amended by: (i) Water Utilisation (Control and Regulation) (Amendments) Act No. 10 of 1981; (ii) Water Laws
(Miscellaneous Amendments) Act No.8 of 1997; (iii) Written Laws (Miscellaneous Amendments) Act No.17 of 1989; (iv)
Water Laws (Miscellaneous Amendments) Act of 1999, and (v) Regulations issued in 1975, 1994, 1996 and 1997.
Section 8 of the Water Utilization (Control and Regulation) Act No. 42 of 1974 vests all water in the United Republic of
Tanzania to the Government.

The main thrust of the Water Utilisation (Control and Regulation) Act No. 42 of 1974 is related to granting legal rights to
the use of water. The Amendment Act No. 10 of 1981 established the Central Water Board (to be replaced with National
Water Board in the new institutional framework for water resources management) and Basin Water Boards, and
respectively, the Principal Water Officer and Basin Water Officers. It also introduced pollution control measures, water
quality standards, and permissible effluent standards. Amendment No. 17 of 1989 increased the penalties for pollution.
The regulations provide for the granting of water rights (1975), and determining user fees for various water uses (1994,
1996). In addition to the statutory legislation, there are customary laws, which have existed in parallel, and international
law in respect of trans-boundary waters.

1.4.2    Water Supply and Sanitation Services

Legislation related to the water supply and sanitation service includeservice include:
     The Laws of Tanganyika 1947 – 1950, Cap 281, as amended by:
          o Waterworks Ordinance, 1949, Cap 281-Supp. 62
          o Urban Water Supply Act, No. 7 of 1981 (amended by Act No 8 of 1997 or referred to as the DAWASA Act)



                                                             9
          o   Water Laws (Miscellaneous Amendments) Act No. 8 of 1997
          o   Waterworks Regulations, 1997, G.N. 371
          o   Waterworks (Water Supply) designated and declared areas, Rules, 1997, G.N. 369
          o   Operational Guidelines, 1998;
         Public Health (Sewerage and Drainage) Ordinance, 1955, Cap 336;
         National Investment (Promotion and Protection) Act 1990;
         The Energy and Water Utilities Regulatory Act No 11 of 2001;
         The Local Government Authorities (District Councils) Act, 1982 as amended, 30th June 2000;
         The Local Government Authorities (Urban Authorities) Act, 1982 as amended, 30th December 2000.

The most significant legislative instruments are the Waterworks Regulations, 1997 and the Water Laws (Miscellaneous
Amendments) Act, No 8 of 1997. Under this legislation e former, t, the Minister responsible for water may designate
certain areas to become a water supply and sewerage authority, which may be managed as an autonomous body, a
public or private company, a water users association, a co-operative society or an NGO. The areas excluded are
villages, or minor settlements, which are more than 400 metres from an existing distribution network.

UWSAs were established in 1998 in accordance with Sect 3 (1) of the Water Works Act No.8 of 1997 requiring the
establishment of Autonomous entities in the urban areas to cater for operation and maintenance of water supply and
sanitation infrastructure. Regulation of the UWSAs/WSSAs will be carried out by the Energy and Water Utilities
Regulatory Authority (EWURA) established under Act 11 of 2001. Under the Water Works Order of 1998, 20 UWSAs
were already established as “autonomous” bodies.

The above mentioned laws and legislations will be used in to enforce implementation of the programme. However, new
water legislations are being finalised in line with the NAWAPO. Once enacted, they will replace some of the above
legislations.

1.6       Programme Implementation Manual

The Programme Implementation Manual (PIM) has been developed as a framework within which WSDP will be                       Formatted: Highlight
implemented. It is designed as a working tool – a reference document – to assist the Ministry of Water (MoW) and
partner institutions including Local Government Authorities (LGAs), in implementation of the WSDP. It is a quick guide on
how the programme should be managed and implemented. The PIM provides key actors with information on the
Programme context, policies, institutional arrangements, stakeholders’ responsibilities, implementation strategies,
guidelines and procedures.

In addition to PIM, each sub-sector prepared Operation Guidelines to guide specific technical and other aspects of
component activities. Sub sector specific Implementation Guidelines and PIM shall form part of development contracts
between the Ministry of Water and respective implementing agencies (UWSSAs, BWOs, EAs and LGAs) for
implementation of WSDP.

The PIM is structured into nine main sections as follows:
                                                                                                                            Formatted: Font: Bold, Highlight
Section 1 Introduction, provides a quick overview of the WSDP and associated legislations for operationalisation. It        Formatted: Highlight
also outlines the structure of the Manual.
                                                                                                                            Formatted: Font: Bold, Highlight

Section 2: Institutional Arrangement: This section outlines the institutional arrangements for both WRM and WSS             Formatted: Highlight

that have been put in place to facilitate implementation of the WSDP. The roles and responsibilities of the main            Formatted: Font: Bold, Highlight
stakeholders at the national, basin, regional and council levels are discussed.                                             Formatted: Highlight
                                                                                                                            Formatted: Font: Bold, Highlight
Section 3: It Planning Process, from inception to implementation stages of the programme.
                                                                                                                            Formatted: Highlight

Section 4: Guidelines on Technology Options, approach to choice of option and upkeep of installed facilities.               Formatted: Font: Bold, Highlight
                                                                                                                            Formatted: Highlight



                                                            10
 Section 5 discusses about Capacity Building and Training which focuses on manpower and staffing, outsourcing,                  Formatted: Font: Bold, Highlight
partnering/twinning, principles and strategies for capacity building, community level capacity building, and management         Formatted: Highlight
of training.                                                                                                                    Formatted: Highlight
                                                                                                                                Formatted: Highlight
Section 6 Procurement Framework, which provide essential provisions related to preparation of business plans,
procurement management, planning and including flow of funds.                                                                   Formatted: Font: Bold, Highlight
                                                                                                                                Formatted: Highlight
Section 7 gives a brief on Financial Management Framework. It outlines essential provision related to                           Formatted: Font: Bold, Highlight

preparation of business plans, including tariffs and flow of fund.                                                              Formatted: Highlight
                                                                                                                                Formatted: Font: Bold, Highlight
                                                                                                                                Formatted: Highlight
Section 8: Monitoring and Evaluation; gives an approach to monitoring and evaluation of programme                               Formatted: Font: Bold, Highlight

implementation and general reporting mechanism and formats on programme undertakings.                                           Formatted: Highlight
                                                                                                                                Formatted: Font: Bold, Highlight
                                                                                                                                Formatted: Highlight
Section 9 is on Sustainability; it explains about different guidelines and regulations safeguarding installed                   Formatted: Font: Bold, Highlight

facilities, that when followed will guarantee sustainable services.                                                             Formatted: Highlight




2. INSTITUTIONAL ARRANGEMENT

The National Water Policy 2002 has prescribed new roles for different players in water resources management and
provision of water supply and sanitation services. The policy policy guide in NAWAPO is based on six key principles: the
Government’s role being limited to coordination, policy and guideline formulation and regulation; regulatory and
executive functions will be decentralised to the lowest appropriate level, while balancing consumer
representation/participation with economies of scale; responsibility for regulation will be separated from prioritisation and
allocation of capital investment funds; autonomous entities will be established to manage water supply and sewerage
services in urban areas; and community organisations will own and manage water supply schemes.


Equally important, the institutional framework for water resources management has been streamlined to meet the
challenges of effective integrated water resources management. In both cases, roles and responsibilities of different
players shall be clearly defined so as to ensure effective participation.

This shift in policy direction calls for adoption of a more effective institutional framework for the provision of water and
sanitation services to urban and rural population. Implementation of decentralisation is a challenging slow and complex
process. It demands considerable technical and financial resources at national, basin, UWSA and LGA levels. Also,
although the policy and overall strategy are clear, stakeholders perceive many risks, both real and imagined.
Nevertheless, the MoW has made considerable progress in the decentralisation of water supply and sanitation services
delivery.

The role of Central Government, through the Ministry responsible for Water, will be that of co-ordination, support and
capacity building, monitoring and quality assurance, policy and guideline formulation, regulation and ensuring that water
services are provided to the public. The responsibilities for provision of water supply and sanitation services are be
transferred to successor organisations. The LGAs will have the responsibility for public service provision including water
and sanitation.

The WRM and WSS institutional frameworks are based on the following principles:
    1. Responsibility for the provision of water supply and sanitation services is to be held by local government
       authorities.
    2. Clustering of water supply and sanitation services under the responsibility of adjacent local government
       authorities is aimed at commercial viability.



                                                             11
    3. Legal transfer of assets to water and sanitation entities should be done while ensuring that communities are
       protected against confiscation and asset stripping.
    4. Capital investment financing, and operational support through local government should be separated from
       regulation and performance monitoring.
    5. Tariffs should be linked to performance as part of the regulatory function.
    6. Water basins should be transformed into autonomous bodies.

2.1 Water Resources Management

The institutional framework for water resources management and the main functions and responsibilities of each
organisation in the framework is as shown in figure 2.1 and Table 1.




                                                       12
                                                                                            Formatted: Left: 0.79", Bottom: 1", Section
Figure 1: Institutional Framework for Water Resources Management                            start: New page, Width: 8.27", Height: 11.69"




                   Ministry responsible for Water




                                     National Water Board




                                           Regional
                                          Secretariat
          Basin Water Boards

          Basin Water Offices
                                          District
                                          Councils
       Catchment Water Committees                           Legend

         Catchment Water Offices                                     Appeals
                                                                     Delegated Authority

          Sub-catchment Water                                        WRM Responsibility
              Committees                                             Planning process
       Sub-catchment Water Offices                                   Representation
                                                                     Statutory/Autonomous
                                                                     Bodies
                Water Users’
                Associations

                Water Users




                                           2-13
Table 1: Functional Responsibilities for Water Resources Management

Organisation                     Functions and Responsibilities
Minister responsible for Water      presents national policy and strategy to the Government;                        Formatted: Bullets and Numbering
                                    ensures policies and strategies are implemented;
                                    appoints Chairman and members of Basin Water Boards; and
                                    determines appeals from all levels in framework
Ministry responsible for Water      supervises Water Resources Institute (Agency);                                  Formatted: Bullets and Numbering
                                    supervises Drilling and Dam Construction Agency;
                                    sectoral co-ordination, monitoring and evaluation;
                                    policy development and review, including legislation and financing;
                                    formulation of technical standards and WRM guidelines;
                                    trans-boundary issues;
                                    dam safety;
                                    monitors and evaluates Basin Water Boards;
                                    supervises and co-ordinates data collection and resource assessment, and
                                     Basin Water Boards;
                                    technical standards and guidelines;
                                    monitoring & evaluation of Water Boards; and
                                    conflict management and Technical support to basin boards.
National Water Board                integrates inter-sectoral planning;                                             Formatted: Bullets and Numbering
                                    co-ordinates basin planning and management;
                                    resolves inter-sectoral / inter-basin conflicts; and
                                    determines investment priorities and financing patterns.
Basin Water Boards                  data collection, processing and analysis for WRM monitoring and resource        Formatted: Bullets and Numbering
                                     assessment;
                                    technical aspects of trans-boundary issues in the basin;
                                    co-ordinate and approve basin WRM planning / budgets;
                                    approve, issue and revoke water use and discharge permits;
                                    enforce water use permits and pollution control measures;
                                    co-operate between sectors at the local level;
                                    resolve conflicts and co-ordinate stakeholders; and
                                    integration of district plans on WRM.
Catchment / Sub-catchment           delegated responsibilities from Basin Water Board.                              Formatted: Bullets and Numbering
Water Committees
Water User Associations             manage allocation of water resources at local level;                            Formatted: Bullets and Numbering
                                    manage equitable allocation of resources during drought; and
                                    mediate in local disputes.
Regional Secretariat                representation on Basin Water Boards.                                           Formatted: Bullets and Numbering
District Councils                   representation on Basin Water Boards;                                           Formatted: Bullets and Numbering
                                    representation on Catchment Committees;
                                    formulate and enforce bylaws for environmental protection and conservation of


                                                         0
Organisation   Functions and Responsibilities
                  water sources;
                  promote efficient water utilisation and control; and
                  preparation of district plans for water resource demand.




                                      1
2.2      Water Supply and Sanitation

With the role of Government, through the Ministry responsible for Water, changing to that of co-ordination, policy and
guideline formulation, and regulation, current responsibilities for the provision of water supply, sewerage and sanitation
services are to be transferred to successor organisations.

Under the Local Government Reform Policy, local governments have the responsibility for public service provision
including water; local authority staff will be de-linked from their respective ministries; and line ministries will change their
role into policy making, support and capacity building, monitoring and quality assurance, and regulation.




Institutions and Their Status

The institutions for provision of water supply and sewerage services are of two types: commercial Water Supply and
Sewerage Authorities (WSSAs); and Community Owned Water Supply Organisations (COWSOs). Regulation of the
commercial WSSAs will be by the Energy and Water Utilities Regulatory Authority, while regulation of the COWSOs will
be by the Ministry responsible for Water, delegated to local authorities.

As business plans of WSSAs will be required to include performance related contractual arrangements with their Service
Providers, WSSAs will have responsibility for the management of these contracts and EWURA will not be required to
separately regulate Service Providers.

Functions and Responsibilities of Institutions

The main functions and responsibilities of each organisation in the institutional framework are as shown in the table
below.




                                                               2
    Formatted: Normal
    Formatted: Left: 1", Bottom: 0.79", Width:
    11.69", Height: 8.27"




0
Figure 8.2: Institutional Framework for Water Supply and Sanitation
                                                                      Formatted: Normal, Tab stops: Not at 0.48"




                                                                  0
         Ministry responsible
             for Finance                                                                                                      Ministry responsible
                                                                                                                                   for Water
                                               Prime Minister’s Office - Regional                       Ministry
                                              Administration and Local Government                    responsible for                                                   Energy and Water
                                                                                                         Health                                                        Utilities Regulatory
                                                                                                                                                                             Authority
                                                           Regional                                                                         Major
                                                          Secretariats                                                 Regulation and       Capital
                                                                                                                        Monitoring          Works
                                                                                                                                                                         Regulation and
                                                                                                                                                                          Monitoring

                                            Municipa                        District
                                               l                            Councils
                                            Councils
                                                                                                                                               Water Supply and
                                                                                                                                              Sewerage Authorities
Legend                                                                                                                                          (inc. DAWASA)

             Decentralised Responsibility
                                                                                       Village
             Representation                                                            Councils
                                                                                                                                                           Contracts
             Service Responsibility
             Budget Preparation
             Regulation and Monitoring                                       Community Owned                                                             Service Providers
             Technical Guidance and Monitoring                                 Water Supply                                                           (public, private, NGOs,
                                                                               Organisations                                                              CBOs, WCAs)
             Support, Supervision and Monitoring

             Performance Contracts                                                  Contracts
             Statutory/Autonomous Bodies

                                                                                Service Providers
                                                                             (private, NGOs, CBOs,
                                                                                     WCAs)
                                                                                                                                            CONSUMERS



                                                                                       1
2
                                                                                                                                Formatted: Normal, Tab stops: Not at 0.48"




         Ministry responsible
             for Finance                                                                                                      Ministry responsible
                                                                                                                                   for Water
                                               Prime Minister’s Office - Regional                       Ministry
                                              Administration and Local Government                    responsible for                                                   Energy
                                                                                                         Health                                                        Utilities
                                                                                                                                                                             Au
                                                             Regional                                                                       Major
                                                            Secretariats                                               Regulation and       Capital
                                                                                                                        Monitoring          Works
                                                                                                                                                                         Regu
                                                                                                                                                                          Mo

                                            Municipa                        District
                                               l                            Councils
                                            Councils
                                                                                                                                               Water Supply and
                                                                                                                                              Sewerage Authorities
                                                                                                                                                (inc. DAWASA)
Legend
             Decentralised Responsibility
                                                                                       Village
             Representation                                                            Councils
                                                                                                                                                           Contracts
             Service Responsibility
             Budget Preparation

             LGA Block Grants                                                Community Owned                                                             Service Providers
                                                                               Water Supply                                                           (public, private, NGOs,
             Major Capital Finance
                                                                               Organisations                                                              CBOs, WCAs)
             Regulation and Monitoring
             Technical Guidance and Monitoring                                      Contracts
             Support, Supervision and Monitoring

             Performance Contracts                                              Service Providers
             Statutory/Autonomous Bodies                                     (private, NGOs, CBOs,
                                                                                     WCAs)                                      Formatted: Font: 11 pt
                                                                                                                                           CONSUMERS




                                                        0
Table 2: Functional Responsibilities for Water Supply, Sewerage and Sanitation
                                                                                                        Formatted: Normal
Table 8.2: Functional Responsibilities for Water Supply, Sewerage and Sanitation
Organisation                     Functions and Responsibilities
Minister responsible for Water      presents national sector policy and strategy to Government;        Formatted: Bullets and Numbering
                                    ensures policies and strategies are implemented;
                                    appoints chairman and members of the WSSAs boards; and
                                    appoints chairman and members of the EWURA board
Ministry responsible for Water      policy and strategy development;                                   Formatted: Bullets and Numbering
                                    advises EWURA in formulation of technical guidelines and
                                     standards;
                                    co-ordinates planning for projects of national importance;
                                    secures finance for projects of national importance;
                                    monitors service performance and regulate COWSOs;
                                    provides technical guidance to Councils;
                                    monitors technical performance of WSSAs and DAWASA;
                                    provides technical support, guidance and monitor major capital
                                     works to WSSAs; and
                                    coordinates and monitor WSSAs plans.
Water Supply and Sewerage           own, manage and develop water supply and sewerage assets;          Formatted: Bullets and Numbering
Authorities
                                    prepare business plans to provide water supply and sewerage
                                     services, including capital investment plans;
                                    secure finance for capital investment, and relevant subsidies;
                                    contract and manage Service Providers; and
                                    provide services not contracted out.
Service Providers                   provide water supply and sewerage services in accordance with      Formatted: Bullets and Numbering
                                     contractual requirements;
                                    collect revenues for services;
                                    Construction of water sector infrastructures;
                                    Provide Consultancy services;
                                    Supply of goods; and
                                    Training of communities in water related aspects.
Community Owned Water               own and manage water supply assets;                                Formatted: Bullets and Numbering
Supply Organisations
                                    operate and maintain water supply assets;
                                    determine consumer tariffs;
                                    collect revenue for the provision of services; and
                                    contract and manage Service Providers.
Energy and Water Utilities          approves business plans of WSSAs;                                  Formatted: Bullets and Numbering
Regulatory Authority
                                    issues operating licences to WSSAs;
                                    approves service tariffs;
                                    publishes technical guidelines and standards;
                                    monitors water quality and service performance of WSSAs; and
                                    collects and publishes comparative performance data.
Prime Minister’s Office -           co-ordinates planning of projects from local government            Formatted: Bullets and Numbering
Regional Administration and          authorities;
Local Government
                                    co-ordinates local government authority budgets; and
                                    co-ordinates capacity building for local government authorities.
Regional Secretariat                representation on WSSA Boards;                                     Formatted: Bullets and Numbering
                                    provides technical advice and support to local government
                                     authorities; and



                                                         0
Organisation                      Functions and Responsibilities
                                     supervises and monitors local government authorities.
City, Municipal, Towns and           provide representation on WSSA Boards;                            Formatted: Bullets and Numbering
District Councils
                                     co-ordinate WSSA plans within Council plans;
                                     delegate performance monitoring and regulation of COWSOs;
                                     delegate technical performance monitoring of WSSAs;
                                     provide and/or promote on-site sanitation; and
                                     formulate by-laws concerning water supply and sanitation.
Village Councils                     promote establishment of COWSOs;                                  Formatted: Bullets and Numbering
                                     provide representation on COWSO management body;
                                     co-ordinate COWSO budgets within Council Budgets;
                                     resolve conflicts within and between communities; and
                                     formulate by-laws concerning water supply and sanitation.
Ministry responsible for             develops policy, guidelines and strategies for sanitation;        Formatted: Bullets and Numbering
Health
                                     provides technical assistance to councils for sanitation;
                                     prepares Acts, Regulations and Standards for sanitation; and
                                     monitors, regulates and provides support and advice to councils
                                      and other stakeholders on sanitation issues.
                                                                                                        Formatted: Normal


                                                                                                        Formatted: Normal
Ministry responsible for Health   Develops policy, guidelines and strategies for sanitation.
                                  Provides technical assistance to councils for sanitation.
                                  Prepares Acts, Regulations and Standards for sanitation.
                                  Monitors, regulates and provides support and advice to councils and
                                  other stakeholders on sanitation issues.




                                                          1
3.       PLANNING PROCESS

The planning and budgeting cycle in the water sector is an integral part of the overall budget process in Tanzania. The
budget process describes the annual budget within the Medium Term Expenditure Framework (MTEF) approach with
expenditure planning for a medium term period of three years. The MTEF serves as strategic policy and expenditure
framework for the allocation of resources to priorities and for providing a link of national policies and objectives to the
budget.

At the central government level, the most important step is the formulation of the Budget Guidelines, which set the
ceilings for allocations to sectors through respective ministries as well as the resources to be made available to the local
governments. The ceilings are broken down into recurrent and development expenditures. In essence, these guidelines
constitute the main tool of the government to express the strategic decisions on expenditure allocations over the medium
term period covered by the MTEF.

In partnership with ESAs and other key stakeholders, the Government has adopted a Sector W-wide Approach to
Planning (SWAP), based on community-demand orientation, decentralised management through local governments and
dedicated water user entities or authorities, combined with central government facilitation, and delivery of services by
the private sector and management of water resources at lowest appropriate levels..

SWAP brings together the three sub-sectors; rural water supply, urban water supply and sewerage, and water resources
management; under one comprehensive investment and regulatory regime. The SWAP is in direct response to the
NAWAPO. June 2003 marked the start of a three-year transition period of preparation of the WSDP intended to: (i) lay
the foundations for a SWAP; (ii) prepare the necessary investment plan; (iii) build service delivery and water resources
management capacity at all levels; and (iv) establish the necessary regulatory framework for sustained delivery of water
supply services country-wide.

Sustainable implementation of the programme requires holistic planning and financing, stable financial mechanisms and
availability of adequate funds for capital investments for infrastructure expansion, rehabilitation and water resources
management. This also requires appropriate channelling of the resources to the prioritized needs. Indicative percentage
proportion of funds to sub-sectors are 50:20:15:15,2 to RWSSP, WRM, UWSSP and cross cutting aspects (planning,
accounting, general administration and executive agencies), respectively. The proportions may change in accordance
with circumstances at the time.


Since 2004, the Government adopted a system of formula based block grants to Local Government Authorities in order
to assure objective, equitable and transparency distribution of resources. Criteria have been identified for allocation of

2
 Proceedings of Stakeholder Retreat on Sector Wide Approach to Planning in the Water Sector, MoWLD, Arusha, May
2003


                                                             2
funds to the LGAs for both recurrent and development. LGAs have to be identified; either grouped or individually
assigned coefficients according to the set criteria. For recurrent allocation the identified criteria are technology, coverage
and poverty. The criteria for development grant allocation are weighted unsaved population and technology.


The Ministry of Water will develop a formula to be used for allocation of financial resources to other WSDP implementing
agencies, namely Basin Water Offices; UWSAs; and Executive Agencies. This will be followed by a benchmarking study
which will among other things establish capacities and viability for financial autonomy of the agencies.

This section describes the procedures and guidelines for planning and management of Water Sector Development
Programme. The guidelines are expected to provide reasonable assurance that funds released for programme activities
at various levels are used to achieve the intended objectives. The planning process, therefore, is discussed based on
sub-sectors in line with the sequence of the programme.

3.1           Water Resources Management

The Ministry responsible for water has the overall responsibility for implementation of the programme. The institutional
framework provides for a National Water Board and Basin Water Boards, both of which are made up of stakeholder
representatives of the LGAs, water-related sector institutions, water users, privateand private sector, NGOs, and women
groups. Programme planning will be done with the active participation of all stakeholders.

3.1.1         National Level

  (i)           Guidelines for Planning                                                                                          Formatted: Numbered + Level: 1 +
                                                                                                                                 Numbering Style: i, ii, iii, … + Start at: 1 +
                                                                                                                                 Alignment: Left + Aligned at: 0.15" + Tab
The MoW in collaboration with appropriate institutions will prepare guidelines, and provide backstopping to basins. MoW          after: 0.65" + Indent at: 0.65"
will consolidate the basin, national and cross-sectoral plans for submission to NWB. District plans should incorporate the
national MKUKUTA objectives, priorities and targets, as prescribed in the NWSDS and the WSDP. Once approved by
the Basin Board, the plans will be forwarded to MoW for consolidation and onward submission to MoF and Ministry of
Planning, Economy and Empowerment Commission(MPEE) as input for budget guidelines.

The National Water Board will review and approve Annual Work Plans for the whole programme. It will meet at least
twice a year to review progress reports, resolve any cross-sectoral problems associated with programme
implementation, sanction any major initiatives under the programme including budgets, implementation mechanisms,
and procurement of materials, civil works and consultants, give policy direction and advise the Minister on appeals.

  (i)(ii)       Guidelines towards Financial Autonomy                                                                            Formatted: Numbered + Level: 1 +
                                                                                                                                 Numbering Style: i, ii, iii, … + Start at: 2 +
                                                                                                                                 Alignment: Left + Aligned at: 0.15" + Tab
The Ministry of Water will conduct a benchmarking study for all Basin Water Offices and prepare guidelines that require          after: 0.65" + Indent at: 0.65"
BWOs to prepare Business Plans towards full financial autonomy. The guidelines shall also show timeframe within which
                                                                                                                                 Formatted: Bullets and Numbering
respective BWO will, step by step, graduate from government subsidy into full financial autonomy.

  (ii)(iii)     Approval of Business Plans towards Financial Autonomy                                                            Formatted: Numbered + Level: 1 +
                                                                                                                                 Numbering Style: i, ii, iii, … + Start at: 3 +
                                                                                                                                 Alignment: Left + Aligned at: 0.15" + Tab
Basin Water Offices are responsible for planning and managing the overall capacity building plans which should                   after: 0.65" + Indent at: 0.65"
incorporate the national MKUKUTA objectives, priorities and targets, as prescribed in the NWSDS and the WSDP. Once
                                                                                                                                 Formatted: Bullets and Numbering
approved by the Basin Board, the plans will be forwarded to MoW for consolidation and onward submission to MoF and
MPEE as input for budget guidelines.
Once approved by the BWO’s Board, the plans will be forwarded to MoW for consolidation and onward submission to
MoF and Planning Commission as input for budget guidelines.


3.1.2         Basin Level
                                                                                                                                 Formatted: Font color: Auto




                                                              3
Basin Water Boards (BWBs) have overall the responsibility for the implementation of the programme at the basin level
according to the National policy and guidelines – approve annual plans and budgets, receive progress reports, and give
general guidance to Basin Water Offices. The Boards would meet on quarterly basis, or as needed, to approve Basin
Annual Work Plans and receive progress reports prepared by Basin Water Offices for submission to the Ministry. The
Boards would also monitor implementation of the plans and resolve cross-sectoral conflicts at the basin level.

(i)     Orientation of BWO personnel to the Programme Approach                                                                 Formatted: Indent: Left: 0", First line: 0",
                                                                                                                                Numbered + Level: 1 + Numbering Style: i, ii,
                                                                                                                                iii, … + Start at: 1 + Alignment: Left + Aligned
One of the functions of BWO personnel is to promote the WSDP in the communities, water user associations and other              at: 0.25" + Tab after: 0.75" + Indent at:
stakeholders. To enable them effectively perform this function they will be briefed on the Programme approach. MoW              0.75", Tab stops: Not at 0.75"
and Training Consultants will support the BWO to carry out this orientation.

(ii)    Promotion of Demand at the Community Level                                                                             Formatted: Indent: Left: 0", First line: 0",
                                                                                                                                Numbered + Level: 1 + Numbering Style: i, ii,
                                                                                                                                iii, … + Start at: 1 + Alignment: Left + Aligned
Communities have to be informed about the programme in order to initiate community demand for water resources                   at: 0.25" + Tab after: 0.75" + Indent at:
protection and development. They need to be given information on:                                                               0.75", Tab stops: Not at 0.75"
              The opportunities and threats available through the programme and the mechanisms to address the                  Formatted: Font: (Default) Arial Narrow, 11 pt
                 challenges resulting from programme activities,                                                                Formatted: Left, Bulleted + Level: 2 + Aligned
              The importance of water resources management and what it means, and                                              at: 0.75" + Tab after: 1" + Indent at: 1", Tab
         .                                                                                                                     stops: Not at -1" + -0.5" + 0" + 0.48" +
                                                                                                                                1.5" + 2" + 2.5" + 3" + 3.5" + 4" + 4.5" +
        The importance of “water resources management” and what it means.                                                       5" + 5.5" + 6" + 6.5" + 7" + 7.5" + 8"
                         - How the community can participate.
                                                                                                                                Formatted: Bullets and Numbering
                                                                                                                                Formatted: Font: (Default) Arial Narrow, 11 pt
The BWO will use their regular meetings at catchment, sub-catchment, district, ward and village levels to keep everyone
informed about the programme. Other influential opinion leaders in the community, such as religious leaders, might also         Formatted: Font: (Default) Arial Narrow
be involved. Promotion will be an ongoing activity.                                                                             Formatted: Bullets and Numbering
                                                                                                                                Formatted: Font: Bold
3(iii)   Preparation of BWO Business Plans towards Financial Autonomy
                                                                                                                                Formatted: Normal, Left
                                                                                                                                Formatted: Font color: Auto
The MoW will strengthen BWOs through provision of equipment, training of staff and planning of rehabilitation of
equipment and other major capital investment. The ultimate aim is to change them into being autonomous and financially          Formatted: Indent: Left: 0", First line: 0",
                                                                                                                                Numbered + Level: 1 + Numbering Style: i, ii,
independent. Efficiency and effectiveness will be improved through provision of new facilities and training.                    iii, … + Start at: 3 + Alignment: Left + Aligned
                                                                                                                                at: 0.25" + Tab after: 0.75" + Indent at:
                                                                                                                                0.75", Tab stops: Not at 0.75"
The BWOs will operate within the new decentralised system, which involves Public - Private Partnerships. The financial
grants from Central Government for BWOs’ major capital investment will be allocated based on their plans for major
institutional capacity building activities. The process of approving the plans is as follows:
                                                                                                                                Formatted: Bulleted + Level: 2 + Aligned at:
                       The BWO Board thoroughly reviews, vets and appraises the BWOs plans and incorporates                 0.75" + Tab after: 1" + Indent at: 1"
                 them      into the annual Investment Plan.
                                                                                                                                Formatted: Bullets and Numbering
                     The approved plan is submitted to the MoW for technical scrutiny and finally to MoF for
                 funding.

              The BWO plans should indicate clearly to what extent it has incorporated the national objectives and             Formatted: Bullets and Numbering
               priorities, as prescribed in the NAWAPO 2002 and the NWSDS, and the MKUKUTA priorities and
               principles.

4(iv)    Preparation of annual IWRM Plans                                                                                       Formatted: Indent: Left: 0", First line: 0",
                                                                                                                                Numbered + Level: 1 + Numbering Style: i, ii,
                                                                                                                                iii, … + Start at: 3 + Alignment: Left + Aligned
BWOs are responsible for planning and managing the overall integrated water resources management and development                at: 0.25" + Tab after: 0.75" + Indent at:
in respective basins. District Water and Sanitation Teams (DWST) will review the village sub projects, vet and appraise         0.75", Tab stops: Not at 0.75"
them. Once the sub projects fulfil the criteria of guidelines of IWRM; the DWST will incorporate them into the annual
district investment plan. The completed investment plan will then be submitted to the Health, Education, and Water
Standing Committee for approval. Once approved, the plans will be forwarded to the BWO for consolidation into a Basin
IWRM plan for scrutiny, projection and planning of the basin water use. The submission of district plans will also facilitate
BWOs establish water resource needs and plan for investment on water resources development which will be submitted


                                                             4
to MoW for funding and how shall the basin plans have addressed environmental aspects in their projects. the RPF and
ESMF should be consulted in new project Plans.
.

3.1.3    LGA Level

(i)     Promotion of IWRM at the District Level                                                                            Formatted: Indent: Left: 0", First line: 0",
                                                                                                                            Numbered + Level: 1 + Numbering Style: i, ii,
                                                                                                                            iii, … + Start at: 1 + Alignment: Left + Aligned
District Council will be informed about IWRM approach in order to assist communities to participate in water resources      at: 0.25" + Tab after: 0.75" + Indent at:
management and development including protection of water sources. They need to be given information on:                     0.75", Tab stops: Not at 0.75"
                           TThe opportunities and threats available through the programme.                                Formatted: Bullets and Numbering
                           TThe importance of “Integrated Water Resources Management” and what it means.
                           How the community can participate.

The District Council will use their regular meetings at district, ward and village levels to keep everyone informed about
the programme. Other opinion influential leaders in the community, such as religious leaders, might also be involved.
Promotion will be an ongoing activity.

(ii)    Appraisal of Community Project Applications                                                                        Formatted: Indent: Left: 0", First line: 0",
                                                                                                                            Numbered + Level: 1 + Numbering Style: i, ii,
                                                                                                                            iii, … + Start at: 1 + Alignment: Left + Aligned
 District Councils staff with the assistance of the promoters, will facilitate communities to identify and apply for IRWM   at: 0.25" + Tab after: 0.75" + Indent at:
IWRM and development projects. Applications will be appraised by District Water and Sanitation Teams. The teams will        0.75", Tab stops: Not at 0.75"
rank all the community applications and make their recommendations to the Full Council.
                                                                                                                            Formatted: Font color: Auto
3.1.4    Community Level                                                                                                    Formatted: Font color: Auto

Following demand promotion activities by the LGA and BWOs, interested communities will be expected to:
     a) Establish of WUAs. It is a requirement that a community establish a representative gender                          Formatted: Indent: Left: 0.25", Bulleted +
         balanced WUA.                                                                                                      Level: 1 + Aligned at: 0.5" + Tab after: 0.75"
                                                                                                                            + Indent at: 0.75", Tab stops: 0.5", List tab +
      Raise initial financial contributions for the capital costs involved in developing WRM for their community.          Not at 0.75"
      Open a bank account for WUA funds.                                                                                   Formatted: Indent: Left: 0.25", Bulleted +
                                                                                                                            Level: 1 + Aligned at: 0.5" + Tab after: 0.75"
In the demand response promotion activities, DWSTs and other promoters will explain the importance of cash                  + Indent at: 0.75", Tab stops: 0.5", List tab +
                                                                                                                            Not at 0.75"
contributions.

3.1.5    Unit Costs for Water Resources Management Component                                                                Formatted: Font: Bold


Network Rehabilitation, Procurement of Technical Equipment Facilities and Civil Works

The unit costs for networks rehabilitation include the cost of equipment (data loggers and sensors), fabrication of
components for the infrastructure for installation of the equipment and the construction and installation of the
equipment. Various types of water level sensors and data-loggers exist. The choice depends on a number of things
such as, condition of the gauging station and whether the WLL is used for rivers loaded with sedimentation,
groundwater wells, lakes marshy or brackish waters. Other important parameters to consider are robustness of the
equipment, cost of the equipment and the cost of installation and maintenance. For example high rates of
sediment will normally exclude a float and weight type of sensor, high temperature fluctuations will exclude use of
the bubbler type sensor. A remote station will require a more robust sensor. The DWR specifications are for high
performance and very robust equipment and it is assumed that this practice will continue in the future. The unit
costs for water level loggers include accessories for installation of the sensor and data-logger. The unit-rates were
derived from recent procurements of such equipment in the department of Water Resources.

Fabrication of installation and gauging suspension components

The components found at some of the gauging stations include cableway traveller system, stilling wells and
housing for the WLL. The staff gauge is the basic or primary sensor installed at every hydrometric station.


                                                            5
Cableway posts and recorder well are heavy-duty equipment and are better fabricated at the nearest best foundry
workshop. The unit cost of fabrication per station is an average value for gauge posts, cableway traveller system,
housing for WLL and stilling well, and this value values derived from recent procurements for network rehabilitation
in the Wami Ruvu basin. Boreholes are normally drilled for groundwater monitoring. Experts in the Department of
Water Resources provided the average unit cost of a finished BH for monitoring of groundwater level fluctuations.

Construction and installations

The cost of civil works for hydrometry observation stations includes installing stilling wells, cableway posts and
gauge posts. The technicians within the department of water resources are trained to install those components and
normally this has been part of their work. The unit rate used for estimating the cost of construction of hydrometric
stations is derived from recent (2004/05) procurement of a contractor to install and construct monitoring stations in
the Wami Ruvu Basin. The value of 1.5million estimated by the contractor is considered fair and is used to
estimate the cost of civil works, though the DWR staff could do the job for 60-75% less.

Running Costs of Stations

It is assumed that a hydrometric station will be visited 8 times by the basin technicians for station maintenance
station calibration and replacement of batteries and the like. Visits are organised in round trips in such a way that
as many stations as possible are visited per day. Normally 2, 3 or more stations will be visited per day. A trip of one
day or two days could be make to only one remote station. The assumption is that 2 stations can be visited per day
on the average by a team of 3-technicians. Thus the number of visits per hydrometric station is four in a round trip
where technician are paid per diem. Less time and fewer people will be required to visit Meteorological stations
and water Quality stations mainly because they situated in places which can easily be reached. The unit rates for
monitoring stations are estimated considering per Diems for technicians, supplies and transport costs.

Facilities and Computers
The cost for facilities such as office equipment, computers and vehicles are derived from recent procurement costs.
The costs of the facilities also depend on the technical specifications. It is assumed that similar specifications will
be applicable in the future. The computer technology is moving fast and more useful technology is evolving and
better and more useful equipment will be available for the same prices as they are today. It is expected that high-
end computers will continue to be specified at the present prices.

Construction of building
The planning unit for the construction of buildings is the square meter and depending on the location or town the
unit cost per square meter is TZS 225,000 to 250,000. For building rehabilitation, it is assumed to be 20% of the
present construction cost of a new building.

Consultants’ services
Certain tasks will require short term high value expertise which is not needed otherwise. Hiring short-term experts
is an effective and efficient way of implementing tasks that are of short duration. The unit costs are derived from
recent procurements in the MOWLD.

Seminars, Workshops and Meetings
The cost of meetings and seminars include: participants allowances, venue, honoraria for facilitators, and transport.
The unit costs for meetings and workshops are drawn from experiences gained from conducting similar meetings
and workshops in Tanzania.

Training
Unit costs for formal training are those for the University of Dar es Salaam, Faculty of Engineering, and Department
of Water Resources. For external training the costs are average values from training institutions in the
Netherlands, where many water resources experts in the country have trained before. The both cases the cost
includes tuition fees, a subsistence allowance, and related costs.



                                                          6
Support to Committees WUAs and Consultations and workshops
District facilitation teams will be formed to support formation of WUAs and catchment committees. The process in
formation of these entities includes awareness creation, participatory assessments, meetings and registration of the
entity. Experience in the Pangani and Rufiji basin was used to estimate the unit costs for this type of process. The
unit rates are provided in Table D.2.1.
                                                                                                                       Formatted: Normal, Left



Insert Unit Cost tables
                                                                                                                       Formatted: Normal, Left




                                                         7
                                                                                                                                 Formatted: Font: Bold, English (United States)
3.2      Rural Water Supply and Sanitation                                                                                       Formatted: Font: Bold
                                                                                                                                 Formatted: Font: Arial Narrow, Bold
This section describes the procedures and guidelines for planning and management of rural water supply interventions.

3.2.1    National Level

(i)     Guidelines for Planning                                                                                                 Formatted: Indent: Left: 0", First line: 0",
                                                                                                                                 Numbered + Level: 1 + Numbering Style: i, ii,
                                                                                                                                 iii, … + Start at: 1 + Alignment: Left + Aligned
Water Sector Formula Based Allocation of Financial Resources                                                                     at: 0.25" + Tab after: 0.75" + Indent at:
                                                                                                                                 0.75", Tab stops: Not at 0.75"


The Government of Tanzania has adopted a system of formula based block grants allocation to Local Government
Authorities in order to assure objective, equitable and transparency distribution of resources. Several criteria have been
identified for application in the allocation of funds to the LGAs but it has been found that some of the criteria either match
or compliment others. Criteria have been identified for allocation of funds to the LGAs for both recurrent and
development where LGAs have to be identified; either grouped or individually assigned coefficients according to the set
criteria. For recurrent allocation the identified criteria are technology, coverage and poverty. The criteria for development
grant allocation are weighted unsaved population and technology.


The Water Sector Development Programme, with respect to rural water supply and sanitation, will operate within the
new decentralised system, which involves Public - Private Partnerships. The LGA Water and Sanitation Grant will be
allocated to LGAs based on their DWSPs. The process of approving DWSP is as follows:
                                                                                                                                 Formatted: Bulleted + Level: 2 + Aligned at:
              (i) The DWST thoroughly reviews, vets and appraises village project proposals and incorporate them into           0.75" + Tab after: 1" + Indent at: 1"
                   the DWSP and in the annual District Investment Plan (DIP).Steps 1-4 of chapter 4 ESMF should be
                                                                                                                                 Formatted: Bullets and Numbering
                   accomplished in case there is resettlement and displacement of people. Steps for consultation and
                   resettlement must be evaluated.
              (ii)       The completed DIP is submitted to the Full Council through EHW and FAP Standing
                   Committees for consideration and approval.
              (iii)         The approved plans are submitted to the MoW for technical scrutiny and finally to MoF for
                    funding.


The DIP should indicate clearly to what extent it has incorporated the national objectives and priorities, as prescribed in
the NAWAPO 2002 and the NWSDS, and the MKUKUTA priorities and principles. Any project which EIA has been made
mandatory / the review and approval of the report shall be made by NEMC. The councilNEMC shall issue an
environmental certificate for the project to proceed.( Ref. ESMF document for full procedure)

The financial planning cycle for the programme falls within the normal annual planning and budgeting cycle of central
Government. It runs from September October to June of each year. Details of how LGAs should prepare their annual
investment plans for the W&S conditional grants are given in the ‘Guidelines for Planning and Operating District Water
and Sanitation Grants’.

The following documents are available to the LGAs for detailed information on planning and budgeting procedures:
              Guidelines for Planning and Operating LGA Water and Sanitation Grants.                                           Formatted: Bullets and Numbering
              The National Framework for Participatory Planning and Budgeting for LGAs.
    The Local Government Medium Term Expenditure Framework (LG-MTEF) which initiates the
              budget process by identifying funding sources for LGAs.
                                                                                                                                 Formatted: Font: Bold
In all respects, LGAs applying for conditional grants under the programme should comply with the prevailing PMO-RALG
                                                                                                                                 Formatted: Indent: Left: 0", First line: 0",
guidelines for planning and budgeting.                                                                                           Numbered + Level: 1 + Numbering Style: i, ii,
                                                                                                                                 iii, … + Start at: 1 + Alignment: Left + Aligned
(ii)    Consolidation of District Plans                                                                                         at: 0.25" + Tab after: 0.75" + Indent at:
                                                                                                                                 0.75", Tab stops: Not at 0.75"



                                                              8
District Councils are responsible for planning and managing the overall rural water and sanitation development, including
small towns as well as village level projects. The district plan should incorporate the national MKUKUTA objectives,
priorities and targets, as prescribed in the NWSDS and the WSDP. Once approved by the Full Council, the district plans
will be forwarded to MoW for consolidation and onward submission to MoF and MPEE Planning Commission as input for
budget guidelines.

3.2.2     LGA Level
                                                                                                                            Formatted: Font color: Auto
  (i) Orientation of LGA personnel to the Programme Approach                                                           Formatted: Font: Bold
                                                                                                                            Formatted: Bullets and Numbering
One of the functions of LGA personnel is to promote the WSDP in the communities, water users and other stakeholders.
                                                                                                                            Formatted: Font: Bold
To enable them effectively perform this function they will be briefed on the Programme approach. MoW and Training
Consultants will support the LGA to carry out this orientation.                                                             Formatted: Numbered + Level: 1 +
                                                                                                                            Numbering Style: i, ii, iii, … + Start at: 1 +
                                                                                                                            Alignment: Left + Aligned at: 0.15" + Tab
     (ii) Promotion of Demand at the Community Level                                                                    after: 0.65" + Indent at: 0.65"
                                                                                                                            Formatted: Font: Bold
Communities have to be informed about the programme in order to initiate community demand for improved W&S                  Formatted: Bullets and Numbering
services. They need to be given information on:
                                                                                                                            Formatted: Font: Bold
                        The opportunities available through the programme.
                        The importance of “community ownership and management” and what it means.                         Formatted: Numbered + Level: 1 +
                                                                                                                            Numbering Style: i, ii, iii, … + Start at: 2 +
                        How the community can apply to participate.                                                       Alignment: Left + Aligned at: 0.25" + Tab
                                                                                                                            after: 0.75" + Indent at: 0.75"
The Council will use their regular meetings at district, ward and village levels to keep everyone informed about the        Formatted: Bullets and Numbering
programme. Other opinion leaders in the community, such as religious leaders, might also be involved. Promotion will
be an ongoing activity.

     (iii) Appraisal of Community Applications                                                                           Formatted: Font: Bold
                                                                                                                            Formatted: Numbered + Level: 1 +
With the assistance of the promoters, a community must submit a completed application form. The application will be         Numbering Style: i, ii, iii, … + Start at: 2 +
appraised by the Water and Sanitation Teams. The teams will rank all the community applications and make their              Alignment: Left + Aligned at: 0.25" + Tab
                                                                                                                            after: 0.75" + Indent at: 0.75"
recommendations to the Full Council.
                                                                                                                            Formatted: Bullets and Numbering

     (iv) Appraisal of Community RWSS Projects                                                                          Formatted: Font: Bold
                                                                                                                            Formatted: Font: Bold
The main outputs of the programme cycle in the planning phase are community project proposals with details of the           Formatted: Numbered + Level: 1 +
criteria for appraisal as set below:                                                                                        Numbering Style: i, ii, iii, … + Start at: 2 +
                                                                                                                            Alignment: Left + Aligned at: 0.25" + Tab
                                Criteria for Appraisal of Community Sub Projects                                            after: 0.75" + Indent at: 0.75"
                                                                                                                            Formatted: Bullets and Numbering
       Is the proposal complete with all required details e.g. signatures?
                                                                                                                            Formatted: Font: Bold
       Is there evidence that the proposed site belongs to the community?
       Is there evidence of community’s choice of the proposed technical options and service levels?                       Formatted: Font color: Auto

       Has the community elected a gender balanced Water and Sanitation (Watsan) committee?
       Is the proposed facility meeting all technical standards established by MoW?
       Is the estimated cost feasible i.e. within the acceptable range established by communities?
       Has the community deposited the required contribution to capital costs?
       Has the community indicated how it will generate funds for operation and maintenance?
       Does the proposed facility address the measures to mitigate any identified environmental concerns?
       Does the proposal indicate how to address the identified environmental concerns?
       Does the community have a workable hygiene and sanitation and HIV/AIDS plan of action?
                                                                                                                            Formatted: Font: Bold
       Has the community developed a realistic action plan to implement the subproject?
                                                                                                                            Formatted: Numbered + Level: 1 +
                                                                                                                            Numbering Style: i, ii, iii, … + Start at: 2 +
                                                                                                                            Alignment: Left + Aligned at: 0.25" + Tab
     (v) Preparation of District Water and Sanitation Plans                                                            after: 0.75" + Indent at: 0.75"
                                                                                                                            Formatted: Bullets and Numbering



                                                            9
District Councils are responsible for planning and managing the overall rural water and sanitation development, including
small towns as well as village level projects. The District Water and Sanitation Team (DWST) will review the village sub
projects, vet and appraise them. If the sub projects fulfil the criteria of the WSDP, the DWST will incorporate them into
the annual district investment plan. The completed investment plan will then be submitted to the Health, Education, and
Water Standing Committee for approval. Once approved, the plans will be forwarded to MoW for consolidation and
request for funding.

Districts have to show in their plans how they are meeting the programme contribution requirement by communities to
the total investment cost. The district plan should incorporate the national MKUKUTA objectives, priorities and targets,
as prescribed in the NWSDS and the WSDP. The DWST will administer the environmental and social screening
process of each project within the jurisdiction of the district authority . The steps involved are highlighted in the ESMF
Chapter 4 step 1-step 4. The Initial environmental and social screening will be carried out through the environmental and
social screening Form ( Annex B) and NEMC Flow chart No 4 on annex E of the ESMF. The form will be dully filled
completed by EMO assisted by DWST or DEMC.

3.2.3 Community Level                                                                                                         Formatted: Indent: Left: 0", First line: 0",
                                                                                                                               Outline numbered + Level: 3 + Numbering
                                                                                                                               Style: 1, 2, 3, … + Start at: 3 + Alignment: Left
(i)       Self Mobilisation                                                                                                   + Aligned at: 0" + Tab after: 0.5" + Indent
                                                                                                                               at: 0.5"
       Following the demand promotion activities by the LGA, interested communities will be expected to:                       Formatted: Indent: Left: 0", First line: 0",
                  Elect a Watsan Committee. It is a requirement that a community elect a representatives in                  Numbered + Level: 1 + Numbering Style: i, ii,
               consideration of gender balanced Watsan.                                                                        iii, … + Start at: 1 + Alignment: Left + Aligned
                                                                                                                               at: 0.25" + Tab after: 0.75" + Indent at:
                  Raise initial financial contributions for the capital costs involved in developing water supply and        0.75", Tab stops: Not at 0.75"
               sanitation facilities in their community. The mode of community contribution for application in the
                                                                                                                               Formatted: Bullets and Numbering
               implementation of WSDP is both cash and in kind, based on the parameter of technology option.
       Community contribution matrix shall be as in the table shown below.

Table 3: Community Contribution Matrix                                                                                         Formatted: Left

       Technology Option                                                       Cash Contribution                               Formatted Table
       Spring protection                                                             30%
       Shallow well with hand pump                                                    5%
       Borehole with hand pump                                                        5%
       Gravity scheme                                                                2.5%
       Pumped and piped scheme                                                       2.5%
       Windmill and piped                                                            2.5%
       Small dam                                                                     2.5%

For cattle rearing communities, a cash contribution of 25% of the cost of each cattle trough construction , will be required
where applicable, in addition to the general contribution laid down in the matrix. This caters for communities with viz
those without cattle and thereby addressing the issue of equity in cost sharing.

       i) Open a bank account for their W&S funds.                                                                            Formatted: Indent: Left: 0.25", Bulleted +
                                                                                                                               Level: 1 + Aligned at: 0.5" + Tab after: 0.75"
                                                                                                                               + Indent at: 0.75", Tab stops: Not at 0.75"
In the demand response promotion activities, the DWST and other promoters will explain the importance of cash
contributions.

  Importance of Communities Making Cash Contributions on Capital Costs:

  Communities are encouraged to make effective resources allocation and choose the most affordable
  technological option and service level. Giving a community financial responsibility for developing and
  managing its water supply system:
   makes communities choose service levels which are within their financial capability;
   acts as an indicator that they are willing and able to raise O&M funds for improved facilities; and
   is the basis of their commitment to own and manage the facilities.


                                                            10
(ii)     Application for participation in the Programme                                                                      Formatted: Font color: Auto
                                                                                                                              Formatted: Indent: Left: 0", First line: 0",
                                                                                                                              Numbered + Level: 1 + Numbering Style: i, ii,
                                                                                                                              iii, … + Start at: 1 + Alignment: Left + Aligned
                                                                                                                              at: 0.25" + Tab after: 0.75" + Indent at:
All communities who wish to participate in the project will be given application forms. The main contents of the              0.75", Tab stops: Not at 0.75"
application form are:
      Basic community data including name of community, location, population number of households,                           Formatted: Indent: Left: 0", First line: 0",
          distance to nearest town and district headquarters.                                                                 Bulleted + Level: 1 + Aligned at: 0.13" + Tab
                                                                                                                              after: 0.38" + Indent at: 0.38"
      Existing water and sanitation situation services.
                                                                                                                              Formatted: Indent: Left: 0", First line: 0",
      Preferred technological option(s).                                                                                     Bulleted + Level: 1 + Aligned at: 0.13" + Tab
      Management arrangements relevant to W&S at community level including leaders and money issues.                         after: 0.38" + Indent at: 0.38"


In order to complete an application form a community will need to organise themselves to consult each other on their
priority needs and how they want to participate in RWSSP. A completed application form with an endorsement of the
Village Government should be forwarded to the DWST through the WDC with the following attachments:
 Minutes of the community meeting endorsing the application for RWSSP support, and listing members of                        Formatted: Indent: Left: 0", First line: 0",
     the Watsan                                                                                                               Bulleted + Level: 1 + Aligned at: 0" + Tab
                                                                                                                              after: 0.25" + Indent at: 0.25", Tab stops:
 A copy of a recent Bank Statement                                                                                           0.75", List tab
                                                                                                                              Formatted: Indent: Left: 0", First line: 0",
The DWST or any designated field officers should ensure that communities are assisted sufficiently in filling the forms. It   Bulleted + Level: 1 + Aligned at: 0" + Tab
is one of the responsibilities of the FSPs and TSPs to provide this assistance. When completing the application form a        after: 0.25" + Indent at: 0.25", Tab stops:
community must consider the selection criteria that will be used by the LGA as outlined under section 3.2.2. The              0.75", List tab

correctiness of the information given on the application form will be verified and confirmed by DWST.

The DWE, who is the DWST secretary, will inform communities by letter whether their application has been successful
as soon as the Council has made its decisions. The information will also be displayed on public notice boards at the
LGA headquarters and in the villages.
                                                                                                                              Formatted: Font color: Auto
(iii)    Planning of Community Projects                                                                                      Formatted: Indent: Left: 0", First line: 0",
                                                                                                                              Numbered + Level: 1 + Numbering Style: i, ii,
In the planning phase of the programme cycle the selected communities are required to prepare:                                iii, … + Start at: 1 + Alignment: Left + Aligned
                                                                                                                              at: 0.25" + Tab after: 0.75" + Indent at:
                                                                                                                              0.75", Tab stops: Not at 0.75"
         o Facilities and Management Plan (FMP) for their water supply. The FMP is divided into two parts.
                                                                                                                              Formatted: Font color: Auto
         Part A is concerned rned with activities and costs related to planning and constructing facilities, including
                                                                                                                              Formatted: Bulleted + Level: 1 + Aligned at:
         making choices about the type of water supply and the technology that will be used. Part B is related to             0.48" + Tab after: 0.73" + Indent at: 0.73"
         activities and costs related to the O&M of the facility after construction has been completed.
                                                                                                                              Formatted: Bullets and Numbering

         o Hygiene, sanitation and HIV/AIDS plan. This outlines the promotional and education activities that                Formatted: Bulleted + Level: 1 + Aligned at:
         will be undertaken by the Community Own Resource Persons (CORPS).                                                    0.48" + Tab after: 0.73" + Indent at: 0.73"
                                                                                                                              Formatted: Bullets and Numbering
An overview of the activities involved in preparing FMP is given in box below.

                                       Activities involved in preparing the FMP
        Verification of community basic W&S data to provide the basis for planning. This will involve a review of the
         existing W&S situation by the FSP, with reference to the community map and the application form.
        Community meetings to deepen their understanding of NRWSSP WSDP basic concepts and conditions.
        Electing a Watsan (in the event it is not yet elected).
        Making informed choice, by the community, of affordable and sustainable technology options and service
         levels based on clear and simple information about features and costs of a variety of technological options.
         It is important that the technology choices are compatible with local environmental and social
         considerations, and financially feasible and sustainable for the community.
        Selection and clearing of sites.
        Assessing the hygiene, sanitation and HIV/AIDS and developing a plan of action.
        Organising technical feasibility studies on the proposed water supply system, including an Environmental
         Impact Assessment., resettlement .and compensation issues.
        Preparing a detailed engineering design and costing for the selected technology options.

                                                            11
Communities will be assisted by the FSP to complete the FMP - Part A. The FSP will be supported by the TSP and
DWST, as necessary. The TSP and DWST will play a key role in guiding a community on choices about the water
supply system and service levels. The process involved in making these choices is discussed in chapter 4 on
Technology Options.

                                     The FMP should be reviewed from time to time,
                            as some of the details might need to be completed at later stages of
                                                   the programme cycle.


During this step the FSPs will also train the Watsan and Village Government on their roles and responsibilities, and how
to manage implementation of their W&S projects. The training also focuses on monitoring and supervision skills, fund
raising methods and management, and conflict management. During this step the community also selects its CORPS,
who are then given training by the FSP.
                                                                                                                           Formatted: Font color: Auto
(iv)      Community Project Agreement                                                                                     Formatted: Font color: Auto
                                                                                                                           Formatted: Indent: Left: 0", First line: 0",
As soon as the LGA approves a community’s FMP it will be informed. However, the signing of the Community Project           Numbered + Level: 1 + Numbering Style: i, ii,
Agreement will only take place after the MoW has approved the LGA’s DWSP.                                                  iii, … + Start at: 1 + Alignment: Left + Aligned
                                                                                                                           at: 0.25" + Tab after: 0.75" + Indent at:
                                                                                                                           0.75", Tab stops: Not at 0.75"

                                          Community Project Agreement
        It defines
               the rights and obligations of each party for the implementation of the approved subproject;
          o                           Community Project Agreement
                the cost of the subproject;                                                                                Formatted: Indent: Hanging: 0.63", Bulleted
                                                                                                                           + Level: 2 + Aligned at: 0.5" + Tab after:
          o
  It defines    ownership provisions, commissioning conditions, financial management and auditing                          0.88" + Indent at: 0.88"
                procedures; and                                                                                            Formatted: Indent: Left: 0.25", Bulleted +
           the rights and obligations of each party for the implementation of the approved subproject;
         o conditions for termination of the agreement.                                                                   Level: 2 + Aligned at: 0.5" + Tab after: 0.88"
      o the cost of the subproject;                                                                                       + Indent at: 0.88", Tab stops: 0.63", List tab
                                                                                                                           + Not at 0.88" + 1"
      o ownership provisions, commissioning conditions, financial management and auditing
The signed agreement is binding to both parties – the LGA and the community. The VG chairperson or Village                 Formatted: Indent: Hanging: 0.63", Bulleted
            procedures; and
Extension Officer will be a witness on behalf of the community in case the scheme covers only one village. If the scheme   + Level: 2 + Aligned at: 0.5" + Tab after:
coverso than one village termination of the agreement. the key witness.
       more conditions for the Ward Extension Officer will be                                                              0.88" + Indent at: 0.88"
                                                                                                                           Formatted: Indent: Hanging: 0.63", Bulleted
                                                                                                                           + Level: 2 + Aligned at: 0.5" + Tab after:
                                                                                                                           0.88" + Indent at: 0.88"
3.2.4      Unit Costs for Rural Water Supply and Sanitation Component
                                                                                                                           Formatted: Indent: Left: 0.25", Bulleted +
                                                                                                                           Level: 2 + Aligned at: 0.5" + Tab after: 0.88"
Unit costs for capital investment in rural water supply are based on experience gained from the current                    + Indent at: 0.88", Tab stops: 0.63", List tab
                                                                                                                           + Not at 0.88" + 1"
implementation of RWSSP-supported sub-projects, and are derived from average depths, distances, materials
used and labour costs in each case.                                                                                        Formatted: Indent: Hanging: 0.63", Bulleted
                                                                                                                           + Level: 2 + Aligned at: 0.5" + Tab after:
                                                                                                                           0.88" + Indent at: 0.88"
Unit costs for capital investment in the rehabilitation of existing small towns water systems currently are estimated
at 66% of the above unit costs for new systems.

Table 4: ….:         Unit Costs for Capital Investment in New Water Systems
                                                               AVERAGE                             UNIT COST /
                                                                               POPULATION
                       TECHNOLOGY                                COST /                            CAP / YEAR
                                                                                 SERVED
                                                                SYSTEM                               (USD)


                                                            12
                                                             (USD)
                                        RURAL WATER SUPPLY
Shallow Well and Hand Pump                                   2,100              250             8.40
Borehole & Hand Pump (25m – 40m average depth)               6,150              250             24.60
Gravity Fed and Piped (Small)16                              76,300            1,500            50.90
Gravity Fed and Piped (Large)   3                            84,800            2,500            33.90
Electric or Diesel Pumped and Piped (Small)16                64,000            1,500            42.70
Electric or Diesel Pumped and Piped   (Large)16              71,300            2,500            28.50
Protected Spring                                              900               250             3.60
Windmill                                                     8,000              250             32.00
Rainwater Catchment                                          4,335              500             8.67
Charco Dam                                                   15,600            1,500            10.40




3
  Capital costs for gravity flow and pumped schemes are based on data available for small systems only. Figures for
large systems shown in Table 4.6 assume a 33% economy of scale on a per-capita basis.



                                                        13
Table 5:…..:     Unit Costs for O&M of Water Systems
                                                          O&M COST /                         UNIT COST /
                                                                           POPULATION
                    TECHNOLOGY                             SYSTEM /                          CAP / YEAR
                                                                             SERVED
                                                          YEAR (USD)                           (USD)
 Shallow Well and Hand Pump                                   28                 250            0.11
 Borehole & Hand Pump (25m – 40m average depth)                 28               250              0.11
 Gravity Fed and Piped    (Small)16                             92              1,500             0.06
 Gravity Fed and Piped (Large)16                               153              2,500             0.06
 Electric or Diesel Pumped and Piped   (Small)16              1,470             1,500             0.98
 Electric or Diesel Pumped and Piped (Large)16                2,450             2,500             0.98
 Protected Spring                                               5                250              0.02
 Windmill                                                       30               250              0.12
 Rainwater Catchment                                            45               500              0.09
 Charco Dam                                                    150              1,500             0.10

3.3      Urban Water Supply and Sewerage

3.3.1    National Level

(i)     Guidelines for Planning of Major Capital Works                                                                 Formatted: Indent: Left: 0", First line: 0",
                                                                                                                        Numbered + Level: 1 + Numbering Style: i, ii,
                                                                                                                        iii, … + Start at: 1 + Alignment: Left + Aligned
The MoW will be strengthened to support and monitor UWSAs/WSSAs. This will include provision of equipment, training     at: 0.25" + Tab after: 0.75" + Indent at:
of staff, planning and supervision of major capital works.                                                              0.75", Tab stops: Not at 0.75"

The UWSAs/WSSAs will prepare plans for major capital works and submit the approved plan to the MoW for technical
scrutiny and finally to MoF for funding. The MoW shall provide guidelines for preparation of annual plans, indicating
areas of priority.
The UWSAs/WSSAs UWSA plans should indicate clearly to what extent it has incorporated the national objectives
and priorities, as prescribed in the NAWAPO 2002 and the NWSDS, and the MKUKUTA priorities and principles.


(iii)   Consolidation of UWSAs/WSSAs       UWSAs Development Plans                                                     Formatted: Indent: Left: 0", First line: 0",
                                                                                                                        Numbered + Level: 1 + Numbering Style: i, ii,
                                                                                                                        iii, … + Start at: 1 + Alignment: Left + Aligned
UWSAs/WSSAs UWSAs are responsible for planning and managing the overall urban water and sewerage                        at: 0.25" + Tab after: 0.75" + Indent at:
development. The UWSA plan should incorporate the national MKUKUTA objectives, priorities and targets, as prescribed    0.75", Tab stops: Not at 0.75"
in the NWSDS and the WSDP. Once approved by their Boards, the plans will be forwarded to MoW for consolidation and      Formatted: Font: 11 pt
onward submission to MoF and Planning Commission as input for budget guidelines.

3.3.2    UWSAs/WSSAs          UWSA Level                                                                                Formatted: Font: 11 pt


(i)     Preparation of Plans on Major Capital Works                                                                    Formatted: Indent: Left: 0", First line: 0",
                                                                                                                        Numbered + Level: 1 + Numbering Style: i, ii,
                                                                                                                        iii, … + Start at: 1 + Alignment: Left + Aligned
The MoW will be strengthened to support and monitor UWSAs/WSSAs UWSAs. This will include provision of                   at: 0.25" + Tab after: 0.75" + Indent at:
equipment, training of staff, planning for rehabilitation, expansion or construction of major capital works.            0.75", Tab stops: Not at 0.75"
                                                                                                                        Formatted: Font color: Auto

The UWSAs will operate within the new decentralised system, which involves Public - Private Partnerships. Grants from
Central Government for UWSAs/WSSAs UWSA’s major capital works will be allocated to UWSAs based on their plans
for major capital works. The process of approving the plans is as follows:                                              Formatted: Indent: Left: 0", First line: 0",
                                                                                                                        Numbered + Level: 1 + Numbering Style: i, ii,
(i)     The UWSA UWSA/WSSA Board thoroughly reviews, vets and appraises the UWSA project proposals and                 iii, … + Start at: 1 + Alignment: Left + Aligned
                                                                                                                        at: 0.25" + Tab after: 0.75" + Indent at:
                                                                                                                        0.75", Tab stops: Not at 0.75"



                                                         14
        incorporates them into the annual UWSA/WSSA Investment Plan.
                                                                                                                       Formatted: Indent: Left: 0", First line: 0",
(ii)   The approved plan is submitted to the MoW for technical scrutiny and finally to MoF for funding.               Numbered + Level: 1 + Numbering Style: i, ii,
                                                                                                                       iii, … + Start at: 1 + Alignment: Left + Aligned
The UWSA plans should indicate clearly to what extent it has incorporated the national objectives and priorities, as   at: 0.25" + Tab after: 0.75" + Indent at:
prescribed in the NAWAPO 2002 and the NWSDS, and the MKUKUTA priorities and principles.                                0.75", Tab stops: Not at 0.75"


In all respects, UWSAs applying for conditional grants under the programme should comply with the prevailing PMO-
RALG guidelines for planning and budgeting.


3.3.3   Unit Costs for UWSA/WSSASS Component

1.1     Costing Urban Water Supply Infrastructure

The cost for the construction of urban water supply and sewerage infrastructure rests on four parameters for every
urban area:
             The size of the current population and projected population                                              Formatted: Indent: Left: 0.25", Hanging:
             Current and target coverage                                                                              0.5", Bulleted + Level: 1 + Aligned at: 1.48" +
                                                                                                                       Tab after: 1.73" + Indent at: 1.73", Tab
             Technology to be used.                                                                                   stops: Not at 1.73"
             Unit costs of every technology                                                                           Formatted: Bullets and Numbering

The per capita unit cost is calculated by dividing the total cost of the water supply scheme by the number of
beneficiaries. It is based on average values, which take into account possibly higher costs for targeting
disadvantaged regions or social groups.


The operations and maintenance cost are computed by multiplying the relevant per capita unit cost with the
number of people that have access to safe water in a given year. Increments as well as the number of people
already covered are considered.


Table 6:……:       Unit Costs for Capital Investment in New Water Systems
                                                   AVERAGE
                                                                                                UNIT COST /
                                                     COST /                  POPULATION
                   TECHNOLOGY                                                                   CAP / YEAR
                                                    SYSTEM                     SERVED
                                                                                                  (USD)
                                                     (USD)
                                      URBAN WATER SUPPLY
Borehole & Electric or Diesel Pumped scheme (
                                                   1,200,000                     50,000             24.0
>50m –depth)
Gravity Fed and Piped (Large) 4                     622,880                      50,000             12.50
Electric or Diesel Pumped and Piped    (Small) 16   64,000                        1,500             42.70
Electric or Diesel Pumped and Piped SURFACE
                                                  1,560,000                      50,000             31.20
SOURCE (Large) 16
                                       URBAN SEWERAGE                                                                  Formatted: Font color: Auto

Sewerage System                                                359,280            3,000            119.76              Formatted: Font color: Auto

Waste Water Treatment Plant                                    302,080            3,000             100.7              Formatted: Font color: Auto




                                                          15
                                   SMALL TOWN WATER SUPPLY
Shallow Well and Hand Pump                                2,028          250             8.11
Borehole & Hand Pump (25m – 40m average depth)            4,245          250            16.98
Gravity Fed and Piped (Small)16                           75,810         1,500          50.54
Gravity Fed and Piped (Large)16                           84,150         2,500          33.66
Electric or Diesel Pumped and Piped   (Small)16           45,390         1,500          30.26
Electric or Diesel Pumped and Piped (Large)16             50,500         2,500          20.20
Protected Spring                                           870           250             3.47
Windmill                                                  11,070         250            44.28
Rainwater Catchment                                       4,335          500             8.67
Charco Dam                                                15,600         1,500          10.40
                                                                                                      Formatted: Font color: Auto

Table 7: …….: Unit Costs for O&M of Water Systems
                                                 O&M COST /                          UNIT COST /
                                                                      POPULATION
                   TECHNOLOGY                      SYSTEM /                          CAP / YEAR
                                                                        SERVED
                                                  YEAR (USD)                           (USD)
                                      URBAN WATER SUPPLY
Borehole & Electric or Diesel Pumped scheme (
                                                      28                 250             0.11
>50m –depth)
Gravity Fed and Piped (Large)                         28                 250             0.11
Electric or Diesel Pumped and Piped (Small)          92                  1,500           0.06
Electric or Diesel Pumped and Piped SURFACE
                                                     153                 2,500           0.06
SOURCE (Large) 16
                                   SMALL TOWN WATER SUPPLY
Shallow Well and Hand Pump                                  20           250             0.08
Borehole & Hand Pump (25m – 40m average depth)              43           250             0.17
Gravity Fed and Piped (Small)                              765           1,500           0.51
Gravity Fed and Piped (Large)                             1,275          2,500           0.51
Electric or Diesel Pumped and Piped (Small)                870           1,500           0.58
Electric or Diesel Pumped and Piped (Large)               1,450          2,500           0.58
Protected Spring                                            8            250             0.03
Windmill                                                   110           250             0.44
Rainwater Catchment                                         45           500             0.09

Table 8:……..: Per Capita Investment Requirements for Urban Centres

  URBAN CENTRE          POPULATION (2002          FUNDS REQUESTED (2006-         AMOUNT/CAPITA (TZS
                           CENSUS)                   2010) TZS millions               millions)

Lindi                            41,500                   16,830.00                    0.40554
Bukoba                           81,221                   13,301.00                    0.16376
Musoma                          108,242                   17,580.00                    0.16241
Tabora                          188,808                   28,208.00                    0.14940



                                                     16
    URBAN CENTRE            POPULATION (2002        FUNDS REQUESTED (2006-             AMOUNT/CAPITA (TZS
                               CENSUS)                 2010) TZS millions                   millions)

Mwanza                           476,646                      59,998.00                         0.12588
Iringa                           106,668                       1,392.00                         0.01305
Babati                            64,393                       7,668.00                         0.11908
Songea                            80,000                       8,965.00                         0.11206
Singida                          115,354                      10,968.00                         0.09508
Moshi                            143,799                      12,202.00                         0.08485
Dodoma                           324,347                      27,430.00                         0.08457
Kigoma                           144,852                      11,813.00                         0.08155
Arusha                           281,600                      17,358.00                         0.06164
Sumbawanga                       147,483                       8,765.00                         0.05943
Mtwara                            91,792                       5,135.00                         0.05594
Morogoro                         228,863                      11,542.00                         0.05043
Shinyanga                        135,166                       6,656.00                         0.04924
Mbeya                            265,586                      11,218.00                         0.04224
Tanga                            250,000                       8,067.00                         0.03227
AVERAGE UWSA                    3,276,320                      285096                           0.08702

DAWASA                          4,000,000                      205,000                          0.05125


DAWASA per capita investment = 60% UWSAs’ average per capita investment cost
                                                                                                                         Formatted: Font: 11.5 pt, Italian (Italy)
                                                                                                                         Formatted: Body Text, Left
                                                                                                                         Formatted: Font: Bold



3.4        Strengthening of Executive Agencies

3.4.1      National Level                                                                                                Formatted: Font color: Auto
                                                                                                                         Formatted: Font: Bold
Since 1998, the MoW’s units that were identified for Executive Agencies are the Drilling and Dam Construction Agency
(DDCA)Unit , Water Resources Institute (WRI) and the Maji Central Stores (MCS). Ever since, the Drilling and Dam         Formatted: Font: Bold, Font color: Auto
Construction Unit has been converted into Drilling and Dam Construction Agency (DDCA) is operating as an Executive       Formatted: Indent: Left: 0", First line: 0",
Agency while WRI and MCS are to be established. The ultimate aim of establishment of executive agencies is to change     Numbered + Level: 1 + Numbering Style: i, ii,
                                                                                                                         iii, … + Start at: 1 + Alignment: Left + Aligned
them into being autonomous and financially independent, entities and hence the need for strengthening them.              at: 0.25" + Tab after: 0.75" + Indent at:
                                                                                                                         0.75", Tab stops: Not at 0.75"
(iii)(i)   Guidelines towards Financial Autonomy                                                                         Formatted: Bullets and Numbering
                                                                                                                         Formatted: Font: Bold
The Ministry of Water will conduct a benchmarking study for all executive agencies and prepare guidelines that require
all EAs to prepare Business Plans towards full financial autonomy for each specific executive Agency. The guidelines     Formatted: Indent: Left: 0", First line: 0",
                                                                                                                         Numbered + Level: 1 + Numbering Style: i, ii,
shall also show timeframe within which the agencies will, step by step, graduate from government subsidy into full       iii, … + Start at: 1 + Alignment: Left + Aligned
financial autonomy.                                                                                                      at: 0.25" + Tab after: 0.75" + Indent at:
                                                                                                                         0.75", Tab stops: Not at 0.75"
(iv)(ii)   Approval of Business Plans towards Financial Autonomy                                                         Formatted: Bullets and Numbering
                                                                                                                         Formatted: Font: Bold
Executive Agencies are responsible for planning and managing the overall capacity building plans which should            Formatted: Font: Bold
incorporate the national MKUKUTA objectives, priorities and targets, as prescribed in the NWSDS and the WSDP. Once
                                                                                                                         Formatted: Font: Bold, Font color: Auto



                                                         17
approved by the EA’s Board, the plans will be forwarded to MoW for consolidation and onward submission to MoF and
Planning CommissionMPEE as input for budget guidelines.

3.4.2    Agency Level

Drilling and Dam Construction Agency

The DDCA has a variety of drilling rigs of which the majority of which are more than 40 years old. The same applies to
earth moving equipment. Although DDCA generally has the most experienced drilling crew in the country, its smooth
operations are hindered by the old age of the majority of the equipment. Efficiency and effectiveness will be improved
through provision of new drilling rigs and associated equipment, earth moving equipment, transport and training.

Water Resources Institute

The Institute was started in 1974 with the aim of training technicians who would work hand in hand with engineers,
geologists, chemists and other professionals in the water sector. It is the only institute of its kind in East Africa, and
similar to one in Zimbabwe. It trains technicians in the fields of water supply engineering, hydrogeology and well drilling
technology, hydrology and water laboratory technology.

The Institute training classes as well as student dormitories are at absolute state and buildings at present need
rehabilitation. It also needs to be expanded to cater for more advanced training and staff recruitment. Modern equipment
is required to keep pace with current advances in technology and training required in the market.

Maji Central Stores

Maji Central Stores have been in operation since the 1960s, with the aim of facilitating fast procurement of water
equipment and supplies for government and non-government institutions. Supplies available at the Stores include water
pipes and fittings, chemicals, water meters and water pumps and equipment.

In order for the Central Stores to provide better quality service and achieve independency, the existing buildings need to
be rehabilitated, modern office equipment provided, increased vehicle fleet for quick equipment and supplies delivery
and some of the staff to undergo more focused and business oriented training.                                                 Formatted: Font color: Auto


(i)      Preparation of Plans towards Full Financial Autonomy                                                                 Formatted: Font: Bold
                                                                                                                              Formatted: Font: Bold
The MoW will strengthen EAs through provision of equipment, training of staff and planning of rehabilitation of equipment     Formatted: Font: Bold, Font color: Auto
and other major capital investment. The ultimate aim is to change them into being autonomous and financially
                                                                                                                              Formatted: Font: Bold
independent entities. Efficiency and effectiveness will be improved through provision of new facilities and training.
                                                                                                                              Formatted: Indent: Left: 0", First line: 0",
                                                                                                                              Numbered + Level: 1 + Numbering Style: i, ii,
The EAs will operate within the new decentralised system, which involves Public - Private Partnerships. The grants from       iii, … + Start at: 1 + Alignment: Left + Aligned
                                                                                                                              at: 0.25" + Tab after: 0.75" + Indent at:
Central Government for EAs major capital investment will be allocated based on their plans for major institutional
                                                                                                                              0.75", Tab stops: Not at 0.75"
capacity building activities. The process of approving the plans is as follows:
                                                                                                                              Formatted: Bulleted + Level: 1 + Aligned at:
        The EA Board thoroughly reviews, vets and appraises the EA’s plans and incorporates them into the                0.48" + Tab after: 0.73" + Indent at: 0.73"
         a nnual EA’s Investment Plan.                                                                                       Formatted: Bullets and Numbering
                                                                                                                              Formatted: Bullets and Numbering
         The approved plan is submitted to the MoW for technical scrutiny and finally to MoF for funding.
                                                                                                                              Formatted: Bulleted + Level: 1 + Aligned at:
The EA plans should indicate clearly to what extent it has incorporated the national objectives and priorities, as            0.48" + Tab after: 0.73" + Indent at: 0.73"
prescribed in the NAWAPO 2002 and the NWSDS, and the MKUKUTA priorities and principlesstategies.                              Formatted: Bullets and Numbering




                                                            18
3.5      Guidelines for Hiring of Service Providers

As stipulated in the NAWAPO 2002, most of the works, services and goods will be procured from private sector service
providers (SPs).

SPs are private sector organisations, companies, NGOs, individual consultants, suppliers, private operators and artisans
with the relevant skills and experience to provide works, goods, and services required by projects. Examples of SPs
include Facilitation Service Providers (FSP), Technical Service Providers (TSP), and Contractors/Suppliers.

        Facilitation Service Providers (FSPs SPs) provide “software” services to communities i.e. community                Formatted: Font: Not Italic
                                                                                                                            Formatted: Font: Bold, Not Italic
         mobilisation and training and health promotion.
                                                                                                                            Formatted: Font: Bold, Not Italic
        Technical Service Providers (TSPs ) provide a package of technical services to communities.
                                                                                                                            Formatted: Font: Not Italic
        Contractors/suppliers are companies, which drill wells and construct water and sanitation facilities,
                                                                                                                            Formatted: Indent: Left: 0", First line: 0",
         including training of water point caretakers and pump operators.                                                   Bulleted + Level: 1 + Aligned at: 0.25" + Tab
                                                                                                                            after: 0.5" + Indent at: 0.5"
Interested SPs are expected to compete for contracts to deliver goods and services to communities and Councils.             Formatted: Font: Not Italic
Contracting of SPs by LGA for technical and software components of projects will be carried out in accordance with the      Formatted: Font: Bold
Public Procurement Act 2004 and the Public Procurement (goods, works, non-consultant services and disposal of Public
                                                                                                                            Formatted: Indent: Left: 0", First line: 0",
Assets by tender) Regulations, 2005.                                                                                        Bulleted + Level: 1 + Aligned at: 0.25" + Tab
                                                                                                                            after: 0.5" + Indent at: 0.5"
3.6      Hygiene and Sanitation                                                                                             Formatted: Font: Not Italic

The WSDP has two hygiene and sanitation sub-components - household sanitation, and school sanitation. This section
describes the approach that will be employed in the implementation of each of these sub-components.

Household Sanitation
A basic objective of the WSDP is to encourage more households to have and use sanitation facilities that are of an
acceptable standard. The approach for achieving this objective is based on the following principles:
(i)     Improvements in sanitation depend on the household making a conscious decision to invest in
        sanitation based on a full understanding of its choices and knowledge of its responsibilities.
(ii)    Sanitation will be demand driven, where households will be offered a variety of technologies from
        which they can choose appropriate options according to their local conditions, hygiene habits and affordability.
(iii)   Technologies must be affordable and sustainable over the long term. The capital costs of installation
        or improvement of latrines are to be borne by the household.
(iv)    Promotion efforts must be local (community based) and long term. Sanitation units must be made of
        locally available materials, the capacity to fabricate and install must reside within the community if not in the
        household.
(v)     The LGA staff must take the lead in promoting and providing support to the sanitation project. A
        commitment has to be made to undertake a well-directed and resourced effort for it to succeed.
(vi)    If at all possible latrines should not be subsidised, as they are privately owned. Latrine promotion has
        to rely on effective campaigning, which includes demonstration and continuous education and advertising.



Household Sanitation Project Cycle

To achieve adequate coverage, each LGA will have to mount a strong promotional campaign over a period of at least
four years. The Household Sanitation project cycle is outlined in the table below:

Table 9: Household Sanitation Sub-project Cycle                                                                             Formatted: Font: Bold




                                                           19
                                   Table 4: Household Sanitation Sub-project Cycle
       STAGE                                                           ACTIVITY
PILOT STAGE                Ministry sanitation team is identified and oriented;
                           Individual technologies are tested in the field under close scrutiny to rigorously evaluate,
                          refine and reduce costs; and
                           Methods of promotion and marketing sanitation are detailed
PLANNING                   Technologies are confirmed, implementation plan refined and most suitable
STAGE                       projects are selected as starting points;
                           Public consultations are held to assess preferences and raise awareness; a
                           Initial project stakeholders meetings are held, consensus achieved and plans formulated
ORIENTATION                DWST staff are selected for the sanitation initiative and trained in their roles and
AND TRAINING              responsibilities;
STAGE                          Community based Sanitation Clubs are created and members trained in their roles;
                               Male and female masons are identified and trained in the technologies,
                               their construction and promotional methods.
PROMOTION                  Messages are created, tested and then used in sub-project wide promotional campaigns;
STAGE                     and
                           School sanitation and water supplies are improved as is teaching in hygiene and latrine
                          use and maintenance (see below).
DEMONSTRATION                  Demonstration and information centres are set up in each sub-project;
STAGE                          Technologies are demonstrated at public gatherings and “sanitation days”;
                               Sanitation is promoted at the demonstration sites.
APPLICATIONS               Promotion by Sanitation Clubs, masons and LGA health staff in their communities;
AND                        Receipt of applications; the following are steps for individual latrines:
CONSTRUCTION               Site inspection and approval;
STAGE                      Preparation of site, pit digging, procurement of materials, slab casting, and latrine
                          installation;
                           Household training in maintenance and hygiene; and
                           Inspection, certification and payment of masons
MONITORING &               Monitoring progress of overall programme and individual latrine installations at the
SUPPORT STAGE             household level;
                           Monitoring of performance of Sanitation Club, masons, health assistants and teachers;
                          and
                           Trouble-shooting and other support to households and stakeholders.

School Sanitation
The purpose of the School Sanitation initiative is to ensure that sanitation facilities are available and functional at every
primary school in the project area, and that hygiene behaviour is improved and facilities are properly maintained.

Table 10: Sub-project Cycle for Implementing School Sanitation                                                                  Formatted: Font: Bold
                                                                                                                                Formatted: Font: Bold
                           Table 5: Sub-project Cycle for Implementing School Sanitation
   Steps                                                          Activities
Initial          1.   An initial site visit and assessment will be undertaken by DWST staff responsible for school
Assessment       sanitation (herein termed DWST-SS).
                 2. Major anomalies or difficulties will be referred to the MoW, otherwise the DWST-SS will be
                 responsible for concluding whether the school applying for support should be considered.


                                                             20
                          Table 5: Sub-project Cycle for Implementing School Sanitation
      Steps                                                      Activities
Design and      1.    Needs will be assessed by the DWST-SS and overall approach agreed between the school &
Sitting         DWST-SS.
                2. Standard designs for both water and sanitation will be used and siting location of the proposed
                facilities can take place during the initial assessment.
Proposal,       1.    The school will be responsible for filling a basic application (proposal) including details of the
Approval        latrines (and water supply if required), project implementation schedule, costing and arrangements to be
and             made for hygiene teaching/improvements, keeping the latrines clean, maintained and repaired.
Agreement       2. The DWST-SS will vet the applications from the schools and gain seek approval of the Council.
                3. A standardised agreement will be signed between the successful school and District, which details
                all roles, responsibilities procedures and budgets.
Orientation     1.The successful school will then orient its teachers in the school sanitation
and             2.1.      improvements, their roles and responsibilities.
Students’       3.2. The school manual will be distributed and responsibilities allocated to selected teachers.
Sanitation      4.3. Student sanitation clubs will be formed on classroom or school basis and will be oriented on their
Club            roles and responsibilities. These will be responsible for promoting hygiene and sanitation within the          Formatted: Font color: Auto

Formation       school. The sanitation clubs will be made up of representatives of pupils and teachers, half of which
                must will be females. These clubs will advocate the proper management of the sanitation facilities, be
                involved in hygiene promotion activities, and act as a mechanism for ensuring gender representation
                and promoting sustainability.
Tendering,      1.   The LGA will tender & contract for installation of both school sanitation & WS improvements.
Contracting     2.   The LGA and DWST will manage the funding and financial administration ensuring that funds are
and Funding     available when required and that proper financial and quality control mechanisms are in place and
                administered.
Construction    1.   Latrines installed.                                                                                       Formatted: Font color: Auto

                2.   Provision of a water supply facility where none is available. Rainwater tanks, hand pumps on
                shallow wells or piped supply from the nearby project will be options.
Inspection &    The DWST-SS and school will have joint responsibilities for supervising the construction and for the
Certification   final inspection and certification.
Operation,      The school will ensure that the latrines and washing areas are kept clean and operational. It will also be
Maintenance     responsible for having the pits de- sludgedslugged latrines when needed, and making repairs to the
and Repair      buildings as required.
Continuing      1.    The school will be responsible for addressing faults in its own teaching in hygiene, which normally
Hygiene         lacks priority and falters as a less than desirable subject, particularly where personal and latrine hygiene
Education       are concerned.
                2. The RWSSP school manual will be used which combined both the existing curriculum with the new
                facilities and their maintenance programme.
                3. The DWST-SS will make regular inspections of the facilities and support the establishment of
                standardised procedures/guides for latrine and washing facility maintenance and repair by the school.


3.7       Financial Resource Utilization Agreement

The Central Government through Ministry of Water has prepared Financial Resource Utilization Agreements which will
be signed between the Ministry on the one hand, and the programme implementing agencies (LGAs, BWOs,
UWSAs/WSSAs, and EAs) on the other. The Agreements shall be used for the purpose of ensuring proper utilization of
public financial resources made available to the agencies by way of grants from the Government, agencies own sources
of revenue, DPsdonors, and from any other source.




                                                            21
The financial resources availed to the agencies are to be applied towards for financing development investiments or for
and recurrent expenditure expenditures. The resources will be used for purposes of enabling the implementing agencies
to deliver quality services and implement development projects as provided for in the agencies’ approved annual plans
and budgets.

Through the Agreements, on the one hand, the Central Government is determined to ensure that all financial resources
availed to the agencies shall be applied on a manner that will achieve the purposes intended, to attain economy and
value for money. The implementing agencies, on the other hand, are aware of and committed to their respective roles,
functions and responsibilities and wish to access and utilize the financial resources provided in their annual budget
towards financing the delivery of quality services and implement development projects so as to achieve intended
purposes, economy and value for money. A sample of the Financial Resource Utilization Agreement for LGAs is
attached as Annex 2. Agreements for UWSAs, BWOs and EAs are similar to that of LGAs.




                                                          22
4. GUIDELINES ON TECHNOLOGY OPTIONS

4.1          Technology Options for Water Resources Management


Selection of appropriate technology for IWRM is a pre-requisite for sustainable management and development of the
water resources. Inappropriate technology options can lead to high costs of maintenance, and unreliable data and
information leading to costly or under-design of investment infrastructure and poor decision-making.

Criteria for selection of technologies for WSDP will consider the following factors:
                   Easy to understand by staff;                                                                           Formatted: Indent: Left: 0.5", First line: 0",
                                                                                                                           Bulleted + Level: 1 + Aligned at: 0" + Tab
                   Easy to operate and maintain;
                                                                                                                           after: 0.32" + Indent at: 0.32", Tab stops:
                   Readily/cheaply available spare parts;                                                                 Not at 0.32"
                   Compatibility with local conditions and existing technologies;                                         Formatted: Bullets and Numbering

Technical specifications for all station designs, technical equipment for groundwater investigations, water quality
monitoring, weather and hydrometric stations must be approved by the Ministry.

Emphasis would be put on quality control and security problems for the expensive instruments and equipment. Quality
control procedures will be put in place to ensure estimated flows are within acceptable error levels.

4.1.1        Water resources monitoring

(1)          Surface water resources

Establishment of water resources monitoring network

The purpose of water resources monitoring (surface water and groundwater) is to determine the source extent and
dependability of a usable water supply. In general, planning of water resources development requires data on
precipitation, river stage, river discharge, sediment transport, recharge-yield-storage of groundwater, as well as
evapotranspiration and temperatures for the planning, design, implementation, operation and management of various
social-economic projects and for effective WR monitoring the following will be followed:

      (i)       All designs and constructions of water monitoring networks should conform to the design and construction   Formatted: Numbered + Level: 1 +
                manuals of the Ministry and /or acceptable International design and construction practices such as WMO     Numbering Style: i, ii, iii, … + Start at: 1 +
                                                                                                                           Alignment: Left + Aligned at: 0.25" + Tab
                and ISO.                                                                                                   after: 0.75" + Indent at: 0.75"
      (ii)      Operation and maintenance of monitoring station networks must follow approved guidelines and
                                                                                                                           Formatted: Bullets and Numbering
                manufacturers equipment service manuals


Annex A, chapter 3 of the WR Operational Guidelines provides detailed water resources monitoring procedure to be
followed.

Operation and maintenance of monitoring stations




                                                             23
Every BWO shall ensure that, the infrastructures for water management are properly maintained and a
comprehensive preventive maintenance system is in place.


Accuracy of water meters (current meters, water level sensors, water quality sensors, weather sensors, geological,
hydrogeological geophysical sensors) varies with time. In this regard, every BWO should develop and implement
preventive maintenance plans to ensure that meters are calibrated regularly.


All computations of discharge measurements must be done in the field. It is important that the team takes with them the
station-rating curves.

(2)          Groundwater Resources

Groundwater investigations and monitoring

Groundwater prospecting, development and management technologies are divided into three major fields of operations:

        i.          groundwater investigation;                                                                                  Formatted: Indent: Left: 0.5", Hanging:
                                                                                                                                0.5", Bulleted + Level: 3 + Aligned at: 1.38" +
       ii.          drilling;                                                                                                   Tab after: 1.5" + Indent at: 1.5", Tab stops:
                                                                                                                                1", List tab + Not at 1.5"
       iii.         Groundwater monitoring.
                                                                                                                                Formatted: Bullets and Numbering


The purpose for groundwater investigation is to determine sites for ground water development for water supply ,
groundwater monitoring or any other specified purpose. The recommendations contained herein represent minimal
criteria necessary to obtain quality data and assure reasonable and independently verifiable interpretations. As new
techniques gain acceptance and existing techniques are refined, these guidelines will be updated accordingly to meet
those changes.

Surface geophysical surveys are useful for providing information on subsurface geologic in areas where limited
information exists. When performed properly in the site characterization process, surface geophysics can provide
valuable information for planning monitoring well and piezometer placement. In addition, surface geophysics can be
used to correlate the stratigraphy and hydrostratigraphy between wells, locate buried structures, and, in some instances,
can directly detect underground contamination. These methods include: (i) Seismic survey method, (ii)
Electromagnetics (EM), (iii) Very Low frequency (VLF) – technology to identify geological structures eg faults, fractures,
and dykes; and (iv) hand /mechanical auguring- commonly used in locating sites for shallow wells especially in rural
areas. Applicability, advantages and disadvantages of these methods are clearly spelt out in standard groundwater
manuals. Investigation for shallow wells is preferably done during the dry season and at least two aquifers are identified
for good results.

Every surface geophysical technique has specific advantages and limitations. It is necessary to evaluate these site-
specific factors to assess the viability of surface geophysical techniques and, if possible, select the techniques which will
best suit field conditions. procedures for surveys requires highly trained technicians/ professionals to collect data and
carry out the interpretation. Various types of equipment are also available and usually vary in sensitivity and accuracy .
The modern types of equipment are capable of storing data that are computer retrievable for interpretation. The use of
the equipment requires well trained technician , Hydrogeologist /geophysicist to collect and interpret the data. The
equipment are portable and should receive regular maintenances and minor repairs.

Basin Water Officers should establish an elaborate groundwater monitoring network and regularly collect required data
to be included and updated in the basin databases and information system.
                                                                                                                                Formatted: Indent: Left: 0.5", Hanging:
Guidelines on Groundwater heads measurements:                                                                                   0.5", Numbered + Level: 1 + Numbering Style:
                                                                                                                                i, ii, iii, … + Start at: 1 + Alignment: Right +
      (i)           Water level measurements should be taken in various ways such as wetted tape method, mechanical             Aligned at: 1" + Tab after: 1.25" + Indent at:
                                                                                                                                1.25", Tab stops: Not at 1.25"
                    sounder, electrical water level indicator, floating level indicator or recorder etc.
                                                                                                                                Formatted: Bullets and Numbering



                                                             24
        (ii)       The hydrogeologist should decide on the Frequency of observation depending on the type and                Formatted: Indent: Left: 0.5", Hanging:
                   objectives of the study (For reconnaissance survey once or twice a month). If possible an automatic       0.5", Numbered + Level: 1 + Numbering Style:
                                                                                                                             i, ii, iii, … + Start at: 1 + Alignment: Right +
                   recorder should be installed on a representative wells.                                                   Aligned at: 1" + Tab after: 1.25" + Indent at:
                                                                                                                             1.25", Tab stops: Not at 1.25"
    (iii)          With regard to density of the observation network, a hydrogeologist will decide depending on              Formatted: Bullets and Numbering
                   topographical, geological and hydrological conditions of the area of interest.
                                                                                                                             Formatted: Indent: Left: 0.5", Hanging:
                                                                                                                             0.5", Numbered + Level: 1 + Numbering Style:
Guidelines on collection of groundwater samples                                                                              i, ii, iii, … + Start at: 1 + Alignment: Right +
                                                                                                                             Aligned at: 1" + Tab after: 1.25" + Indent at:
                                                                                                                             1.25", Tab stops: Not at 1.25"
The program to sample groundwater should be carefully planned. The program should follow sampling protocol
developed relevant to the country (i.e. type of container to be used for a specific analysis, method to which the sample     Formatted: Bullets and Numbering
container is cleaned, whether the sample is filtered, the type of preservative and the maximum time the sample can be
stored prior to analysis in the laboratory).

The following steps should be followed:
       (i)   Determine the purpose of the sampling program (such as to define basic water chemistry, to determine if it      Formatted: Bullets and Numbering
             meets drinking water standards or if there is contamination etc).
      (ii)   Decide how many samples will be collected.
     (iii)   Determine which chemical constituents will be analyzed and the quantification limit that the lab will employ.
             This should be based on the purpose of the sampling program.
     (iv)    Develop a quality assurance/quality control (QA/QC) program. The hydrogelogist should develop method
             for checking the accuracy and precision of the laboratory.


Use and interpretation of available data

Available data should be presented as follows;
    (a) Maps and aerial photographs                                                                                          Formatted: Bullets and Numbering


        (i)  Topographic maps: Preferable on large scale possible, the maps have to include drainage pattern (i.e.           Formatted: Indent: Left: 0.5", Numbered +
             system of ditches, rivers etc), contour lines of the land surfaces, vegetational cover, land use etc;           Level: 3 + Numbering Style: i, ii, iii, … + Start
                                                                                                                             at: 1 + Alignment: Right + Aligned at: 1.38" +
      (ii)   Geological map: The map should give representative vertical sections;                                           Tab after: 1.63" + Indent at: 1.63", Tab
     (iii)   Hydrogeological map: The maps should show all the hydrological features present;                                stops: Not at 1.63"
     (iv)    Soil map;                                                                                                       Formatted: Bullets and Numbering
      (v)    Aerial and satellite imagery.
    (b) Other data
    Other data such as water quality, data on different hydrological parameters (e.g. river discharge, meteorological
    data such as rainfall, evapotranspiration), documents on wells and springs, data on borings should be collected.
    Since surface water and groundwater are interrelated, it is essential that all available data on surface water is
    collected.

    (c) Published and unpublished report/studies on the geohydrology of the area                                             Formatted: Bullets and Numbering


    (d) Interview local people concerning their means of water supply and if possible visit the existing wells or any        Formatted: Bullets and Numbering
        means of water supply


4.1.2      Water well drilling and development


A number of technologies for water well drilling are applicable depending on site conditions or
characteristics: (i) direct circulation rotary drilling, (ii) air rotary drilling circulation, (iii) cable tool
(Percussion), (iv) reverse circulation, (v) core drilling, and (vi) hand drilling (using auger or manual).
Applicable manuals and text books describing these methods should always be consulted. Basin Water
Offices should be conversant with these techniques as drillers will outline drilling methods when applying


                                                           25
for drilling permits. Well development must follow standard approved procedures and manuals. It is
necessary to undertake well sterilization in order to prevent or retard the growth of corrosion or incrustation
fostering organisms. Sterilisation is most often used as a precautionary measure. Chlorination is usually used
for that purpose, but other approved methods may be used.
                                                                                                                                      Formatted: Font color: Auto


Measures are being put to safeguard long-term sustainability of groundwater resources. To effect this, it is obligatory
according to existing Water Act for a person or a drilling company to seek a permit from the respective Basin Water
Board/Office to sink a borehole or well on any land or expand an existing drilled or bored well. The applicant for a water
well drilling permit shall specify the following information:

    (i)              the exact location of the intended borehole site;                                                                Formatted: Outline numbered + Level: 1 +
    (ii)             the estimated duration of completion of the works;                                                               Numbering Style: i, ii, iii, … + Start at: 1 +
                                                                                                                                      Alignment: Left + Aligned at: 0.25" + Tab
    (iii)            the methods of borehole surface completion and the estimated depth of the well;                                  after: 0.5" + Indent at: 0.5", Tab stops: Not
    (iv)             reason for the borehole or expansion of the well.                                                                at 0.5"
                                                                                                                                      Formatted: Bullets and Numbering
In considering an application for a water well drilling permit, the Board Water Board/Office shall have regard to the
following matters:

    (i)              the qualifications of the applicant and the ability to ensure that the drilling works is carried out optimally   Formatted: Indent: Left: 0.25", Hanging:
                     and safely;                                                                                                      0.75", Outline numbered + Level: 1 +
                                                                                                                                      Numbering Style: i, ii, iii, … + Start at: 1 +
    (ii)             the suitability of the location cited for drilling;                                                              Alignment: Left + Aligned at: 0.25" + Tab
    (iii)            the manner and scale in which the applicant intends to drill;                                                    after: 0.5" + Indent at: 0.5", Tab stops: Not
    (iv)             the methods of any pump test to be undertaken;                                                                   at 0.5"
    (v)              the manner in which the applicant intends to rehabilitate disturbance on the surface which may be                Formatted: Bullets and Numbering
                     caused by the drilling;
    (vi)             the potential environmental impact;
    (vii)            the potential effect on other permit holders and users of groundwater in the area;
    (viii)           the reasons for the application.

It will be upon the jurisdiction of Board to impose any additional terms and conditions which may include:

    (i) the tests to be done to determine long term yield and aquifer characteristics and other related tests;                        Formatted: Bullets and Numbering
    (ii) water quality tests and reports which must be prepared;
    (iii) limiting the space between the wells;
    (iv) prescribing the records to be maintained by the driller and submitted to the Board.

Upon receipt of a permit, water well driller will notify and present the permit to respective Local Government Authority
(District Water Engineer). Wells should be properly drilled, designed and constructed according to established
standards.


4.1.3        Guidelines on Water Quality

Technology options for water quality monitoring are of two types:

        1.       Direct monitoring through automatic equipment or using field kits                                                    Formatted: Indent: Left: 0.38", Hanging:
        2.       Indirect monitoring through sampling and analysis in a laboratory                                                    0.38", Bulleted + Level: 4 + Aligned at: 1.75"
                                                                                                                                      + Tab after: 2" + Indent at: 2", Tab stops:
                                                                                                                                      0.75", List tab + Not at 2"
Pollution or degradation of water quality may interfere with vital and legitimate uses of water at any scale. However, not
                                                                                                                                      Formatted: Bullets and Numbering
all parameters are supposed to be determined in every water sample, but they can be selected in the basis of the
objective or purpose of the water use.




                                                                26
Table below: summarises how different uses may be affected by water quality degradation and hence the
significant/important parameters for consideration are marked.

Table 11: Limits of water uses due to water quality deterioration                                                                 Formatted: Font: Bold
,                                                                                                                                 Formatted: Font: Bold
  Issue                   Drinking     Aquatic       Recreation         Irrigation     Industrial       Power and
                           water       wildlife                                          uses            cooling
  Pathogens                  **           0              **                 *              **              na
  Suspended solids           **           **             **                 *              *                *
  Organic matter             **            *             **                 +              **               *
  Algae                       *            *             **                 +              **               *
  Nitrate                    **            *             Na                 +              **              na
  Salts                      **           **             Na                 **             **              na
  Trace elements             **           **              *                 *              *               na
  Organic                    **           **              *                 *              ?               na
  micropollutants
  Acidification               *           **              *                 ?               *                *
** = Marked impairment
* = Minor impairment
0 = No impairment
Na = not applicable
+ = may be beneficial
? = not fully realised

(1)      Receiving Water Standards:

Receiving water standards are set to form a sound basis for allocating allowable waste loads to be discharged into natural water by
town or industries also for allocating authorities to make decision on the use of the source or to make classification of the water
sources for various uses. Receiving water standards are provided as regulations to the Water Utilization (Control and Regulation)
Act, and must be complied with at all times.


(2)      Effluent water Quality Standard

Effluent standards are set to enable the authority to monitor and control effluent from the end of the pipe of any establishment. The
effluent standards are provided as regulations to the Water Utilization (Control and Regulation) Act, and shall be complied with at all
times.


4.1.4    Development of large water schemes

Development of large water schemes including construction of dams, large rainfall harvesting schemes, water intakes,
river diversion works, pumping stations, drilling and groundwater use, and inter-basin water transfers must meet
objectives of water resources management, and will be subject to a permit and an Environmental Impact Assessment
(EIA). Such projects must follow provisions of the ESMF and RPF documents.


4.1.5    Inter-basin water transfers                                                                                              Formatted: Bullets and Numbering


Inter-basin water transfers will only be undertaken after a thorough study and will have to meet special guidelines and
planning requirements, and will be considered when the recipient catchment uses available water optimally and
conservation practices are enforced. Inter-basin water transfer must be reviewed by National Water Boards and
approved by the Ministry. Such inter-basin water transfer projects must follow provisions of the ESMF and RPF
documents.

4.1.6    Water resources protection and conservation



                                                           27
All BWOs shall put in place mechanisms for water sources protection and conservation of the environment/catchments.


4.1.7   Safety consideration

Safety of employees, facilities and infrastructure is of paramount importance to the BWO. Every BWO shall prepare
safety Regulations and implement them.


4.1.8   Water Resources Information System

Spatial and temporal data on the socio-economic and physical catchment must be collected and compiled in such a way
that the information required for effective decision-making can be easily accessed. A Geographic Information System
(GIS) should provide the basis for analysis of spatially referenced data. Procedures for processing and capturing of
monitored data are developed as part of the information system. Various analytical tools may be incorporated in the
information system. Hydrological models that are configured to allow water balance calculations and water quality and
quantity impact assessments for all major natural components of the basin, as well as all major human impacts on the
hydrological cycle should be considered as a natural part of such an information system.


4.1.9   Towards IWRM

Guidelines on activities that carry the processes towards Integrated Water Resources Management

Activities that are required to carry the processes towards Integrated water resources management are organized in       Formatted: Justified
three key areas; (i) Water Resources Assessment, (ii) management and (iii) coordination and cooperation. Water
Resources Assessment is required to provide the knowledge base, raise awareness and assess threats trends and
emerging issues. Effective water management, which include integrated planning, and the integration of stakeholders in
the planning and decision making processes, depends on accurate and scientifically credible knowledge base of water
resources and water demands together with socio economic factors. General guidelines for activities that carry the
processes towards basin integrated water resources management, coordination and cooperation are given in Annex C.


4.2     Technology Options Related to Rural Water Supply and Sanitation

4.2.1   Water Supply Technology Options

One of the objectives of the RWSSP is “improved access of rural communities to water and sanitation services operated
and maintained by capable women and men, and improved health and hygiene practices”. Involving communities in the
choice of a water supply system that is both technologically appropriate to their physical and social environment, and
financially affordable both in the investment phase and during the operation and maintenance phase, is an essential
ingredient in implementing the principle of community ownership and management, and achieving RWSSP objectives.
Steps involved in achieving effective community participation in decision making about water supply technology options
and service levels are outlined in the following table.

Table 12: Technology Decision Making Steps                                                                               Formatted: Font: Bold
                                                                                                                         Formatted: Font: Bold
 Table 7: Technology Decision Making Steps                                                                               Formatted: Font: Bold
 Step Decision Making Step                                                            Key Player
                                                                                                                         Formatted Table
 1         Verification of baseline data and inspection of preferred water sources   FSP, TSP
                                                                                                                         Formatted: Bullets and Numbering
 2         Preliminary design and costing of technological options                   TSP
 3         Community decision-making meeting on technology options, and              Community                          Formatted: Bullets and Numbering
            service level                                                                                                Formatted: Bullets and Numbering
 4         Technical Feasibility studies                                             TSP                                Formatted: Bullets and Numbering
 5         Produced detailed design and costing                                      TSP                                Formatted: Bullets and Numbering
 6         Finalise Facilities and Management Plan                                   Community
                                                                                                                         Formatted: Bullets and Numbering



                                                         28
Discussions on technology options need to consider financial implications of each option, including cost related to O&M,
and the ‘risks’ connected with each technology choice. Potential users must be fully conversant with the characteristics,
costs, benefits and risks associated with each option. The table below gives an overview of some of the issues that need
to be considered by communities.


         Table 813: Factors Influencing Technology Options

 Feasibility Issues                                                                                                         Formatted Table
 Technical                                               Environmental
       Depth of groundwater                                  Seasonal variations                                          Formatted: Bullets and Numbering
       Water demand                                          Source protection                                            Formatted: Bullets and Numbering
       Technical skills required in operation and            Risk of negative impact
           maintenance                                        Water quality
 Institutional                                           Economical
       Community management capacity                         Household income levels                                      Formatted: Bullets and Numbering
       Existence of other institutions and projects          Capital cost and household contribution                      Formatted: Bullets and Numbering
           and their management capacity
 Social                                                  Management Capacity
       User preference                                  Sustainable management structures                                  Formatted: Bullets and Numbering
       Seasonal migration patterns
       User organisations and social cohesion

A number of techniques can be used to help a community understand these issues, and make appropriate decision,
including:
 Visits to neighbouring sub-project where there are similar options are in operation.                                      Formatted: Bullets and Numbering
 Pictures and photographs.
 Working out a public mathematics of a proposed scheme which communities can easily understand i.e. breakdown
     of figures e.g. estimated cost of each item/activity.

In the rural areas, technology options mainly used are shallow and deep wells, springs, rivers, lakes and rainwater
catchment systems. The advantages and limitations of each of these are discussed in the table below.

Table 14: Advantages and Limitations of Technology Options                                                                  Formatted: Font: Bold


                          Table 9: Advantages and Limitations of Technology Options                                         Formatted Table
Water
             Type                 Advantages                       Limitations
Supply
Wells        Upgraded             Low development cost             Provides only a basic service.
             well                 Easily      managed        and   Can be easily polluted
                                  replaceable                      Often not perennial
                                   water extraction technology.    Water right depends on quantity and quality
                                  Low maintenance cost
             Hand dug             Low development cost             Provides only a basic service.
             well                 Easy to maintain                 Can be easily polluted
                                  Can be equipped with a hand      Often not perennial
                                  pump.       Relatively     low   Water right depends on quantity and quality
                                  maintenance cost




                                                          29
Boreholes     Hand drilled         Similar to hand dug wells,       Limited to areas where soil conditions are soft       Formatted Table
              borehole             Llow                             Can be easily polluted
                                   development cost                 Often not perennial
                                   Can be equipped with hand        Water right depends on quantity, quality and
                                   pump                             distance from nearby borehole (greater than 300m)
                                   S suitable for low yield wells
                                   Relatively low maintenance
                                   cost
              Machine              Limited maintenance; hand        Cost can vary considerably depending on the
              drilled              pump can be maintained by         Environment
               borehole with       the community                    Suitable for 250+ people
               hand pump                                            Water right depends on quantity, quality and
                                                                    distance from nearby borehole (greater than 300m)
               Mechanised            Suitable for settlements of    More detailed planning involved
                borehole with        1,000 – 3,000 people living in Risk if the borehole is low yielding the WSS may
                piped system         close proximity.                need to be re-planned
                                     Diesel engines require limited O&M costs can be high because of diesel prices
                                     maintenance that can be Water right depends on quantity, quality and
                                     done by the community          distance from nearby borehole (greater than 300m)
Gravity fed    Open system – Low O&M costs                          Water rights may be an issue of concern as it
(spring     or where the yield from Minimal interruptions in Water depends on available demand and supply capacity
river)         the                   supply                         Source needs protection
                water source         Minimises travel time for High investment costs
               gives        constant
                                     water
               steady flow
               closed system         users – water can be piped
               where a               over long distances to many
               reservoir is          water points
              needed
Lakes         Open source          Suitable for large scale water   Water treatment often necessary
                                   supply                           Water right depends on quantity and quality
Rainwater     Roof catchment;      Technically feasible at the      Roof catchment’s option is supplementary rather
catchment     Dams                 household level, at schools      than a permanent source of water
                                   and clinics as well as at        Dam option needs treatment facilities for improving
                                   village level                    water quality for human consumption
                                                                    Water right depends on quantity and quality

4.2.2 Pumping Devices                                                                                                     Formatted: Bullets and Numbering
Groundwater sources – but in some cases also surface water sources – need to be pumped to the point where the water
can be collected. These pumping devices are an important link in the chain of water supply. The technology choices on
pumping devices are described below.

4.2.3 Hand Pumps                                                                                                          Formatted: Bullets and Numbering
Direct Action Hand Pump (NIRA AF85 or MALDA)
The Direct Action Hand Pumps are based on a buoyant pump rod and lever that is directly pumped by the user,
discharging water at the up - and down stroke. The pump head and the standing plate are made of galvanised steel and
the handle of stainless steel. The pump rod and rising main are HDPE pipes and the rest of the down-hole components
are made of plastics. This makes this pump completely corrosion resistant. Direct Action Pumps are limited to pumping
lifts of a maximum of 15 m. It is recommended not to go deeper than 12 m.
Lever-Action Hand Pump (Walimi)
The Walimi Pump is a low lift lever-action pump. The pump head, the pump stand, and the handle are made of
galvanised steel. The pump rod is stainless steel and rising main is PVC and the rest of the down hole components are
made of corrosion resistant materials. This makes this pump completely corrosion resistant. It is recommended not to
install the Walimi Pumps in cylinder settings of more than 25 m.

Lever-Action Hand Pump (Afridev)



                                                         30
The AFRIDEV Pump is a conventional lever-action hand pump. The configuration includes an open top cylinder (i.e. the
piston can be removed from the cylinder without dismantling the rising main). The foot valve is retractable with a fishing
tool. The riser pipes are made of u-PVC. The pump rods are of stainless or mild steel with hook and eye connectors,
allowing removal without tools. Rubber materials are used for the pumping elements, plunger/foot valve and for the
bearings. This pump is corrosion resistant in the stainless steel rod configuration. Because of the PVC rising main, the
pump should not be used in unlined boreholes. Recommended maximum pump setting is 45-50 m.

4.2.4 Motorised Pumps                                                                                                           Formatted: Bullets and Numbering
Submersible Pump Powered by Grid
If there is a reliable power supply from the grid to the community, and the community has a population of about 1,200,
the investment cost per capita is in the same range as the boreholes equipped with hand pumps. For larger
communities, the cost will sharply decrease. However, the borehole yield has to be sufficient to serve the larger user
group. Higher pumping heads hardly affect the O&M costs, as the additional energy cost is reasonable.
Long distances from grid to the pump site require high investment in the power line. Under such unfavourable conditions,
it may be better to choose a diesel generator or a solar pump system.

Diesel Engine Driving a Generator with Submersible Pump or a Mono Pump
The investment cost for a community with 1,200 inhabitants would be almost identical with the cost for the systems with
electricity supply from the grid, the extra cost for the diesel generator being offset by the cost for the power line.
However, the annual operating cost is about 25% higher for the system with the diesel engine, as diesel fuel is more
expensive than electricity.

Diesel engines require increased servicing and maintenance and may demand a full-time operator. Diesel driven pumps
have the advantage that they are independent of the grid. However, the logistics to ensure that enough fuel and
lubricants are always available need to be carefully planned.

This system is versatile, allows optimising pump and engine capacity. It works in all type of boreholes. Generator sets
used are of various origins, Lombardini, Lister, VM, being common brands. The performance of the Diesel-Submersible
systems is good provided the operation and maintenance of the diesel engine is done properly. Submersible pumps
need very little day-to-day maintenance.


Diesel Engine with Mono Pump
This configuration is the most common system of mechanised pumps. The Mono pumps are normally fitted with a Lister
diesel engine. Performance of these pumps is good. Mono pumps are very reliable and their maintenance requirements
are low. However they need to be fitted in straight boreholes. The maintenance of the diesel engines is well within the
capability of operators.

Diesel Engine with Centrifugal Pump
Centrifugal pumps driven by a diesel engine are often used on open wells. Most irrigation pumps are of this variety. This
type of pump is not suitable for use in boreholes. The maximum suction lift of these pumps is restricted to about 7
metres. They can however be used for pumping water up from an open well, lake or river, to high-level reservoirs.

4.2.5 Photovoltaic Solar Pump System                                                                                            Formatted: Bullets and Numbering
If the solar radiation is sufficient, solar pumps have a high potential for communities between about 1,000 and 2,000
inhabitants, especially in the lower pumping head range. Small solar pump systems for communities with only 600
inhabitants may be only cost-effective when pumping at a low head directly into small ground level reservoirs. At
present, the standardised small solar systems with up to about 1,600 W panel size are of interest, because of their
acceptable cost and proven reliability. Photovoltaic solar panels are still quite expensive, which results in high investment
costs. In addition, the standardised systems are still rather small in capacity so that larger communities would need
more than one solar pump with extra wells/boreholes.

The cost for O&M is, however, favourable as no fuel or electricity supply cost is needed. The photovoltaic systems run
for many months with minimal O&M requirements. Solar panels can be used for many other purposes and therefore
care is needed to protect the systems.from being stolen.



                                                            31
4.2.6 Piston Pump Powered by a Windmill                                                                                    Formatted: Bullets and Numbering
This system seems to offer little advantage from the capital cost point of view. However, it may, be of interest for
medium size communities, since a basic service could be provided with a windmill without there being any cost for fuel
and with low maintenance cost.
Sufficient data of the annual wind speed pattern is required before a windmill is considered. The dependence on wind
would require a bigger storage tank to ensure reliability of water supplies also in periods without wind.

4.2.7 Charco Dams                                                                                                          Formatted: Bullets and Numbering
Charco dams are reservoirs for storing water, constructed in or adjacent to watercourses or within catchment areas, to
store stream flow or surface runoff. Charco dams are constructed by excavation, embankment or a combination of both
and are typically designed to store 3,000 to 5,000 cubic metres of water, or one to two years’ storage. Charco dams are
usually used for livestock water supply but with certain precautions can also be used for domestic purposes.

Charco dams are subject to water loss through evaporation and seepage. Choosing less-exposed sites will reduce
evaporation by wind action and covering of small charco dams with thatch roofs may be considered. Seepage can be
reduced by choosing a site that is free from sand lenses and fractured rock, ideally one composed of clay or other
impervious sub-soil. Sealing charco dams to control seepage can be done but is expensive. Typically clay, plastic
membranes or soil cement are used to seal charco dams.

Watershed protection is essential to reduce silting and contamination of the charco dam. Ideally, the watershed should
be vegetated and livestock and human activity excluded. A buffer strip of at least 30 meters width, which is sown with
grass, should be used where surface runoff enters the charco dam, and the buffer strip should also be within the fenced
area.

4.2.8 Guidelines on Water Quality

Domestic water supply to the communities should be free from particles hazardous to human beings and livestock; test
colour and odour should be kept at law limits. The standard of Quality of Domestic Water in Tanzania follows the WHO
Guidelines of quality of domestic water categories i.e. recommended, allowed or upper limits. The upper limits values
are applicable for domestic water supply in rural areas while the recommended or allowed categories are applicable for
large scale rural water supply serving population of more than 5,000 people. and to all water supplies which have
treatment systems more complex than simple sedimentation and or rapid filtration appliances hence standards and that
criteria shall be used during implementation of the WSDP for rural water supply . (the standards are shown on annex ----
-)
Generally the Guidelines for the parameters are as follows:
      i.   Water quality shall be examined in terms of bacteriological                                                     Formatted: Bullets and Numbering
     ii.   Physical and chemical quality

                    In bacteriological quality, samples determined within a scheme 98% should not contain any             Formatted: Bullets and Numbering
                     organism in 100mls
                    Up to three counts is allowed in occasional samples but not in consecutive samples
                    Not occurring repeatedly of which improvement to sanitary protection should be sort, or alternative
                     sources should be found



Frequency of Sampling
All water for rural water supply should be examined at the following intervals:

Table 15: Interval for rural water supply examination                                                                      Formatted: Font: Bold
r
  SN Type of source/population Up to 1,000           Up to 2,000             Up to 5,000                                   Formatted: Centered
        to be served
  1.    Borehole deeper than 8m 6 months             4months                 3 months                                      Formatted: Centered
   2    Wells less than 8m           2 months        1 month                 1 month                                       Formatted: Centered
   3    Surface water , lakes, 1 month               2 weeks                 2weeks                                        Formatted: Centered



                                                            32
         rivers, springs, dams


4.2. 9   Sanitation Technologies

Sanitation technologies must be affordable, suit subsoil conditions and be socially acceptable. The decision on the type
of latrine to be built in a household will be made by the household. The key is “choice”; a household is expected to invest
in the latrine and can only do so happily if well informed and able to choose among alternatives.
Dry on site sanitation is the main technical option of excreta disposal in the rural areas. The technical options for this
type of sanitation are: a Ventilated Improved Pit Latrine; a double vault compost latrine; a “Arborloo”; a Traditional Pit
Latrine and Ecosan Latrine.

The Ecological Sanitation (Ecosan) technology involves latrines which do not use water after defecation but use dry             Formatted: Font: Arial Narrow, 11 pt
material and thereafter hand washing the most common type of latrine used are Arbor loo, Fossa alterna, Sky loo and
Improved Traditional Pit Latrine.The purpose of these type of latrine is to produce manure which is dry and does not
produce smell.                                                                                                                  Formatted: Font: Arial Narrow
While manure from these technologies is useful, the potential economic impact must be realistically measured – the              Formatted: Font: Arial Narrow, 11 pt, Font
amount of manure is limited and only produced annually and applied into small fields. Additionally, it is important to help     color: Auto
overcome natural aversion to growing food out of human manure and demonstration is an effective method for this.
However it needs time for people to change their attitude and be convinced that they are environmentally friendly. One
thing important is that they have much less smell than the wet latrines


A Ventilated Improved Pit latrine is a pit latrine that removes odours and prevents flies from breeding in and escaping
from the pit. Excreta are collected in a lined pit, which has a vent pipe covered with a fly proof screen at the top.
Construction of this type of latrine does not require a very big area, but when the pit is full it must be covered with earth
and a new pit dug. A fruit tree can be planted on the site or the compost can be dug out after two years and used as
fertiliser.

A double vault compost latrine is a latrine that can be constructed above ground or just a metre deep. The compost
latrine decomposes excreta and generates heat that kills bacteria. The decayed excreta is harmless and does not
spread any excreta borne or fly borne diseases. If properly sited and maintained there is no risk of polluting underground
water. It is cheap compared to the deep, long drop VIP latrine. Once built there is no need for constructing another
latrine. The pits are emptied alternatively once every one to three years.

The “Arborloo” is a pit latrine built with a base slab and a superstructure that are both portable. The slab and
superstructure are placed over a pit that is about one metre deep. It is used like a standard pit latrine but additional
ingredients, like soil and wood ash, are regularly added to the pit to reduce fly breeding and odours. Leaves and kitchen
waste are also added to assist in the breakdown of the excreta to form a humus material that can be used as compost.
Once the pit is about two thirds full, the latrine slab and superstructure are moved to a new pit site. The original pit is
then topped up with soil and a tree can be planted. Given the shallowness of the pit, the potential for groundwater
pollution is substantially reduced. Furthermore, the mixing of soil, leaves, etc creates a faster composting process,
converting the raw excreta into soil-like humus within a period of 3 – 4 months. This also reduces the risk of groundwater
pollution.

A traditional pit latrine is the cheapest and the most basic sanitation facility. It normally consists of a pit covered with
logs, or beams, and possibly a sanplat fitted to the beams. The sanplat has a squat hole. The latrine superstructure is
often very simple and constructed from local materials. The traditional pit latrine has the advantage that it is very cheap
to construct. The sanplat and superstructure can be re-used once the pit is full. However, this type of latrine presents a
greater risk of groundwater pollution. They also need to be located away from houses to avoid annoyance from odour
and flies.

School Sanitation

Regarding school sanitation initiative, the purpose is to ensure that sanitation facilities are available and functional at
every primary school in the sub-project area, and that hygiene behaviour is improved and facilities are properly


                                                            33
maintained. Working in close collaboration with teachers, LGA health and education staff will advocate, mobilise
resources and coordinate all stages of project implementation. The RWSSP will provide the necessary advisory technical
support as and when required by the LGA. Latrines (of appropriate number and design) and improved water supply are
built for students and teachers at each primary school in the sub-project area. In collaboration with the teachers, women
from the sanitation club give hygiene education to the primary school students.


4.3 Technology Options for Urban Water Supply and Sewerage
                                                                                                                            Formatted: Font: 11.5 pt
4.3.1 Water supply objectives                                                                                               Formatted: Justified
 The broad objectives to be attained by each UWSA are as follows:
     All authorities should be able to provide a continuous supply of potable water 24 hours per day to all                Formatted: Justified, Bulleted + Level: 1 +
                                                                                                                            Aligned at: 0.25" + Tab after: 0.5" + Indent
         customers and that all authorities should become responsible for operating and maintaining their works,            at: 0.5"
         using revenues from the sale of water and sewerage services.
                                                                                                                            Formatted: Bullets and Numbering
     Sewerage systems should be provided as part of an overall sanitation strategy for each town to areas with
         high water consumption where on-site sanitation facilities are unsatisfactory and where, as a
         consequence, the provision of sewerage provides greater economic and environmental benefits than
         improvements to other means of human waste and wastewater disposal.
Authorities should be expected to do all that is necessary to achieve the above objectives, including setting tariffs,      Formatted: Justified
managing consumer demand, establishing good customer relations, controlling UFW, operating and maintaining
the system efficiently and minimizing all operating costs.

All urban health facilities must be granted access to water. Hospitals require an on-site connection to a piped
system. A borehole equipped with a hand pump should be used for water that is not related to the treatment of
patients. Water from the borehole can also prevent water shortages in case the piped system breaks down. Health
centres likewise require an on-site connection; as a second source, rainwater harvesting suffices.

To achieve these objectives the water supply system must be rehabilitated and additional water supply schemes in
urban areas must be constructed. The construction of water supply schemes includes expansion and extension.
The technologies used to develop the water sources are :                                                                    Formatted: Justified, Bulleted + Level: 1 +
                                                                                                                            Aligned at: 0.25" + Tab after: 0.5" + Indent
Piped and pumped water from boreholes                                                                                       at: 0.5"
     Piped and pumped water from surface sources such as rivers, dams and lakes                                            Formatted: Bullets and Numbering
     Piped and gravity waters fom springs and rivers
                                                                                                                            Formatted: Font: Arial Narrow, 11.5 pt
     Piped and pumped water from dams and lakes
                                                                                                                            Formatted: Justified

4.3.2 Categorisation of Water Source for each UWSA                                                                          Formatted: Font: Arial Narrow, 11.5 pt
                                                                                                                            Formatted: Font: Arial Narrow, 11.5 pt
      UWSA                                 Water Source                                                                     Formatted: Justified
Moshi                  Springs                                                                                              Formatted: Justified
Arusha                 Springs; Boreholes                                                                                   Formatted: Justified
Tabora                 Surface reservoir                                                                                    Formatted: Justified
Mwanza                 Lake Victoria
                                                                                                                            Formatted: Justified
Musoma                 Lake Victoria
                                                                                                                            Formatted: Justified
Bukoba                 Lake Victoria; Springs
                                                                                                                            Formatted: Justified
Tanga                  Surface reservoir
Morogoro               Surface reservoir, stream                                                                            Formatted: Justified

Singida                Boreholes                                                                                            Formatted: Justified

Dodoma                 Boreholes                                                                                            Formatted: Justified
Shinyanga              Surface reservoir, Boreholes                                                                         Formatted: Justified
Kigoma                 Lake Tanganyika                                                                                      Formatted: Justified
Songea                 Springs and boreholes                                                                                Formatted: Justified
Lindi                  Springs                                                                                              Formatted: Justified
Mtwara                 Boreholes and a spring                                                                               Formatted: Justified



                                                          34
       UWSA                             Water Source                                                                Formatted: Font: Arial Narrow, 11.5 pt
Iringa               River intake and springs                                                                       Formatted: Font: Arial Narrow, 11.5 pt
Sumbawanga           Streams & boreholes                                                                            Formatted: Justified
Mbeya                Stream intake and springs                                                                      Formatted: Justified
Babati               Borehole                                                                                       Formatted: Justified
Dar es Salaam        River and borehole
                                                                                                                    Formatted: Justified
                                                                                                                    Formatted: Justified
4.3.3 Water Supply Technology Options
                                                                                                                    Formatted: Font: 11.5 pt

As seen from above the sources for urban water supply are mainly boreholes, springs, rivers, lakes and dams. The
advantages and limitations of technologies used in extracting water from each source is discussed in the table
below.

Table 16: Advantages and Limitations of Technology Options                                                          Formatted: Font: 11.5 pt, Bold
                                                                                                                    Formatted: Font: Bold
Water Supply               Type                     Advantages                      Limitations                     Formatted: Font: 11.5 pt, Bold
Borehole                   Mechanised               Suitable if the yield of the    More detailed planning          Formatted: Font: Bold
                           borehole with            borehole is adequate.           involved
                                                                                                                    Formatted: Font: 11.5 pt
                           piped system             Diesel engines can be used      Risk if the borehole is low
                                                                                                                    Formatted: Justified
                                                    where there is no electricity.  yielding the WSS may
                                                    The water usually requires less  need to be re-planned
                                                    treatment than from surface     O&M costs can be high
                                                    sources.                        because of diesel prices
                                                                                    Water right depends on
                                                                                    quantity,      quality   and
                                                                                    distance from nearby
                                                                                    borehole (greater than
                                                                                    300m)
Gravity fed              Open system – where        Low O&M costs                   Water rights may be an          Formatted: Font: 11.5 pt
(spring or river)        the yield from the water   Minimal interruptions in Water issue of concern as it
                         source                     supply                          depends on available
                         gives a constant water     Minimises travel time for water demand         and     supply
                         flow to the distribution   users – water can be piped capacity
                         system or collection       over long distances to many     Source needs protection
                         reservoir.                 water points                    High investment costs
Pumped water from rivers Open system – where        Suitable where there is no High investment costs
or spring                the yield from the water   other source                    High O&M costs
                         source is pumped to                                        Water rights may be an
                         gives a constant water                                     issue of concern as it
                         flow to the distribution                                   depends on available
                         system or collection                                       demand         and     supply
                         reservoir.                                                 capacity
                                                                                    Source needs protection for
                                                                                    sustainability                  Formatted: Font: 11.5 pt
Lakes and Dams             Open source              Suitable for large scale water Water treatment often
                                                    supply                          necessary
                                                                                    Water right depends on          Formatted: Justified
                                                                                    quantity and quality            Formatted: Font: 11.5 pt, Bold
                                                                                                                    Formatted: Justified
To pump water from boreholes with adequate water yield will require use of suitable pumps as follows:
                                                                                                                    Formatted: Font: Bold

Submersible Pump Powered by Grid                                                                                    Formatted: Font: Times New Roman, 12 pt,
                                                                                                                    No underline
                                                                                                                    Formatted: Normal, Right: 0"



                                                       35
If there is a reliable power supply from the grid to the water source the investment cost per capita is economical.     Formatted: Font: 11.5 pt
For larger communities, the cost will sharply decrease. However, the borehole yield has to be sufficient to serve the
larger user group. Higher pumping heads hardly affect the O&M costs, as the additional energy cost is reasonable.
Long distances from grid to the pump site require high investment in the power line. Under such unfavourable
conditions, it may be better to choose a diesel generator or a solar pump system.

Diesel Engine Driving a Generator with Submersible Pump or a Mono Pump                                                  Formatted: Font: 11.5 pt, Bold
                                                                                                                        Formatted: Font: Bold
If there is no power from the grid use of diesel engines will be used . The annual operating cost of diesel engines     Formatted: Justified
is about 25% higher as diesel fuel is more expensive than electricity.Diesel engines require increased servicing and    Formatted: Font: Times New Roman, 12 pt,
maintenance and may demand a full-time operator. Diesel driven pumps have the advantage that they are                   No underline
independent of the grid. However, the logistics to ensure that enough fuel and lubricants are always available need     Formatted: Normal, Right: 0"
to be carefully planned.
                                                                                                                        Formatted: Font: 11.5 pt

This system is versatile, allows optimising pump and engine capacity. It works in all type of boreholes. The
performance of the Diesel-Submersible systems is good provided the operation and maintenance of the diesel
engine is done properly. Submersible pumps need very little day-to-day maintenance.
                                                                                                                        Formatted: Font: 11.5 pt, Bold
Diesel Engine with Mono Pump                                                                                            Formatted: Justified
                                                                                                                        Formatted: Font: Bold
This configuration is the most common system of mechanised pumps. The Mono pumps are normally fitted with a             Formatted: Font: Times New Roman, 12 pt,
Lister diesel engine. Performance of these pumps is good. Mono pumps are very reliable and their maintenance            No underline
requirements are low. However they need to be fitted in straight boreholes. The maintenance of the diesel engines       Formatted: Normal, Right: 0"
is well within the capability of operators.
                                                                                                                        Formatted: Font: 11.5 pt
                                                                                                                        Formatted: Font: 11.5 pt, Bold
Diesel Engine with Centrifugal Pump
                                                                                                                        Formatted: Font: Bold

Centrifugal pumps driven by a diesel engine are often used on open wells. Most irrigation pumps are of this variety.    Formatted: Justified
This type of pump is not suitable for use in boreholes. The maximum suction lift of these pumps is restricted to        Formatted: Font: Times New Roman, 12 pt,
about 7 metres. They can however be used for pumping water up from an open well, lake or river, to high-level           No underline

reservoirs.                                                                                                             Formatted: Normal, Right: 0"
                                                                                                                        Formatted: Font: 11.5 pt
To pump water from surface sources (rivers, boreholes and springs) will requires suitable surface pumps as follows:     Formatted: Font: 11.5 pt, Not Bold
                                                                                                                        Formatted: Font: 11.5 pt
Surface Pump Powered by Grid where there is reliable electricity supply.
                                                                                                                        Formatted: Font: 11.5 pt, Bold
                                                                                                                        Formatted: Justified
This system is the most used. It is reliable and economical for supplying water to large urban centre.
Long distances from grid to the pump site require high investment in the power line but the revenue accrued from        Formatted: Font: Bold
water fees will offset the costs.                                                                                       Formatted: Font: 11.5 pt, Bold
                                                                                                                        Formatted: Font: 11.5 pt
Diesel Engine with Centrifugal Pump                                                                                     Formatted: Font: 11.5 pt
                                                                                                                        Formatted: Font: 11.5 pt
Pumps driven by a diesel engine are often used on to transport surface water. There are expensive to run due to
                                                                                                                        Formatted: Font: 11.5 pt, Bold
high O&M of Diesel engines .engines.
                                                                                                                        Formatted: Justified

Gravity-fed systems from springs or rivers                                                                              Formatted: Font: Arial Narrow, 11.5 pt
                                                                                                                        Formatted: Font: 11.5 pt
 Open system – where the yield from the water source which give a constant water flow to the distribution system        Formatted: Font: 11.5 pt
or collection reservoir. They have low O&M and are reliable water sources.                                              Formatted: Font: Arial Narrow, 11.5 pt
                                                                                                                        Formatted: Font: Arial Narrow, 11.5 pt
4.3.4 Metering
                                                                                                                        Formatted: Font: 11.5 pt
                                                                                                                        Formatted: Font: Arial Narrow, 11.5 pt
                                                                                                                        Formatted: Justified



                                                        36
The installation of meters is vital to prevent wastage and to control water usage. Whereas bulk meters are                Formatted: Font: 11.5 pt
considered within the water resources sub-sector, the installation of meters on consumer level is an important
intervention under urban water supply.

4.3.5     Guidelines on Water Quality

The standard of Quality of Domestic Water in Tanzania follows the Tanzanian Guidelines of quality of domestic             Formatted: Font: 11.5 pt
water categories i.e. recommended, allowed or upper limits. The recommended or allowable values are applicable
for domestic urban water supplies and large scale and those water systems with complex water treatment facilities
(the standards are shown on annex -----)

Most of the parameters to be monitored include:
      Physical, chemical and bacteriological                                                                             Formatted: Font: Arial Narrow, 11.5 pt
                                                                                                                          Formatted: Bullets and Numbering
         Bacteriological examination samples should be collected from:
         Pumping station
         Treatment plants
         Reservoirs
         Booster pumping stations
         Distribution system
         Frequency of sampling
         The frequency of sampling will depend basically on several criteria including: Quality of water source, risk
          of contamination, complexity of the system, number of water sources, length of distribution system and
          danger of epidemic but generally in urban water supplies the frequency of sampling will follow the
          population criteria however number of samples are population dependence as shown in the table below.
         Table 17 : Frequency of sampling for Physical, chemical and Bacteriological Analysis                            Formatted: Font: Arial Narrow, 11.5 pt

         S/N               Population served                Max.    interval   between            Min. number of
                                                               successive sampling                    samples to be
                                                                                                      taken        from
                                                                                                      whole
                                                                                                      distribution
         1                 Less than 20,000                 1 month                               1      sample/      Formatted: Bullets and Numbering
                                                                                                      5,000
                                                                                                      pop./month
         2                 20,000- 50,000                   2 weeks                               1      sample/      Formatted: Bullets and Numbering
                                                                                                      5,000
                                                                                                      pop./month
         3                 50,000- 100,000                  4 days                                1      sample/      Formatted: Bullets and Numbering
                                                                                                      5,000
                                                                                                      pop./month
         4                 More than 100,000                1 day                                 1      sample/      Formatted: Bullets and Numbering
                                                                                                      10,000/ month
                                                                                                                          Formatted: Font: 11.5 pt
4.3.6 Sewerage Technologies                                                                                               Formatted: Justified
                                                                                                                          Formatted: Font: Arial Narrow, 11.5 pt




                                                          37
The option usually adopted for sewerage is the conventional piped collection system to central treatment and
disposal plants, which are expensive. Sewerage systems installed in some of the towns date back over thirty years.
These were serving only the town centres and were operated by the municipal councils. Many of the sewerage
systems had become defunct by the early nineties. Following the establishment of the UWSAs and the handing
over of the water supply systems to the Authorities, sewerage systems too were handed over for operation by the
UWSAs. In most cases, the systems were non-operational and required major investments for rehabilitation

 The coverage of sewerage systems is considerably less than that of the water supply systems, being about 17%           Formatted: Font: 11.5 pt
compared with 73% for water supply, although this is partly due to the shortage of sewerage system infrastructure,      Formatted: Justified
and partly to the reluctance by some water users to be connected to sewerage systems in view of the cost
involved.

In the small towns, responsibility for sewerage and sanitation services rests with the local authority and sewerage
systems rarely exist. People living in small towns and peri-urban areas primarily depend on cesspits or pit latrines,
which are emptied by the local authority or private operators.

Sewerage systems should be provided as part of an overall sanitation strategy for each town to areas with high
water consumption where on-site sanitation facilities are unsatisfactory and where, as a consequence, the
provision of sewerage provides greater economic and environmental benefits than improvements to other means of
human waste and wastewater disposal.

Sewerage and sanitation systems will be developed on a cost effective and sustainable basis to increase coverage        Formatted: Font: Arial Narrow, 11.5 pt
and meet the demands of an increasing population.                                                                       Formatted: Font: 11.5 pt

Most of the sewerage customers are domestic and comprise mainly of households within the boundaries of the
UWSA centres.
                                                                                                                        Formatted: Font: Arial Narrow, 11.5 pt
Sources of wastewater                                                                                                   Formatted: Font: 11.5 pt


The main sources of wastewater are activities in residential, commercial, institutional and industrial areas. Lack of
sewerage system means that inhabitants in Urban Centres depend mainly on the on-site sanitation options.
Inadequate collection and disposal facilities for the generated sewerage were setback to proper management of
generated wastewater.

Actions to be taken to improve sewerage and sanitation services:

       promote the benefits of the use of safe methods of excreta disposal, either through sewerage systems or         Formatted: Justified, Bulleted + Level: 1 +
                                                                                                                        Aligned at: 0.25" + Tab after: 0.5" + Indent
        on-site sanitation;                                                                                             at: 0.5"
       provide for adequate sewerage or sanitation systems as part of all future water supply development
                                                                                                                        Formatted: Bullets and Numbering
        schemes;
       introduce controls on the disposal of sewage and sanitation sludges;
       promote the use of alternative technologies for appropriate sewerage and sanitation systems; and
       promote the re-use of sewage and sanitation sludges in appropriate circumstances.
       provide adequate number of cesspit emptier trucks
                                                                                                                        Formatted: Justified
Treatment of Wastewater

The collected sewage should be treated to meet Tanzanian effluent standards before being discharged into
receiving water bodies. The standards are as shown below:

PARAMETER                       pH                            BOD5 (mg/l)                 COD5 (mg/l)                   Formatted: Justified
VALUE                           6.5-8.5                       <30                         <50                           Formatted: Font: Arial Narrow, 11.5 pt
                                                                                                                        Formatted: Justified



                                                         38
4.3. 7 Technical Guidelines                                                                                           Formatted: Font: 11.5 pt
     Guidelines pertaining to urban water supply and sewerage, are as follows:
     a. All designs and constructions should conform to the design manual of the Ministry and or acceptable           Formatted: Bullets and Numbering
         International design and construction practices.
     b. Environmental Impact Assessment (EIA) shall be undertaken to any water supply and sewerage
         interventions
     c. All Authorities shall put in place mechanisms for water sources protection and conservation, which include
         payment of economic charges for UFW above agreed limits.
     d. Every Authority shall ensure that, the facilities and infrastructure for water supply and sewerage delivery
         services are properly maintained and a comprehensive preventive maintenance system is in place.
     e. Safety of employees, facilities and infrastructure is of paramount importance to the Authority. Every
         Authority shall prepare safety Regulations and implement them.
     f. Accuracy of water meters varies with time and or water quality. In this regard, every Authority should
         develop preventive maintenance and management procedures to ensure that meters are calibrated at
         most every five years.
     g. Every Authority must develop its own water quality-monitoring programme, adhere to it and publish the
         results for the public.
     h. Every Authority must put in place and publish a workable water demand management system.

                                                                                                                      Formatted: Font color: Auto

                                                                                                                      Formatted: Indent: Left: 0", Hanging: 0.5",
                                                                                                                      Outline numbered + Level: 1 + Numbering
                                                                                                                      Style: 1, 2, 3, … + Start at: 5 + Alignment: Left
                                                                                                                      + Aligned at: 0.5" + Tab after: 0.75" + Indent
                                                                                                                      at: 0.75", Tab stops: 0.25", List tab + Not at
                                                                                                                      0.75"




                                                        39
(i)5. CAPACITY BUILDING AND TRAINING

This section focuses on the capacity building activities that are necessary to support effective implementation of the
WSDP. Capacity Building and Training (CB&T) cuts across all three components of the Programme.

All three components of the programme would require institutional strengthening and development – concentrating on
improving the capacity – including re-structuring and re-orientation - of MoW to provide and administer policy and serve
as the overall facilitator of development and investment in the water sector.

The approval of the NAWAPO in the year 2002 has necessitated significant changes in the roles of these implementing
agencies where MoW is now charged with facilitating role:, formulating policies, providing technical support, and focusing
on co-ordination monitoring and evaluation, and capacity building to the BWOs, EAs, LGAs and UWSAs who are taking
the lead role in managing implementation of the WSDP.

Principles and Strategies for Capacity Building

Capacity Building and Training activities at the district and community levels are based on the following principles:
         Planned and Conscious Approach – defining beforehand whose capacities needs to be developed, with                   Formatted: Bullets and Numbering
             what skills, through what processes, aimed at what outputs, and measured by what indicators.
         Demand Driven Approach – involving stakeholders in identifying their training needs and in the planning of
             the CB&T programme.
         Priority Audiences – the focus will mainly be on three priority target audiences – communities (including
             Watsans, user groups, caretakers) SPs, and staff of local authorities.
         Participatory Approach – training based on a learner centred, participatory approach – one which
             promotes active learning, rather than passive listening – and emphasizes learning by “doing” – discussing
             issues, solving problems, practicing skills, and planning actions.
         Training Provided in Small Doses over a Period of Time – training will be given in a series of courses
             over a period of time, rather than in a single course – this will allow trainees to learn in a gradual step-by-
             step way and avoid information overload.
         Incorporation of Cross-cutting Issues – the CB&T will focus on a number of cross-cutting issues,
             including:
               Participatory skills to support the development of community ownership
               Gender awareness – women and men will have equal access and full participation in CB&T activities
               Environmental awareness – the risks of water contamination and to avoid or mitigate those risks
               Results-based planning and management to help all stakeholders plan their work according to
                   expected key result areas
               HIV/AIDS – the rationale and strategies for dealing with HIV/AIDS
                 Action Planning – training events will lead to action plans that list tasks to be completed, with clear     Formatted: Bullets and Numbering
              objectives, targets, indicators, and timelines.
                 Teamwork and Network Building –players who are expected to work together in the field, such as
              Facilitation and Technical Service Providers, will be trained together, so that they can learn how to work as
              a team and plan their work together.
                 Monitoring and Evaluation – CB&T will be monitored to ensure that it is on track and achieving              Formatted: Bulleted + Level: 1 + Aligned at:
              expected results.                                                                                                0.5" + Tab after: 0.75" + Indent at: 0.75",
                                                                                                                               Tab stops: Not at 0.5"

Capacity building and training will be taken up at the following levels:

Basin Level
Basin level (BWO, BWB, catchment/sub-catchment organizations, WUAs).
                                                                                                                               Formatted: Font color: Auto

Regional, District and Community Levels
    Community (community as an institution, Watsan, WUGs, WUAs, Caretakers and Operators, CORPS).
    LGA (DWST, District Councillors, Council Tender Board members, Council field staff)
    Regional Secretariat



                                                            40
        Service Providers (Facilitation Service Providers, Technical Service Providers, Contractors, Pump Mechanics,
         local technicians).

Capacity building and training, in the context of the WSDP, is defined in terms of:
   Individual Capacities - skills, knowledge, attitudes, confidence, and teamwork among individual players, including
    Watsan members, SPs, DWST members in the case of NRWSSP;
   Organisational Capacities – institutional development of BWOs, UWSSAs, LGAs, and including Watsan WUGs
    and WUAs, SPs and DWST;
   Operational Systems – systems for carrying out various activities in the newly evolving WSDP systems and
    materials, and guidelines to describe the systems – e.g. data management, preparation of Basin business plans,
    UWSAs business plans, district W&S plans, projects appraisal, contract management, M&E, MIS application, etc;
   Institutional Networks – partnerships and linkages between different players/institutions in an interdependent
    system; and
   Capacity Building and Training – skills for planning, implementing, monitoring & evaluating, capacity development
    and training processes.

The aim is to strengthen the institutional and individual capacities of all implementing institutions and community
stakeholders to carry out their tasks in supporting the management and development of (i) basin water resources, (ii)
community water supply schemes and sanitation facilities, and (iii) urban water and sewerage systems.


5.1 Water Resources Management

Some of the new basin water offices have still not appointed sufficient staff trained in water resources management
issues. With increased awareness of water resources issues (scarcity, seasonal variations, competition and conflicts,
quality), and the demands of the new policy and legal frameworks for IWRM, this programme initiative aims at
strengthening all sections and units of the MoW as well as the Basins. The human capacity strengthening would focus
on capacity needs based on new approaches to water resources management.
For successful IWRM, BWO staff will be oriented to their new roles and learn skills necessary to fulfil the regulatory and
enforcement, advisory, capacity building and coaching functions for water resources. Staff will need to become familiar
with the WRMDP policies and approaches including guidelines for procurement and financial management.
Target Groups for Capacity Building (LGAs, Catchment Committees+ WUAs)

Table 10:18: Outline of target groups for CB&T at basin level
Player                    Trainer          Training Need
Basin water staff         TSPs and FSPs         Data collection, processing and analysis.
                                                Technical aspects of trans-boundary issues in the
                                                   basin.
                                                Water Resources Assessment
                                                Preparation of Basin IWRM Plans
                                                Hygiene, sanitation, HIV/AIDS and gender.
                                                Conflicts resolution.
                                                Financial management
                                                Procurement guidelines
Catchment / Sub-          FSPs                  Hygiene, sanitation, HIV/AIDS and gender.
catchment Water staff                           Operating procedures of equipment.
                                                Routine and preventive maintenance.
                                                Water quality surveillance and record keeping.
                                                Collection and management of funds.
                                                Enforcement of water use permits and pollution control
                                                   measures.
                                                Protection of important Water Sources
                                                Relations with community and catchments Committee.



                                                           41
                                                      Safety measures
Water User                FSPs                        Conflict resolution
Associations                                          Management and allocation of water resources.
                                                      Organisation, roles, meetings, and working with the
                                                       community.
                                                      Hygiene, sanitation, HIV/AIDS and gender.
                                                      Problem solving, troubleshooting, and monitoring.
                                                      Water quality surveillance
                                                      Participatory planning
Regional Secretariat      FSPs                        Conflict resolution
District Councils         FSPs                        Conflict resolution
                                                      Relations with community and catchments Committee.
                                                      Social assessments and legal registration of Water
                                                       User Associations

Provision of Offices, Facilities and Technical Equipment

To facilitate the implementationn of the programme the basin water offices will be built ,strengthened and equipped .

Taining

a) Training for Basin Staff

For successful IWRM, BWO staff will be oriented to their new roles and learn the skills necessary to fulfil the regulatory
and enforcement, advisory, capacity building and coaching functions for water resources. They will also need to become
familiar with the WRMDP policies and approaches including the guidelines for procurement, financial management, and
assist and train WRM Field Office staff across the Basins who would provide on-the-ground implementation and
interaction with stakeholders.

Basin Water Offices will facilitate the establishment of the CWC and WUAs. When established these institutions will be
capacitated and linked with Regional Secretariats and LGAs.

Effective implementation of the programme cycle is dependent on a number of stakeholders demonstrating a real
commitment to the programme, and to work as a team.
BWO level implementation partners are:
                 The BWB, which approves all BWO development plans and budgets, coordinates and monitior                   Formatted: Bullets and Numbering
         implementation of WRMDP, manage procurement and finances, and receives progress reports.
                 BWO facilitate formation of legal water user entities at catchment/subcatchment and lower level, and
         manage financing of sub-project implementation, prepare TOR and Tender documents, as well as contracting
         and sub-contract supervision and monitoring implementation.
                 The Basin Field Office staff/teams that are responsible for the day-to-day implementation of the
         WRMDP activities on the ground, coordinating the activities of the various stakeholders, as well as informing,
         mobilising and assisting communities and water users to participate fully in WRMDP.
                 The Department of Community Development that is involved in assisting BWO and its field office staff
         in the promotion of WRMDP and in community work and stakeholder assessments related to the WRMDP.
                 The BWO Tender Board that is responsible for supervision of procurement functions, reviewing of all
         procurement reports and complaints received from service providers, approving and issuing of Tender
         documents and approving the award recommendations for award of Tenders.
                 Finance Department of the BWO, which administers the WRMDP Fund at the basin level. The Unit of
         the BWO is responsible for scrutinising plans and budgets, preparation of books of accounts, trecking of
         expenditures, and audits.
                 Service Providers that are contracted to assist BWOs with all aspects related to works, goods and
         services including consultancy services.


                                                           42
                                                                                                                              Formatted: Font color: Auto
In order to efficiently engage the BWOs for WRMDP interventions, it is necessary for these entities allocate responsibility
for the implementation of each task area to specific field team members. Guidelines on the assignment of responsibility
by task area are given in table below.

Table 1119: Assignment of WRM Tasks
    Task                         Responsible
    Collection baseline data for Field workers in participating departments will collect the data which will be use as
    WRM                          baseline WRM related data. District heads will collate and analyse the data for inclusion
                                 into Basin WRM baseline data.
    Water             Resources BWO will collect sectoral data required for subsequent water resources assessment
    Assessment
    Protection of Important BWO will work with communities and support studies to identify vulnerable and                     Formatted: Font: Not Bold
    Water Sources                threatened water sources, and support resettlement programmes where necessary.
    Preparation of Basin IWRM BWO will work on sub-catchment and district components of the
    Plans                        Basin/catchment/subcatchment IWRM Plan..
    Community/stakeholder        BWO will train field workers and DWST on this task. Field workers will then organise
    promotion on IWRM            community meetings to generate specific information that is required by BWO
    Social assessments for DWST will support BWO to carryout social assessments for the registration of WUAs and
    legal registration of Water water rights.
    User Associations.
    Providing follow-up support Field workers and DWST supported by District Water Department and BWO.
    to communities on BWO
    interventions



All of the tasks listed above require skills, which will identified and planned based on approach shown in
Figure 1, BWO staff members know some of these skills already. Other skills will need to be acquired through training –
formal courses and/or on-the-job coaching envisaged under the WRMDP.

b) Training for LGAs

Training will be integrated into the community mobilization process and timed to coincide with the steps in the programme
cycle (planning, construction, and O&M). The training will be provided on a phased basis. For example, a short 1-2 day
course will be organised during each phase for the Watsan, WUGs, WUAs, and CORPS. In total the Watsan, WUGs,
WUAs, and CORPS will each receive three training courses.

Training of the community based caretakers and pump attendants / operators starts during construction - contractors will
brief the caretakers (or operators) on maintenance skills (through demonstration and practice). This training will be
followed up by the TSPs who will provide on-the-job coaching.


Management of Training

Training will be managed and coordinated at the national level by a Capacity Building and Training Team within the MoW.
This team will carry out the following work:

       Review and define training needs.                                                                                     Formatted: Indent: Left: 0", Hanging: 0.31",
                                                                                                                              Bulleted + Level: 1 + Aligned at: 0" + Tab
       Develop training curricula, and materials.                                                                            after: 0.28" + Indent at: 0.28", Tab stops:
       Hire training consultants to develop and/or review training modules and train middle level players (DWST, FSP,        -0.22", List tab + Not at 0.28" + 0.5"
        TSP).
       Coordinate the monitoring and evaluation of training.
       Organise Training of Trainers courses as required.


                                                            43
                                                                                                                                Formatted: Font color: Auto
    Monitoring of training will be organised at the appropriate level:

        The Regional Secretariat will monitor training of DWSTs, FSPs, TSPs (done by Training Consultants).
        DWST will monitor training by FSPs and contractors of Village Watsans, water user groups, caretakers, etc.
        MoW will monitor and evaluate all training programmes to review sufficiency for programme effectiveness.


    Training Manuals

    The training programme will be supported with training materials, which will consist of:

    a) Trainer’s Guides – training modules used by trainers to train specific target groups. Each module describes how to
       facilitate the session: bjectives, timing, learning tasks, questions to be asked, key points, etc.
    b) Operational Manuals – how-to-do-it guides for the use of trainees after completing their training – it explains how to   Formatted: Font: Bold
       do each task in their work.
    c) Participatory Learning Tools – pictures and other exercises used in community level discussion/planning on water,        Formatted: Font: Bold
       hygiene, sanitation, and HIV/AIDS issues (e.g. PHAST tools and sanitation ladders, three pile sorting, transmission
       routes & barriers, etc).




    Support to Private Sector Service Providers
    Wherever possible the services of private sector will be used.



5.2 Rural water Supply and Sanitation

Target Groups for Community Level Capacity Building
    Table 20: Community Level Target Groups in Water Supply Activities                                                          Formatted: Font: Bold
                                                                                                                                Formatted: Font: Bold
                        Table 12 Community Level Target Groups in Water Supply Activities
    Player          Trainer     Training Need
    Watsan and      FSPs and         Organisation, roles, meetings, and working with the Community.                            Formatted: Indent: Left: -1.45", First line:
                                     Participatory planning and development of FMP.                                            1.32", Bulleted + Level: 1 + Aligned at: 0.25"
    Water User      TSPs                                                                                                        + Tab after: 0.5" + Indent at: 0.5", Tab
    Groups                           Technical – technical options, service levels, siting,                                    stops: 0.24", List tab + Not at 0.5"
                                     Construction and O&M.
                                     Collection and management of funds.
                                     Hygiene, sanitation, HIV/AIDS and gender.
                                     Construction management – quality control.
                                     O&M – how to maintain facilities, spare parts, and warranty.
    Health          FSPs            Orientation on Hygiene, sanitation, HIV/AIDS and gender                                    Formatted: Indent: Left: -1.45", First line:
                                    Facilitation skills and participatory methodology tools.                                   1.32", Bulleted + Level: 1 + Aligned at: 0.25"
    volunteer –                                                                                                                 + Tab after: 0.5" + Indent at: 0.5", Tab
    CORPS                           Participatory monitoring and evaluation.                                                   stops: 0.19", List tab + Not at 0.5"
                                    Basic skills in latrine construction.
    Caretakers      TSPs and  Pump parts, names and functions, assembly and disassembly                                       Formatted: Indent: Left: -1.45", First line:
                                                                                                                                1.32", Bulleted + Level: 1 + Aligned at: 0.25"
                    contractors  Fast wearing parts and how to replace them.                                                  + Tab after: 0.5" + Indent at: 0.5", Tab
                                 Pump problems causes, and how to repair.                                                     stops: 0.19", List tab + Not at 0.25" + 0.5"
                                 Inspection tests, proper use of pump, pump site
                                 cleaning & maintenance.
                                 Keeping records – spare parts and repairs.
                                 Relations with community and Watsan, and WUGs/WUA.


                                                                 44
Operators       TSPs and         Operating procedures of equipment.                                                               Formatted: Indent: Left: -1.45", First line:
                                  Routine and preventive maintenance.                                                              1.32", Bulleted + Level: 1 + Aligned at: 0.25"
                contractors                                                                                                       + Tab after: 0.5" + Indent at: 0.5", Tab
                                 Water quality surveillance and record keeping.                                                   stops: 0.13", List tab + Not at 0.25" + 0.5"
                                 Problem solving, troubleshooting, and monitoring.
                                                                                                                                   Formatted: Bullets and Numbering
                                 Relations with community and Watsan Committee.
                                  Safety measures


                                                                                                                                   Formatted: Font color: Auto
Capacity Building

There are three main categories of capacity builders at the LGA and community level, as described in
Table 21: Capacity Building at LGA and Community Levels                                                                            Formatted: Font: Bold
                                                                                                                                   Formatted: Font: Bold
Table 12.                                                                                                                          Formatted: Font: Bold

                         Table 13: Capacity Building at LGA and Community Levels
  Player                   Description                Major Capacity Building Roles
  DWST                     Small team of              Prepare NRWSSP training plan and budget for the LGA,
                            departmental heads        provide advice and support to communities, Watsan, and
                            in the LGA                user groups, manage and monitor FSPs and TSPs.
  Facilitation             ‘Software’ service         Train Watsans, user groups, and health volunteers
  Service Providers        providers
  Technical                Technical trainers         Train caretakers, local technicians, and pump operators.
  Service Providers                                   Provide on the job training for contractors.

Training Consultants hired by MoW will train the capacity builders. Training Consultants are experienced trainers with
skills in participatory training, management, and community development. They will be hired to train DWSTs, FSPs, and
TSPs .
The Training Consultants will train DWSTs, FSPs and TSPs on on the following:

Regional Secretariat                                                                                                               Formatted: Font: Bold
      NAWAPO key principles and WSDP strategies and approaches
      RS roles, roles of other players, teamwork and networking skills
      Facilitation and tTraining skills
      Communication sSkills
      Work pPlan and rReport writing
      Results-based planning, management, and monitoring
      Procurement and nNegotiation skills

DWSTs                                                                                                                              Formatted: Font: Bold
        NAWAPO key principles and WSDP strategies and approaches;
        DWST roles, roles of other players, teamwork and networking skills;
        Data collection and preparation of a DWSP;
        Appraisal of community projects;
        Facilitation skills, participatory methods, and community level project cycle management;
        Different types of W&S systems and W&S guidelines;
        Results-based planning, management, and monitoring; and
        Work planning and report writing.

 Facilitation Service Providers                                                                                                    Formatted: Font: Bold
        NAWAPO key principles and WSDP strategies and approaches;
        Mobilisation, facilitation, and training skills – participatory techniques, negotiation and conflict resolution skills;
        Community management of water and sanitation services – roles and responsibilities of different players,
         management roles in relation to O&M;


                                                             45
         Community-based planning – how to facilitate participatory planning and write facility management plans;
         Hygiene, sanitation, and HIV/AIDS – PHAST methodology, strategies for incorporating hygiene, sanitation and
          HIV/AIDS activities in the programme cycle;
         Gender awareness and skills in maintaining the participation of women and marginalized groups; and
         Strategic work planning, report writing, and organisational development skills.
         Communication sSkills

 Technical Service Providers                                                                                                  Formatted: Font: Bold
      NAWAPO key principles and NRWSSP strategies and approaches;
      Community-based planning-how to facilitate participatory planning and write FMP;
      Technical training, in such areas as construction supervision; and
      Training skills for training caretakers and pump attendants / operators.
      Communication Skills

All LGAs will receive capacity building support in terms of LGA Entry Training Programme. The CB&T activities of the
entry programme are listed in the box below:
                                                                                                                              Formatted: Font color: Auto




                                           LGA Entry Training Programme
        Five training courses:
               One core training course for DWSTs, FSPs, and TSPs on WSDP approaches and community
                facilitation.
               One specialised training course for DWSTs, on management skills – supervision, reporting,
                contract management.
               One specialised training course for DWSTs and District Tender Boards on procurement
                procedures and regulations.
               One specialised training course for TSPs on WSDP technologies, survey, supervision and
                quality control
               One course for Councillors and field workers on WSDP approaches and roles of different players

        On-the –job coaching and moenitoring, including support to FSPs on facilitation and training skills




A list of training materials has been developed by MoW for the use of relevant stakeholders at different levels is given in
Table 1422. These will be reviewed from time to time, depending on prevailing needs

Table 22 : Training Materials                                                                                                 Formatted: Font: Bold




                                                            46
                                                   Table 14: Training Materials
         Audience                      Materials                                         Description
    Community            Community Fliers                      Basic information on NRWSSP and how to participate
    members
    Watsan / Watsan Watsan/WUG Manual                          Pictures and text – 20-30 pages. Reference manual for WC members
    User Groups
                         Trainer’s Guide for Training          Used by FSPs to train Watsan and WUGs.
                         WCs/WUGs
    Caretakers / Pump Trainer’s Guide for Training             Used by contractors and TSPs to train caretakers.
    Attendants            Caretakers
    Animators            Trainer’s Guide for Training          Used by FSPs to train CORPS.
                         Animators
    Facilitation Service Facilitators Manual                   Operational manual for Facilitators
    Providers            Trainer’s Guide for Training FSPs     Used by Training Consultants to train FSPs and TSPs
                         and TSPs
                         Picture Tools                         Pictures used by FSPs and CORPS for PHAST discussions
    TSPs                 Piped Water System Manual             Basics on demand assessment, surveying, hydraulic design, etc
    Local Artisans       Construction manual on wells &        Simple, picture based manual
                          latrines
    DWSTs                District Operational ManualTrainer’   How to do promotion, data collection, planning, appraisal, monitoring,
                         Guide for Training DWSTs              etc
                                                               used by Trainer-Consultants to train DWSTs

  In addition, MoW has developed a communication strategy and materials to disseminate basic information on the programme
  and how communities can participate. This will include a basic flier in Kiswahili on WSDP and NAWAPO 2002, dissemination of
  information to district radio and television stations.    The communication strategy is designed to minimise community
  expectations and overcome the ‘free water’ mentality, and promote a sense of community initiative, ownership, and
  responsibility.

           Table 23: Outline of LGA and Community Levels Training Programme                                                             Formatted: Font: Bold
                                                                                                                                        Formatted: Font: Bold
                                                                                                                                        Formatted: Font: Bold, Font color: Auto




                                      Table 15 Outline of LGA and Community Levels Training Programme
Trainees                 Programme /       Training Topics                                                               Duration
                         Phase
Watsan and               Planning                                                                                        1-2 days
                                           Community Ownership & Management. Watsan tasks. Organisation and meetings skills. Facilities &
Water User                                 Management Plan. Technical options, service levels, and siting. Hygiene & Sanitation & AIDS 1.
Groups                                     Gender 1.
                                            Raising and Managing Funds 1 (fund-raising for commitment fees).
                         Implementation                                                                                  1-2 days
                                           Review and problem solving. Forming Water User Groups. Supervising construction. Quality
                                           control.
                                           Raising & Managing Funds 2 (O&M Fund – detailed discussion on how to raise O&M funds).
                                            Gender 2. Hygiene & Sanitation & AIDS 2
                                           Monitoring. Action plan.




                                                                  47
                                       Table 15 Outline of LGA and Community Levels Training Programme
Trainees                Programme /         Training Topics                                                                    Duration
                        Phase
                        Post                Review and problem solving. Maintenance of new facilities – caretaker              1-2 days
                        Construction        inspection & maintenance, spare parts, and warranty.
                        Follow-up/ O&M Raising & managing money 3 (O&M Fund – including buying spare parts).
                                            Hygiene, Sanitation, & AIDS 3.
                                            Meetings skills.
CORPS                   Participatory       Practical skills in facilitating discussions and action planning on hygiene,       2-3 days
                        H&S,                sanitation, and HIV//AIDS.
                         & AIDS 1           Demonstration and practice in using tools and facilitating discussion.
                        Participatory       Review of field experience. More practice in using tools. How to form sanitation   2-3 days
                        H&S,                clubs and promote
                         & AIDS 2            sanitation.
FSPs and                Planning            WSDP Goals & Strategies. Community Project Cycle. Players and Roles.               5 days
TSPs                                        Facilitation Skills.
                                            Watsan– Formation and Training. Participatory Planning Process and FMP
                                            Format.
                                            Technical Options, Service Levels, and Siting. Raising and Managing Money 1
                                            Hygiene, Sanitation, &
                                            HIV/AIDS 1. Gender & Water 1. O&M Issues. Work Planning and Report
                                            Writing.
                        Construction        Watsan Training and Strengthening. Construction technical issues. Raising and      3-4 days
                                            managing funds 2. Hygiene,
                                             Sanitation, and HIV/AIDS 2. Gender and Water 2.
                        O&M                 Watsan Training and Strengthening. O&M – how to facilitate community               3-4 days
                                            management. Raising and
                                            Managing funds 3.
                                            Record-keeping. Hygiene, Sanitation, and HIV/AIDS 3.
DWST                    DWST                WSDP Goals & Strategies. LGA & Community Programme Cycles. Players &               5 days
                        Introductory        Roles. Watsan Formation
                                            Participatory Planning & FMP. Vetting applications and FMPs. Promotion and
                                            Community Selection.
                                            Supervision and Monitoring of Service Providers. District Water and Sanitation
                                            Planning.
                        Monitoring and      Coordination & Supervision of Service Providers. Supervision of Contractors.       3 days
                         Supervision        Work Planning and Reporting. Different types of W&S systems and W&S
                                            guidelines
                        Procurement and Identification & registration of contractors; preparation and evaluation of bids;      5 days
                        Contract            contract award & negotiation;
                        Management           monitoring & supervision; financial administration
D/Council               Introduction to     Outline of WSDP, Roles of the LGA and Other Players, Project Cycle,                1-2 days
members                  WSDP               Community Applications and
                                             Selection, FMPs and Appraisal. Service Providers and contracting.
DC Field                Introduction to     Outline of WSDP Roles of field workers and other Players, Field Workers Project    2 days
Staff                   WSDP                Cycle, Community
                                            Participation and Selection Procedures
                        Follow-up           Tasks of Service Providers. Monitoring - data collection and report writing.       2 days
                        Support to          O&M, fee collection and
                        communities          book keeping. HIV/AIDS. Community mobilisation & participatory planning
                                            methodologies
                                                                                                                                        Formatted: Font color: Auto


           5.3   Urban Water Supply and Sewerage



                                                                48
5.3.1        Training for UWSA Staff

Training is usually required as a result of either (i) the re-deployment/transfer of workers; (ii) the launch of new activities;
or (iii) the introduction of new techniques/technologies.
    (i)          The manpower review for each Authority will identify staff that can be re-skilled and re-deployed within
                 each UWSA. The review will also identify any training needs associated with new activities to be
                 undertaken by UWSAs, e.g. public relations, debt collection.
    (ii)         Further training needs will be dictated by the introduction of new techniques and technologies, such as
                 demand management, leak detection and computerisation.
    (iii)        It will be necessary to assess the needs in individual UWSAs depending on the development options
                 selected for each Authority.



5.3.2        Outsourcing and Private Sector Participation


Private Sector Participation comes in many forms: concession, lease, management contracts and service contracts with
each form being appropriate to a particular set of circumstances. Concessions are appropriate for situations in which
there is a need for significant infrastructure investments and the financial resources of the private sector are harnessed
to replace or supplement investments by central government. However, until when there is a significant change in the
attitude of the private sector to investing in the water sector, central government will continue to be the main source or
channel for investment funds. Once the larger Authorities have caught up with the backlog of under-investment, the
efficiencies of the private sector could be captured through the tendering of management contracts.
 Outsourcing shall take account of the the following:
    (i)          UWSAs who still operate kiosks with their own staff should appoint private operators as soon as possible.
    (ii)         Where no private operator is interested, the running of the kiosk should be handed over to the community.
                 The local authority should be involved in setting up of water user groups for community operated kiosks.
    (iii)        UWSAs should not operate kiosks or standpipes as a social service and using their own staff as this will
                 damage their financial viability.
    (iv)         UWSAs should look at possibility to operate them through community groups or private individuals, and
                 where possible, the selling of water can be combined with other activities.
    (v)          UWSAs that have contracted out security services and others should explore the cost savings that can be
                 achieved by competitively tendering security services.
    (vi)         In order to attract private sector investment in sewerage collection, all cesspit emptier are allowed to
                 discharge at sewage treatment facilities FREE of charge
    (vii)        Industries are should construct their pre –treatment facilities for waste water resulting from the processes
                 and be charged for the quantity of waste water and strength of effluent discharged into the sewerage
                 system/cesspit emptier
    (viii)       UWSAs should adopt a case by case approach to contracting out non-core services and apply business
                 decision making principles to each situation. Only when cost savings or efficiencies can be reliably
                 expected should services be out-sourced.
    (ix)         One potential method of outsourcing is the leasing of plant and vehicles. At present, the leasing sector is
                 under-developed in the country, but in future, it be an attractive option for Authorities which need to replace
                 ageing plant or equipment or expand their vehicle fleet.
    (x)          Outsourcing need not be restricted to use of the private sector. Authorities could carry out services for
                 each other to maximise utilisation of resources.


                                                               49
Simplified sewers should be applied in places where residents have already constructed septic tanks and informal
settlements with congested housing. Conventional sewers should be applied in places where there are no existing septic
tanks or septic tank creates inconveniences. e.g. where plots are small or centre of the town.
UWSAs can out-source services some of which are shown in the table below.

                   Table 1624: Outsourcing Services

 Technical:                                                                   Management/Administration                            Formatted Table
     maintenance (vehicles, pumps, electrical equipment)                            security/watchmen
     water testing                                                                  grounds/building maintenance
     pump station operation                                                         payroll administration
                                                                                     legal services
     pipeline repairs
                                                                                     recruitment
     meter repairs
                                                                                     training
     new connections/meter installation                                             management information systems
     engineering design
     construction
 Financial                                                                    Commercial
           internal/external audit                                                   meter reading & billing
           preparation of accounts                                                   billing & collection
           bookkeeping                                                            debt collection
           vehicle/plant leasing                                                  public relations
           banking services                                                          customer surveys/market research
                                                                                     willingness to pay surveys
                                                                                  tariff studies
                                                                                                                                   Formatted: Font color: Auto


5.3.3      Support to Private Sector Service Providers

The long-term objective of support to the private sector and NGOs is to ensure that there is a competitive and efficient
private sector available at the LGA level to provide quality and timely goods, works and services to communities.

An objective of the WSDP is to increase the number of service providers and ensure the quality and competitiveness of
their work. This will be done through training and also through a) providing logistical support and b) simplifying
procedures to encourage the participation of small-scale service providers.

Training is usually required as a result of either (i) the re-deployment/transfer of workers; (ii) the launch of new activities;
or (iii) the introduction of new techniques/technologies.
    (iv)       The manpower review for each implementing agency will identify staff that can be re-skilled and re-
               deployed within each agency. The review will also identify any training needs associated with new
               activities to be undertaken by the agencies.
    (v)        Further training needs will be dictated by the introduction of new techniques and technologies, such as
               demand management, leak detection and computerisation.
    (vi)       It will be necessary to assess the needs in individual agencies, depending on the development options
               selected for each agency.


    Potential training areas include those shown in the table below.
    :
        Table 1725: Potential training areas




                                                              50
                                                                                                                                Formatted Table
           Technical                                                      Management/Administration
                    leak detection & UFW control                                   general management skills
               maintenance management                                              personnel management
                                                                                   administration
                       water treatment & water quality testing                     report writing
                       project management
                                                                           computer skills
                                                                           procurement management
           Financial                                                      Commercial
                  bookkeeping                                                      customer care
                management accounting                                             public relations
                  preparation of accounts                                       demand management
                  auditing                                                         social marketing
                   preparation of asset registers & calculation of             debt collection
                     depreciation                                               tariff setting
                   cost benefit analysis


5.3.4       Partnering/Twinning

The National Water Sector Development Strategy for water supply and sanitation envisages ‘clustering’ of Water Supply
and Sanitation Authorities. Clusters, will be formed with a view to creating a sufficiently large customer base to attract
private sector interest in management contracts or leases.
    (i)         UWSAs/WSSAs management teams should arrange regularly meetings to discuss issues of common
                interests. Such informal groupings will be developed where the authorities see benefits and advantages.
    (ii)        The immediate benefits are seen in the twinning or partnering of poorly performing authorities with well
                managed authorities – with both parties convinced of the benefits which they are likely to gain. The benefits
                to poor performers are easy to assess and
                some are shown in the box below. The benefits                   Benefits of Twinning
                to well managed authorities are more difficult to  exposure to more efficient management
                gauge, but could include the opportunity to try  experience of new technologies
                out new techniques on a pilot basis with a  advice on overcoming problems
                smaller customer base than available in their  exchange of ideas and experiences
                own authority and training opportunities.          reports on failed initiatives
    (iii)       Twinning will only be successful if both parties  access to skilled staff
                are committed and are willing to exchange
                ideas and experiences.
                                                                                                                                Formatted: Font color: Auto


5.3.5       Equipment and Retooling

Training in the use of equipment/tools, education of staff on the importance of accurate use of such equipment at all levels will be
emphasized. Databases will be installed for staff management, operational and monitoring aspects, procurement and finance.


5.4 Manpower and Staffing


The Authorities will be given greater freedom in how they are structured and managed and for the Regulators (MoW &
EWURA) to restrict their impact on the day to day management of the authorities. The Memorandum of Understanding,



                                                                 51
which each Authority will prepare as part of the process of being established as a corporate body should set out
objectives and obligations for the Authority but should not stipulate the organisational structure or management
procedures to be adopted by the Authority. Each Authority should be free to develop and adopt the management
structure and organisational procedures they consider appropriate to their situation.

All UWSAs, LGA’s, EAs and BWOs inherited staff that were operating the services transferred to the entities. Although
many UWSAs, particularly those in category (a) have been successful in re-skilling some of the inherited technical staff,
the Authorities still do not have the manpower resources required to operate commercially. The situation is the same for
BWOs and EAs.

To overcome this all UWSAs have reviewed their manpower needs using the steps in the diagram, Figure …., below.
EAs and BWOs should adopt the same framework for identifying staffing needs, and in developing and implementing
recruitment and training plans.
                                                                                                                                         Formatted: Font color: Auto




Figure 41: Manpower Planning

                                                                                                                                         Formatted: Font color: Auto
 Analyse functions           Analyse             Determine          Assess capacity              Determine             Develop and
 by breaking down          activities by        numbers and           of existing           recruitment and/or          implement
   into separate         breaking down            skills and       workforce to meet        training required to       recruitment
      activities          into separate          experience          numbers and             meet deficiencies         and training
                              tasks           required to carry       skills levels                                        plan
                                                  out tasks




                                                      Manpower Planning


Technical manpower and staffing at LGAs will be done by LGAs themselves, but will be done based on guidelines on
manning levels prepared and updated by the MoW as and when necessary.

Manning levels
Each UWSAs, EAs and BWOs Boards and LGAs shall cause to be prepared optimal manning levels, as stipulated in
their individual MoU, a copy of which shall be submitted to the MoW. Manning levels shall be approved by the
appropriate authorities, and should be based on optimal requirements. In order to achieve best possible manning levels
the entities shall optimize staff productivity, outsource some of its activities to the private sector and consider the possibility of
automatic operations and computerization.

Scheme of Service and incentives
Every entity shall cause to be prepared, approve and implement a scheme of service of the entity, and will have their
schemes of service approved by the MoW/respective Boards. Each entity shall put in place incentive schemes for their staff.


5.5       Ministry of Water and Executive Agencies

At national level, the MoW is the lead agency for the WSDP. It manages the Programme in close consultation with the
Ministries of Finance, and all other key line Ministries.




                                                                  52
Training for MoW Staff

Special arrangements will be made to re-orient and train MoW staff to their new roles in the restructured WRM, RWSS
and UWSS, and related to job functions. Training needs will be assessed on the basis of job appraisal (using objective
performance indicators). MoW will develop a staff training plan based on the job appraisals. These orientations and
training sessions will:
      Deepen their understanding of programme objectives, strategies, and approaches.                                  Formatted: Indent: Left: 0.25", Bulleted +
                                                                                                                         Level: 1 + Aligned at: 0" + Tab after: 0.25" +
      Clarify their own roles and the roles of and relationships with other stakeholders at all levels.                Indent at: 0.25", Tab stops: 0.5", List tab +
                                                                                                                         Not at 0.25"
      Develop skills/commitment for their new role in monitoring, facilitation and technical advisors.
      Upgrade their skills in procurement, contract management (including preparation and negotiation), financial
          management, Monitoring and Evaluation, data processing and storage, and reporting.
      Expand their skills in team-building and participatory water resources management

The Executive agencies will be oriented to their new roles and learn skills necessary to make them autonomous.
Training will include procurement procedure and business and financial management.




                                                         53
6.       GUIDELINES ON PROCUREMENT FRAMEWORK

The procurement framework in this section describes the uniform procedures and the established controls for the              Formatted: Font color: Auto
procurement of civil works, goods, consultancyand consultancy and non-consultancy services associated with activities        Formatted: Right: -0.02"
to be implemented under the programme. Procurement activities involved in the WSDP are to be undertaken in
accordance with new Public Procurement Act (2004). MoW and other implementing agencies, and ultimately the user
communities, should acquire the right quantity and quality of goods, works and services, at the right time, from the right
source, and, at a competitive price.


In order to guide procurement processes during implementation of the WSDP, a Procurement Manual has been                     Formatted: Font: Arial Narrow, 11 pt
prepared. The Procurement Manual does not replace the Public Procurement Act 2004 and the Public Regulations 2005,           Formatted: Right: -0.02"
but rather it consolidates and compacts the principles advocated by the Act and the Regulations. It is an attempt to
identify specific choices of elements from the Act and the Regulations that will be specifically applicable for the
programme procurement.

The manual, rather it establishes fundamental principles (public interest, value for money, appropriate public               Formatted: Font color: Auto
control/ownership, accountability and transparency, fairness & efficiency) which provides an overview of the
programme’s procurement management arrangement under the following sub-sections:
 General Procurement Policies and Regulations                                                                               Formatted: Bullets and Numbering
 Implementation Arrangements
 Scope of Procurement
 Procurement Notices
 Procurement Plans
 Procurement Methods and Thresholds
 Procurement Reporting and Record Keeping
 Oversight and Monitoring of Procurement Process
 Procurement Audits
Misprocurement
                                                                                                                             Formatted: Font: Arial Narrow, 11 pt
The manual contains detailed operating guidelines that are to be followed when executing procurement functions. It
provides guidance to procurement processes aiming to achieve consistency in procurement operations by all
implementing agencies. The procurement procedures detailed in this manual should guide various procuring entities in
all matters related to programme procurement activities including preparation, evaluation, award, contract management
and record keeping. The manual covers procurement of works, goods and non-consultant services as well as selection
and employment of consultants. The Manual articulates succinctly the uniform procedures and established controls for
the procurement cycle to ensure that receipt of and payment for works, goods, and services carried out under the
programme is done in a manner that satisfies all stakeholders.                                                               Formatted: Font: Arial Narrow, 11 pt, Font
                                                                                                                             color: Auto
Procurement activities under the WSDP shall be carried out by the respective procuring entity. The procuring entities for    Formatted: Font: Arial Narrow, 11 pt
WSDP activities shall include:

        Ministry of Water Tender Board;                                                                                     Formatted: Indent: Left: 0.25", Hanging:
         Urban Water Supply and Sewerage Authority Tender Boards;                                                            0.75", Bulleted + Level: 1 + Aligned at: 0.25"
                                                                                                                             + Tab after: 0.5" + Indent at: 0.5"
           (One for each UWSA);
                                                                                                                             Formatted: Bullets and Numbering
        Water Basin Water Office Tender Boards (to be established, one for each WBWO);
        Regional Tender Boards (one for each region);                                                                       Formatted: Font: Arial Narrow, 11 pt

        Local Government Tender Boards (one for each LGA); and                                                              Formatted: Font: Arial Narrow, 11 pt
        Executive agencies tender Boards (one for each EA)




                                                           54
The procuring entities are required to use the Procurement Manual and whenever possible they should make reference
to the original Public Procurement Act 2004 and the Public Regulations 2005 for procurement of works, goods and
consultancy and non-consultant services. as well as selection and employment of consultants.                               Formatted: Font color: Auto


This Framework is not a procurement manual, rather it establishes fundamental principles (public interest, value for       Formatted: Font color: Auto, Highlight
money, appropriate public control/ownership, accountability and transparency, fairness & efficiency) which provides an
overview of the programme’s procurement management arrangement under the following sub-sections:
General Procurement Policies and Regulations
Implementation Arrangements
Scope of Procurement
Procurement Notices
Procurement Plans
Procurement Methods and Thresholds
Procurement Reporting and Record Keeping
Oversight and Monitoring of Procurement Process
Procurement Audits
 Misprocurement                                                                                                           Formatted: Highlight
                                                                                                                           Formatted: Font color: Auto
6.1       General Procurement Policies and Guidelines

Procurement of works, goods, non-consultancy services, and consultant services under the WSDP will be done in              Formatted: Font color: Auto
accordance with the Public Procurement Act (PPA) No 21 of 2004 and associated Regulations. The PPA (2004) became
effective on February 8, 2005, is supplemented by Regulations published by the Minister responsible for Finance in
accordance with Section 88 of the Act, and these became effective on April 15, 2005. In accordance with this Act,
procurement should be conducted following procedures outlined in the Public Procurement (goods, works, non-
consultant services and disposal of Public Assets by Tender) Regulations, 2005, Public Procurement (Selection and
Employment of Consultancy Services) Regulations, 2005 and any other relevant regulations, directives and circulars
issued by the Ministry of Finance.

Procurement Regulations and Procedures for the WSDP
                                                                                                                           Formatted: Font color: Auto
     All procurement of works, goods, consultancy and non-consultancy services for WSDP will be done in compliance
      with the PPA, 2004 and the Public Procurement (goods, works, non-consultant services and disposal of Public
      Assets by Tender) Regulations, 2005 and Public Procurement (Selection and Employment of Consultancy)
      Regulations, 2005. Respective Accounting Officers or Chief Executives, Tender Boards and Procurement
      Management Units will be the overall responsible body for the general administration of the procurement process.

     Selection and employment of consultants, procurement of works and goods in the WSDP will be carried out in
      accordance with guidelines and Standard Tender Documents (STDs) already prepared by the Public Procurement
      Regulatory Authority (PPRA) for works and goods under National Competitive Bidding (NCB) and Standard
      Evaluation Forms (SEFs) forms should be used where applicable. Minimum changes to STDs acceptable to PPA,
      may be introduced only through tender or contract data sheets or through special conditions of contract and not by
      introducing changes in the standard documents.

     For procurement of smaller works, goods, consultancy and non-consultancy services and other types of
      procurement are as specified in the PPA, 2004, Public Procurement (goods, works, non-consultant services and
      disposal of Public Assets by Tender) Regulations and Public Procurement (Selection and Employment of
      Consultancy) Regulations, 2005 will be used.

     All of the Standard Documents are readily available to the participating stakeholders at the Public Procurement
      Regulatory Authority’s (PPRA) Website (www.ppra.go.tz).                                                              Formatted: Font color: Auto

     All procuring entities should make special efforts to market the business opportunities under the programme to a     Formatted: Font color: Auto
      wide range of private sector, NGOs, CSOs, CBOs and individual consultants. This should be made via public notice
      boards, print media, websites of who?, and UN Development Business and dgMarket on-line version for ICB.


                                                           55
       In all cases, contracts should be awarded to bidders, who are deemed to be the lowest evaluated bidder, according
        to the criteria specified in the tender documents.

        6.2      Implementation arrangements

Each implementing agency, namely, MoW, UWSAs, BWOs, EAs and LGAs will be considered as a procuring entity and                   Formatted: Font color: Auto
will be responsible for carrying out procurement of goods, works, consultancy services and non-consulting services. In
order that procurement to be carried out in accordance with the law, each procuring entity must have its tender board, a
procurement management unit (PMU), and user department should have qualified personnel to provide technical inputs
in the entire procurement process. They will be responsible for all activities as stipulated in the Public Procurement Act,
2004 under sections 30, 35 and 36 such as:

(iii)         User Department

       Prepare technical specifications and designs
       Prepare terms of reference for selection of consultants
       Participate in evaluation of tender and proposals
       Undertake contract administration and supervision accordingly
       Prepare work plan and budget based on procurement plans

(ii) Procurement Management Units

       Manage all procurement and disposal by tender activities of the procuring entity except adjudication and award of
        contract
       Support the functions and implement decisions of the tender boards
       Act as a secretariat to the tender board
       Prepare tender documents, advertisement and contract documents
       Provide advice to user department regarding contract administration and supervision
       Keep a reasonable filing and record keeping system
       Keep a contract register

(i) Tender Boards

       Adjudication of recommendation from PMU and award of contracts
       Review all applications for variations, addenda or amendments to ongoing contracts
       Approving tendering and contract
       Ensure compliance with Public Procurement Act, 2004

As part of the WSDP capacity building strategy, Tender Boards Members, PMUs members and staff from the
department will be given training in procurement and contract managements.

6.3           Scope of Procurement
                                                                                                                                Formatted: Font color: Auto
Procurement under the WSDP involves the following:

(i)      Works: (a) Contractual services for projects will mainly consist of borehole and hand-dug well construction, water    Formatted: Indent: Left: 0", Hanging: 0.39",
                                                                                                                                Numbered + Level: 1 + Numbering Style: i, ii,
          supply and distribution systems, protection of springs, household water catchment facilities and latrines, (b)        iii, … + Start at: 1 + Alignment: Left + Aligned
          Construction and rehabilitation of offices, Support to irrigation schemes and Network construction and                at: 0.25" + Tab after: 0.75" + Indent at:
          rehabilitation, (c) Improvement and rehabilitation of existing water supply systems (intakes, treatment facilities,   0.75"
          pumping and distribution networks) as well as sewerage systems, extension of networks.
(ii)     Goods: This will consist of limited number of vehicles, equipment (including pumping equipment, and laboratory
          equipment) and office supplies. MoW and other implementing agencies will package contracts in a rational
          manner for ICB or NCB procurement. The MoW annual work plan will specify the procurement plan and budget


                                                              56
        for goods. UWSAs, BWOs, EAs and LGAs, would also procure a limited amount of goods as specified in their
        annual work plan to be approved by MoW.

(iii) Selection and Employment of Consulting Services: Consulting services to be procured under the programme                 Formatted: Indent: Left: 0", Hanging: 0.38",
                                                                                                                               Numbered + Level: 1 + Numbering Style: i, ii,
       include: engineering design and supervision of infrastructure works (water supply and sanitation works, office and      iii, … + Start at: 1 + Alignment: Left + Aligned
       laboratory buildings) – consultancy for provision of technical services by the Technical Service Provider (TSPs),       at: 0.25" + Tab after: 0.75" + Indent at:
       audits, studies and facilitation services by the Facilitation Service Providers (FSPs).                                 0.75", Tab stops: Not at 0.75"



(iv) Selection and Employment of Non-Consulting Services: Non-consulting services to be procured under the                    Formatted: Indent: Left: 0", Hanging: 0.38",
                                                                                                                               Numbered + Level: 1 + Numbering Style: i, ii,
      programme include: venues for workshops and training, publication of study reports service providers for                 iii, … + Start at: 1 + Alignment: Left + Aligned
      maintenance of office equipment, vehicles, etc. which will be selected on the basis of at least five quotations.         at: 0.25" + Tab after: 0.75" + Indent at:
                                                                                                                               0.75", Tab stops: Not at 0.75"
6.4       Procurement Notices
                                                                                                                               Formatted: Font color: Auto

     A General Procurement Notice (GPN) will be published by the Tender Boards of the MoW, UWSAs, BWOs, LGAs,
      or UN Development Business and dgMarket and in a daily national newspaper of wide circulation.
     Specific Procurement Notices (SPNs) will be required for consultant services, goods and works contracts to be
      procured under ICB and NCB All ICB contracts and consultancy services of value greater than USD200,000
      equivalent per contract will be posted in the UNDB and dgMarket on-line only
     Specific notices will also be posted at the MoW, UWSAs, BWOs, EAs and LGAs notice boards
     A “Promotional Procurement Notice (PPN)” will be published annually in national and local newspapers by MoW to
      promote business opportunities to local contractors and suppliers. The PPN should clearly indicate the likely dates at
      which bid documents or Request for Proposal documents would be made available.

6.5       Procurement Plans
                                                                                                                               Formatted: Font color: Auto
A global procurement plan covering the entire WSDP and a specific procurement plan for the first 18 months of
implementation will be prepared by the procuring entities and will include:
     Contract packaging,                                                                                                      Formatted: Indent: Left: 0.26", Hanging:
                                                                                                                               0.21", Bulleted + Level: 1 + Aligned at: 0" +
     Estimated cost;                                                                                                          Tab after: 0.25" + Indent at: 0.25", Tab
                                                                                                                               stops: Not at 0.25"
     Type of contract;
     Procurement method
     Procurement schedule; and
     A responsible procuring entity.

The MoW will consolidate the first 18 procurement plan and subsequent updates and submit to the Steering Committee
for approval.

Each implementing agency will be required to prepare its procurement plan based on the rolling three-year work plan
and submit it to the Directorate of Policy and Planning-MoW for consolidation. The DPP-MoW will submit the
consolidated annual procurement plans to the SWG-Finance for approval. The deadline for submission of annual
procurement plans by all implementing entities is set at March 31 of each year whereas the deadline for approval by the
SWG-Finance is set at June 30 of each year.

DPP-MoW will assist in the process of updating of the procurement plans and preparation of the specific procurement            Formatted: Font color: Auto
plans for the particular year.

6.6       Procurement Procedures

The following procurement methods will be used to procure various goods and works and non-consultancy services
required for implementation of the program depending on the type, nature and the thresholds of the bid.



                                                             57
         International competitive Bidding (ICB)
         National Competitive Bidding (NCB)
         Restricted Bidding (RB)                                                                                        Formatted: Font color: Auto

         Competitive Quotations (CQ)
         Single Source Procurement (SSP)

International and national competitive bidding/tendering shall be considered first before other methods of tendering.
Subject to the appropriate tender board's prior written approval, other forms of procurement may be used whenever it
can be established that this is done with due regard for transparency, economy and efficiency in the implementation of
the project.

6.7        Procurement Methods and Thresholds
                                                                                                                         Formatted: Font color: Auto
According to the Public Procurement Act (2004) and the Public Procurement Regulations (2005) there are different
methods applicable in the procurement of goods, works and services.
                                                                                                                         Formatted: Font color: Auto
The table 18: below gives thresholds of each method applicable in the procurement of goods, works and non-consultant
services. Table 19 gives types of Selection Methods for Consultant Services and the associated thresholds.




Table 1826: Thresholds for each type of Selection Method for Goods, Works
         and Non-Consultant Services5

        Method of Tendering             Goods                         Works                Non-Consultant Services       Formatted: Font color: Auto

International competitive               No limit           No limit                       No Limit                       Formatted Table

tendering
National competitive tendering          Up to Tshs         Up to Tshs 3,000,000,000       Up to Tshs 500,000,000
                                        800,000,000        (US $ 2, 400, 000)             (US $ 400, 000)
                                        (US $ 640, 000)
Restricted tendering                    Up to Tshs         Up to Tshs 1,500,000,000       Up to Tshs 200,000,000
                                        400,000,000        (US $ 1 200 000)               (US $ 160, 000)
                                        (US $ 320, 000)
Competitive quotations                  Up to Tshs         Up to Tshs 100,000,000         Up to Tshs 50,000,000
(shopping)                              80,000,000         (US $ 80, 000)                 (US $ 40 ,000)
                                        (US $ 64, 000)
Single source procurement               Up to Tshs         Up to Tshs 800,000,000         Up to Tshs 100,000,000
                                        500,000,000        (US $ 640, 000)                (US $ 80, 000)
                                        (US $ 400, 000)
Minor value procurement                 Up to Tshs         Up to Tshs 20,000,000          Up to Tshs 10,000,000
                                        10,000,000         (US $ 16, 000)                 (US $ 8, 000)
                                        (US $ 8, 000)

5
    I US $ = 1 250 Tanzania shillings


                                                          58
Source: Public Procurement (Goods, Works, Non-Consultant Services and Disposal of
        Public Assets by Tender) Regulations, 2005

Table 19:27 Types of Selection for Consultant Services6 and their Thresholds                                              Formatted: Font color: Auto
                                                                                                                          Formatted: Font color: Auto
Method of Procurement                                             Limits                                                  Formatted Table

International Competitive Selection                               No Limit
National Competitive Selection                                    Up to Tshs 1,000,000,000
                                                                  (US $ 800, 000)
Restricted Competitive Selection                                  Up to Tshs 500,000,000
                                                                  (US $ 400, 000)
Single-Source Selection                                           Up to Tshs 300,000,000
                                                                  (US $ 240, 000)
Individual Selection                                              Up to Tshs 150,000,000
                                                                  (US $ 120, 000)
Minor Value Procurement                                           Up to Tshs 7,500,000
                                                                  (US $ 6 ,000)


Source: Public Procurement (Selection and Employment of Consultants) Regulations, 2005

Misprocurement

Financing expenditures for goods, works, non-consultancy services and consultancy services, which have not been
procured in accordance with the agreed provisions/procedures stipulated in the PPA of 2004 and Procurement Plans
may course misprocurement. If a case of misprocurement occurs, each Development Partner may decide, after joint
consultation with MoF, PMO-RALG and MoW, whether or not to cancel from its respective portion of financing equivalent
to the contract amount multiplied by its percentage participation in the Water Sector Basket Fund.

6.8        Procurement Audits
                                                                                                                          Formatted: Font color: Auto
Each year, members of the DPP-MoW will appoint an independent firm to undertake periodic post supervision
assessments of procurement (procurement audit) based on an agreed plan. The audits will include both adherence to
procedures and value for money aspects and prepare a report to identify any areas of concern that may require remedial
action. To this end, the implementing entity is required to maintain copies of documentation. The independent firm’s
scope of work shall include ensuring that:

          Contracts awarded under the programme were approved by authorised personnel and adequately monitored,
           and goods/services were supplied/ completed according to the required specifications and technical standards
          Any contract variations received the necessary approvals and were fully documented
          Invoices/ fee notes received from suppliers were approved and any payments made recorded on the relevant
           contract
          Value for money was realised. The firm should comment on the reasonableness of prices
          Any deficiencies in the procurement process are flagged. The firm should recommend any improvements.

6.9        Oversight and Monitoring of Procurement Process
                                                                                                                          Formatted: Font color: Auto
The GoT’s Public Procurement Regulatory Authority (PPRA) is responsible for monitoring all procurement activities with
a view to ensuring compliance with regulations. Also, the PPRA is expected to receive and act on any complaints from

6
    I US $ = 1 250 Tanzania shillings


                                                           59
tenderers where the head of the procuring entity or of approving authority does not issue a decision within the time
specified in the Government Public Procurement regulation or the tenderer is not satisfied with the decision by the head
of procuring entity or of approving authority

6.10           Procurement Reporting and Record Keeping
                                                                                                                               Formatted: Font color: Auto
Under the WSDP, it is important to ensure continuous flow of information on all procurement activities. Periodic reports
prepared by the various WSDP implementers (Mow, UWSAs, WBOs, LGAs, EAs) shall contain the required information
to facilitate effective monitoring each implementing entity will be responsible for monitoring and recording its
procurement activities.                                                                                                        Formatted: Font color: Auto
Each implementing agency will compile its annual reports on procurements made for deliberation by the respective
Tender Boards and subsequent submission as a management report and submit it to the MoW Director ate of Policy and
Planning-MoW for consolidation. The DPP-MoW will submit the consolidated annual procurement report to the Water
Sector Thematic Working Group (WS-TWG) – Planning and SWG-Finance for approval. The Management of each
procuring entity must satisfy itself that procurement proceedings were executed in accordance with the approved action
plan and budget.

The management of each implementing agency must establish an acceptable procuring filling and record keeping of all
procurement proceedings made during the year. The Secretary to the respective Tender Boards will be responsible to
ensure that proper documentation and proceedings are followed and adhered to.

Recording of procurement activities will be computerised. Monitoring contracts shall be ensured through an expediting          Formatted: Font: Arial Narrow, 11 pt
process by:                                                                                                                    Formatted: Justified

       (i)        Opening up a computer file for each contract for procurement of goods, services or consultancy services;     Formatted: Bullets and Numbering
       (ii)       Posting all information and transactions into the contract file;                                             Formatted: Font: Arial Narrow, 11 pt
       (iii)      Send letters, e-mails and making telephone calls requesting for information on progress and as reminders;    Formatted: Font: Arial Narrow, 11 pt
       (iv)       Physical visits to contractors where this is possible;
                                                                                                                               Formatted: Font: Arial Narrow, 11 pt
       (v)        Production of progress reports for each contract under execution on quarterly basis;
       (vi)       Closing up completed contract files and assembling all records into hard copy contract documents file; and   Formatted: Font: Arial Narrow, 11 pt
       (vii)      Keep the contract file records in special well secured cabinets for audit and future reference.              Formatted: Font: Arial Narrow, 11 pt
                                                                                                                               Formatted: Font: Arial Narrow, 11 pt
All Procuring Entities shall ensure valuable Procurement documents are securely kept. These documents must be                  Formatted: Body Text Indent, Left, Numbered
controlled and accounted for from ordering, printing, receiving and recording, storing and issuing for usage and               + Level: 1 + Numbering Style: i, ii, iii, … +
                                                                                                                               Start at: 1 + Alignment: Left + Aligned at:
destruction of unwanted documents. The documents to be under strict control are:                                               0.25" + Tab after: 0.75" + Indent at: 0.75"
       (a)          Procurement Orders;                                                                                        Formatted: Bullets and Numbering
       (b)          Goods Receipt Notes;                                                                                       Formatted: Font: Arial Narrow, 11 pt
       (c)          Materials Requisition and Issue Note (MRIN);                                                               Formatted: Justified

       (d)          Materials Transfer Note; and                                                                               Formatted: Font: Arial Narrow, 11 pt

       (e)          Materials return note.                                                                                     Formatted: Indent: Left: 0.25", Hanging:
                                                                                                                               0.25", Numbered + Level: 1 + Numbering
                                                                                                                               Style: a, b, c, … + Start at: 1 + Alignment: Left
                                                                                                                               + Aligned at: 0.13" + Indent at: 0.75"
                                                                                                                               Formatted: Bullets and Numbering
                                                                                                                               Formatted: Font: Arial Narrow, 11 pt
                                                                                                                               Formatted: Font: Arial Narrow, 11 pt
                                                                                                                               Formatted: Font: Arial Narrow, 11 pt
                                                                                                                               Formatted: Font: Arial Narrow, 11 pt
                                                                                                                               Formatted: Font: Arial Narrow, 11 pt




                                                               60
7. FINANCIAL MANAGEMENT FRAMEWORK

7.1      General

The main objective of the Water Sector Development Programme (WSDP) is to develop a sound water resources
management as well as access to improved and sustained water and sanitation services for rural and urban
communities. The programme shall be implemented at different levels, starting from the Ministerial level, regional level,
Local Government Authority and Executive Agency levels. Other stakeholders, such as the private sector and Non
Governmental Organisations shall also be involved.

The programme’s accounting system will operate within the general framework of the Government accounting system,
which uses standard charts of accounts including planning, budgeting, reporting and auditing, now largely implemented
under the computerised system known as Epicor. Overall accountability in this regard rests with the Ministry of Finance
(MoF), who is mandated to issue circulars, directives and guidelines, following the Public Finance Act. No. 6. of 2001
and Public Procurement Act of 2004, with regard to all accounting and financial reporting requirements in the
Government, of which the Programme is part (under the auspices of MoW).

At Government level, the accounts will operate under the overall monitoring and technical support of the MoW. Likewise,
in the Basin Water Offices (BWOs), Executive Agencies (EAs) and Urban Water Authorities (UWSAs), the accounts will
be operated under the overall directions of the Boards. In the LGAs the accounts will be operated under the overall
direction of the District, Town, Municipal and City Councils, in line with the Local Government Authority Financial
Memorandum of 1997.

All Accounting Officers are required to provide an efficient and effective service at all times in accordance with laws,
regulations and instructions currently in place including the ones in this document. Failure to do so renders officers,
personally and pecuniary liable for the restitution of any loss incurred by the Government and may result in disciplinary
action being taken.

The accounting records, registers and reports described in this Framework are, therefore, intended to serve as primary
records for later input into the overall Government accounting system. However, there are accounting matters such as
channeling of funds- pertaining to NGOs and communities, for example - that are not part of the Government accounting
system. This framework contains guidance on these institutions as well.

This document is not an accounting manual as such, rather, it provides an overview of the programmes financial
management mechanism.

Feedback
All users of this document are requested to provide feedback on it, as well as lessons learned from experience to the
MoW. This feedback will enable the document to be periodically revised to reflect ongoing developments.

The combined effect of different sections of this Framework is to cater for the following items:
     Development of the memorandum records to capture data under appropriate headings, covering income and
       expenditure components as well as sub-commitments;
     Development of accounting policies that would assist in designating particular income or expenditure groups
       under appropriate categories, i.e., whether these items relate to all programme implementing agencies, or the
       MoW alone, whether recurrent expenditure or capital expenditure, etc.
     Design of the various accounting books, data entry vouchers and specimen formats of supporting documents
     Design of the necessary financial statements and reporting formats that would make it possible for programme
       management, beneficiary entities and other stakeholders to monitor progress of work and identify situations that
       would call for corrective measures to be taken to arrest adverse trends;
     Identification and establishment of linkages between financial flows (reported by the accounting system) and
       physical progress of the programme;




                                                           61
Mode of operations
WSDP conducts its operations in two broad categories, namely: Institutional operations and Programme operations

(i)        Institutional operations
Institutional operations are mainly the operations that sustain WSDP and its capacity to assess the needs and
requirements of beneficiaries/communities located in different locations in the country, assist by complementing
development initiatives, monitor and report on progress of the assisted programmes, and so on. The institutional
coordinating operations are carried out by MoW. The programme works at Basin Water Offices (BWOs), EAs, Urban
Water Authorities (UWSAs) and Local Government Authorities(LGAs) levels, which are otherwise concerned with day-to-
day operations.

(ii)      Programme operations
Programme operations are the activities that WSDP carries out for the benefit of targeted entity’s programmes, which
are the ultimate beneficiaries of WSDP. Earmarked areas for assistance have been categorized as follows:
 Address shortfalls in urban and rural water supply and sanitation facilities
 Improve water resources management, primarily through strengthening of Basin Water Offices (BWOs)
 Strengthen sector institutions and their capacities

7.2      Accounting Policies and Systems

This section provides an overview of the WSDP’s accounting policies and systems. WSDP accounting policies, which
are in compliance with the existing government accounting policies, are broad-based assumptions, that form the basis
for preparation of financial statements and include specific principles, bases, conventions, rules and practices adopted.
This section also describes the accounts structure and codes to be used by the WSDP.


7.2.1    Accounting standards
WSDP’s accounts are prepared in accordance with the Public Finance Act and Regulations. In particular, financial
statements must be prepared and presented in line with International Financial Reporting Standards (IFRS) WSDP’s
accounts are prepared in accordance with the Public Finance Act and Regulations. In particular, financial statements
must be prepared and presented in line with Generally Accepted Accounting Practice and instructions provided by the
Ministry of Finance.


7.2.2    Basis of Accounting
WSDP’s financial management arrangements comply with government laws and regulations. In this regard, it is worth
drawing attention to the fact that, in accordance with Regulation 53 Sub-Section (1) of the Public Finance Regulations,
WSDP’s accounts are maintained on a cash basis, i.e. transactions are recognised only when cash is received or paid.
Also, accounts are prepared on a historical cost basis.
In line with government policy, the WSDP shall follow commitment accounting. This practice allows the programme’s
management to ensure budgetary control by committing funds when a purchase order is issued.


7.2.3    Records Management
WSDP’s management must comply with all instructions issued by the Ministry of Finance with respect to preservation of
accounting records. In addition, Reference 137 Sub-Section (2) and Reference 139 Sub-Section (2) of the Public
Finance Regulations of 2001, requires that:
 The Treasury securely bundles “all receipts and payment vouchers” lodged by MoW and other institutions                    Formatted: Indent: Left: 0", Bulleted +
                                                                                                                            Level: 1 + Aligned at: 0.44" + Tab after:
 Books and records of accounts be retained for specified periods. For instance, original payment vouchers and used         0.69" + Indent at: 0.69", Tab stops: 0.25",
    cheques must be retained for a period of five years.                                                                    List tab + Not at 0.69" + 0.75"




                                                            62
7.2.4    Accounting Policies Adopted by Entities
Accounting policies and procedures used by entities (BWOs, EAs, LGAs and UWSAs) in preparing financial statements
comply with the requirements of the Public Finance Act no. 6 of 2001, the Public Proccurement Act of 2004 and
Treasury circulars derived therefrom and consistent with International Financial Reporting Standards (IFRS).
Financial period commences on 1st July and ends on 30th June. The annual accounts, which cover a period of twelve
months, are prepared using a double entry system, on a cash basis of accounting.
Accounting policies and procedures used by entities (BWOs, EAs, LGAs and UWSAs) in preparing financial statements
comply with the requirements of the Public Finance Act no. 6 of 2001, the Public Proccurement Act of 2004 and circulars
derived therefrom and consistent with NBAA accounting standards.

Accounting period commences on 1st July and ends on 30th June. The annual accounts, which cover a period of twelve
months, are prepared using a double entry system, on an accrual basis. This basis requires that all revenues and costs
are matched with the period in which they are earned or incurred, irrespective of whether they have been paid or not,
subject to the operation of the prudence principle. The observance of the accruals concept implies that the cash account
must be adjusted for stock, works in progress, debtors, prepayments, creditors, receipts in advance and capital
expenditure and receipts.

7.2.5 Books of accounts maintained by entities
For purposes of the WSDP; BWOs, EAs, UWSAs and LGAs are required to maintain the following main books of
accounts:
         Control cash book                                                                                                Formatted: Indent: Left: 0.5", Bulleted +
                                                                                                                           Level: 1 + Aligned at: 0.69" + Tab after:
        Subsidiary ledger for each account                                                                                 0.94" + Indent at: 0.94", Tab stops: 0.75",
         General ledger, summarising the entries in subsidiary ledgers.                                                   List tab + Not at 0.94"
                                                                                                                           Formatted: Indent: Left: 0.5", Bulleted +
In addition to the above books of accounts, the following should also be maintained:                                       Level: 1 + Aligned at: 0.69" + Tab after:
                                                                                                                           0.94" + Indent at: 0.94", Tab stops: 0.75",
           Debtors’ and creditors’ personal accounts specifying particulars of items supplied and providing reference     List tab + Not at 0.94"
               to transaction documents                                                                                    Formatted: Indent: Left: 0.5", Bulleted +
           Control accounts for each class of debtor or creditor                                                          Level: 1 + Aligned at: 0.69" + Tab after:
           Stores account which is debited with purchases and credited with issues                                        0.94" + Indent at: 0.94", Tab stops: Not at
                                                                                                                           0.94"
           Fixed asset register showing all the authority’s capital assets and the ways they have been financed.

7.2.6 Use of IFMS
Accounting Circular No. 1 of 1999/2000, requires all GoT transactions be processed on the Integrated Financial
Management System (IFMS). It is in this context that the WSDP uses the following IFMS modules: Budget Input – Active
Planner; Exchequer Releases and Warrant Issue; Asset Management; Procurement/Commitment and Expenditure
Control; Payment of Creditors/Bank Reconciliation; Development Expenditure Accounting; General Ledger; and
Management and Financial Reporting.


7.2.7    Coding of Documents
This sub-section briefly describes the accounts structure and codes to record transactions and generate reports.

The MoF circulates a list of account codes to all WSDP implementation entities. Staff authorising and issuing accounting
records (input forms) must ensure that the correct code is entered against each transaction.

7.2.8    Chart of Accounts
The WSDP shall use the government’s chart of accounts, which is an organised list of all Government’s General Ledger
Accounts, that:
     Reflects financial responsibility and accountability                                                                 Formatted: Indent: Left: 0.25", Bulleted +
                                                                                                                           Level: 3 + Aligned at: 1.25" + Tab after: 1.5"
        Enables sectoral, geographical and economic analysis of budgets                                                   + Indent at: 1.5", Tab stops: Not at 1.5"



                                                          63
         Introduces cost centre budgeting and accounting and provides management                  of WSDP at decentralized
          level
         Provides a basis for financial data collection, classification, recording and summarising accounting information
          for statutory reporting
         Facilitates the integration of WSDP’s recurrent and development activities and provides the separation
          between recurrent and development expenditure
         Enables direct comparison of WSDP budgets, commitments and actual transactions and                     facilitates
          measurement of resources
         Facilitates the production of consistent financial information at different levels of disaggregation
          Is in accordance with the International Monetary Fund – Government Finance Statistics (GFS) Model.

 At the central level, the chart of accounts structure comprises four segments and 28 digits. The coding system is flexible.
 Codes can be added or deleted without affecting the accounting structure. However any amendments to the accounts
 codes requires the approval of the MoF.

 It is noteworthy that segment 1 of the chart of accounts enables users to distinguish between government and                  Formatted: Space After: 6 pt
 development partner funded contributions and associated expenditure.To allow MoW to generate financial reports for the
 WSDP at sub-programme level, the IFMS budget and general ledger modules will have to be customized. In particular:
  Reference codes will have to be incorporated into two modules - budget and general ledger. Codes enable reports to be        Formatted: Bullets and Numbering
 generated which facilitate comparisons to be made between actual and budgeted expenditure
  IFMS will have to be customised to facilitate commitment control at a sub-programme level.

 Table 28 20 : Chart of Accounts Structure

Segment 1                           Segment 2                     Segment 3                         Segment 4
12 digit code                       6 digit code                  4 digit code                      6 digit code
Identifies vote, sub-vote,          Specifies performance         Specifies geographic location     Specifies Government
programme and cost centre           data                                                            Finance Statistics (GFS)
                                                                                                    codes
MoW, Warrant Holder, WSDP,          Objectives,                   Entities (BWOs, EAs, UWSAs,       Subjective analysis code
Financier (basket fund)             target/outputs & activities   LGAs)


 7.2.9 IFMS operators
 IFMS Operators are accounts staff in the MoW and implementing agencies (LGAs, BWOs, EAs, UWSAs), who are
 responsible for entering transactions onto the IFMS. IFMS Operators must capture timely, accurate and complete
 transactions onto the system and must ensure that:
       All transaction data is entered into the system on a daily basis. No backlogs should be allowed to build up.           Formatted: Indent: Left: 0.25", Bulleted +
                                                                                                                               Level: 3 + Aligned at: 1.25" + Tab after: 1.5"
          Accounts should be balanced daily;                                                                                   + Indent at: 1.5", Tab stops: Not at 1.5"
       Bank reconciliations are undertaken, at the very least, on a monthly basis;
       They must never approve any transactions. It is a disciplinary offence for an Operator to do so. Operators
          should refuse any instruction to approve any transaction, regardless of who issues the instruction, as this
          represents a serious breach of internal control;
                            Databases are backed up on a daily basis and stored securely and that the computer                Formatted: Indent: Left: 0.25", Bulleted +
                                                                                                                               Level: 3 + Aligned at: 1.25" + Tab after: 1.5"
          equipment, media and security documentation are properly secured;                                                    + Indent at: 1.5"
                            The cleaning and maintenance schedule for the equipment is strictly adhered to and that all
          faults are reported immediately to the maintenance provider;
       Ready stock of consumables is available at all times and that the computer telephone connection is used solely         Formatted: Indent: Left: 0.25", Bulleted +
          for accessing the Treasury Server.                                                                                   Level: 3 + Aligned at: 1.25" + Tab after: 1.5"
                                                                                                                               + Indent at: 1.5", Tab stops: Not at 1.5"




                                                             64
7.3     Financial Forecasting, Planning and Budgeting

The purpose of this section is to describe the planning and budgetary procedures that shall be followed in implementing
the programme. It also provides the linkage between the WSDP planning and budgeting, and the Government Public
Expenditure Review (PER) process.

The MTEF procedure in this section should be used in conjunction with budget guidelines, circulars and instructions
issued by the MoF every year and the entities planning guidelines. The WSDP planning and budgeting format uses the
existing government system. In order to produce accurate, timely and relevant information there are pre-designed forms
issued by the MoF annually. The types of reporting formarts are presented in Annex B of this document.

7.3.1     Financial Forecasting
 Financial forecasting is carried out at several levels. It begins, at least conceptually, from the lowest level – the
 beneficiary/user community level. On the basis of those plans - as and when approved at such levels- the forecasts
 build up to the global figures and likewise till programme-wide set of forecast at the macro level – MoW. It is on the
 basis of the global numbers that the whole Programme and its sub-programmes are approved as a basis for the
 WSDP financial status. Though it is impossible to have precise numbers at any level, the effort made to arrive at
 precise numbers is the essence of the viability of the programme and its subsequent sustainability. Stakeholders at all
 levels should take this forecasting exercise as the essence of a successful WSDP.

7.3.2 Planning and budgeting procedures at national level
The planning of WSDP activities at the MoW level is coordinated by the Directorate of Policy and Planning (DPP) and
follows the established procedures for Government planning and budgeting. The key steps in planning and budgeting for
WSDP include:
     A PER, review of sector strategic plan and review and amendment of MoW strategic plans developed as part of
        the Performance Management System (PMS) process. MoW strategic plans must reflect the wider sector goals
        and objectives
     MoW prepare three-year work plans for WSDP
     DPP of MoW consolidates the work plans. Again, these work plans mirror MoWs individual operational plans
        under the PMS process The WS TWGorking Group Planning and Finance Committee reviews Development
        Partners’ and GoT’s commitments
     The WSDP work plan is incorporated in MoWs’ MTEFs

  It should be noted that the Programme as part of the Central Government system, and that the administration at
   lower levels, shall have their own operational budgets assembled and passed as part of the global national budget

7.3.3   Criteria for Allocation of Financial Resources

Criteria have been developed and introduced with a purpose of assuring more objective, equitable and
transparency framework for distribution of financial resources to implementing agencies, namely LGAs, BWOs,
UWSAs and EAs. They are developed based on sub-sector specific criteria and will be updated and agreed upon
by the Water Sector Working Group as and where necesary. The criteria will facilitate predictability and stability in
the financial planning and budgeting processes during implementation of the WSDP. This will be followed by a
benchmarking study which will among other things establish capacities and viability for financial autonomy of the
agencies.

(a)     Allocation of Financial Resources to Basin Water Offices

Criteria have been developed in order to assure objective, equitable and transparency distribution of resources to
all BWOs in the implementation of the WSDP. It is anticipated that allocation of financial resources based on these
criteria will also promote effectiveness, efficiency and sustainability.

The methodology used in preparing the BWOs resource allocation criteria involved cross reference to the specific
issues that need to be addressed in all Water Resources Basins. The funds allocations to the nine BWOs will
consider the following four criteria and weights:


                                                          65
Table 29: Criteria for Funds Allocation to Water Basins

  No                                      Criteria                                            Weight (%)

      1   Basin issues to be addressed                                                                    40
              Number (and intensity) of conflicts over water use                           8                               Formatted: Bullets and Numbering
              Number of Water Rights and [Wastewater] discharge permits                    12                              Formatted: Bullets and Numbering
                  (existing and planned)
              Catchment WR degradation issues to address                                   5                               Formatted: Bullets and Numbering
              Number of WR monitoring stations (existing and planned)                      10                              Formatted: Bullets and Numbering
              Number (and intensity) of trans-boundary issues to address                   5                               Formatted: Bullets and Numbering
      2   Water Governance                                                                                30
              Number of Catchment Organizations (existing and planned)                     10                              Formatted: Bullets and Numbering
              Number of Local Water User Associations - WUA (existing and                  20                              Formatted: Bullets and Numbering
                  planned)
      3   Management & Operations of BWOs
              Area (sq. km) operationally covered by BWO                                   5             10                Formatted: Bullets and Numbering
              Number of professional & support staff under BWO                             2                               Formatted: Bullets and Numbering
              Number of field offices                                                      3                               Formatted: Bullets and Numbering
      4   Equal share                                                                                     20

The above four main blocks were further divided into subcomponents each of which were assigned some score
points. The focus of the criteria is to guide resource allocation to all BWOs during implementation of the water
resources component of the WDSP in all the basins.

Identification Of Criteria

(i)       Basin issues to address (social - conflicts, economic, environmental issues)                                      Formatted: Indent: Left: 0", First line: 0",
                                                                                                                            Numbered + Level: 1 + Numbering Style: i, ii,
                                                                                                                            iii, … + Start at: 1 + Alignment: Left + Aligned
This criterion is awarded a maximum score of 40%. It is divided into 5 sub-criteria or interventional areas each of         at: 0.25" + Tab after: 0.75" + Indent at:
which is allocated some % points. The basin with many and intense issues to address will obtaining highest %                0.75", Tab stops: Not at 0.75"
points under this category of criteria.                                                                                     Formatted: Bullets and Numbering


(ii)      Water Governance (level reached & further assistance required)                                                    Formatted: Indent: Left: 0", First line: 0",
                                                                                                                            Numbered + Level: 1 + Numbering Style: i, ii,
                                                                                                                            iii, … + Start at: 1 + Alignment: Left + Aligned
This criterion is awarded a maximum score of 30%. It is divided into 2 sub-criteria or interventional areas each of         at: 0.25" + Tab after: 0.75" + Indent at:
which is allocated some % points. The basin with greater water governance issues to address according to the 2              0.75", Tab stops: 0", List tab + Not at 0.25" +
                                                                                                                             0.75"
sub-criteria will obtaining highest % points under this category of criteria.
                                                                                                                            Formatted: Bullets and Numbering
(iii)     Management and Operations of BWOs                                                                                 Formatted: Indent: Left: 0", First line: 0",
                                                                                                                            Numbered + Level: 1 + Numbering Style: i, ii,
                                                                                                                            iii, … + Start at: 1 + Alignment: Left + Aligned
This criterion is awarded a maximum score of 10%. It is divided into 3 sub-criteria or interventional areas each of         at: 0.25" + Tab after: 0.75" + Indent at:
which is allocated some % points. The basin with greatest previous assistance received according to the 3 sub-              0.75", Tab stops: Not at 0.75"
criteria will obtaining lowest % points under this category of criteria. Theses selected sub-criteria are: (i) Basin area   Formatted: Bullets and Numbering
(km) operationally covered by BWO, (ii) number of professional & staff under BWO, and (iii) number of field offices
under the BWO.

(iv)      Equal share category

A 20% of the annual financial resource would be equally shared to all BWOs irrespective of all the criteria set
above. This allocation is intended to cover recurrent costs of personal emoluments, local administrative costs,



                                                          66
basin operations including maintenance of internet web-sites, technical backstopping to local WUAs, catchment
committees, and many other related operational activities.

Basins are at different levels of capacity, have different issues to handle, etc. thus, these criteria are not the only
ones to judge the level of engagements of the BWOs, but they do reflect on key issues that can not be missed
when examining these types of operations and the associated costs.
                                                                                                                                Formatted: Font: 11.5 pt
(b)      Allocation of Resources to LGAs                                                                                        Formatted: Space After: 0 pt
Since 2004 the Government adopted a policy framework that introduced a system of formula based block grants to                  Formatted: Font color: Auto
Local Governments Authorities. The aim of the policy is to assure objective, equitable and transparent distribution
                                                                                                                                Formatted: Justified, Space After: 0 pt
of financial resources. Since then, the criteria have been developed for allocation of recurrent and development
                                                                                                                                Formatted: Font: Arial Narrow, 11.5 pt, Font
funds to WSDP implementation agencies which are LGAs, BWOs, UWSAs and EAs:                                                      color: Auto

(i)      Criteria for Recurrent Budget                                                                                          Formatted: Font: Not Bold, Italic
         The criteria for allocation of recurrent funds considers the following criteria and respective weights:                Formatted: Indent: Left: 0", Numbered +
                                                                                                                                Level: 2 + Numbering Style: i, ii, iii, … + Start
                                                                                                                                at: 1 + Alignment: Left + Aligned at: 0.75" +
         Table 30 The criteria for allocation of recurrent funds                                                                Tab after: 1.25" + Indent at: 1.25", Tab
                                                                                                                                stops: Not at 1.25"
           S/N                   Criteria                            Weight (%)                                                 Formatted: Bullets and Numbering
            1       Technology                                          55                                                      Formatted: Font: Not Bold
            2       Coverage                                            35
            3       Poverty                                             10
                                                                                                                                Formatted: Indent: Left: 0"
(ii)     Criteria for Development Budget                                                                                        Formatted: Indent: Left: 0", Numbered +
                                                                                                                                Level: 2 + Numbering Style: i, ii, iii, … + Start
                                                                                                                                at: 1 + Alignment: Left + Aligned at: 0.75" +
         The criteria for allocation of development funds has taken into consideration the following criteria and               Tab after: 1.25" + Indent at: 1.25", Tab
         respective weights:                                                                                                    stops: Not at 1.25"
                                                                                                                                Formatted: Bullets and Numbering
         Table 31 The criteria for allocation of development funds                                                              Formatted: Font: Not Bold, Italic
                                                                                                                                Formatted: Font: Bold
           S/N                 Criteria                              Weight (%)
                                                                                                                                Formatted: Font: Bold
            1       Un-served Population                                70
            2       Technology                                          30                                                      Formatted: Font: Bold


Implementing agencies will be subjected to the formula based on updated data from the various sources including                 Formatted: Justified
routine data collected by MoW, Census Population Data and surveys by the National Bureau of Statistics. The
formula for allocation of resources to LGAs has been developed and is presented in separate documents (Annex 1                  Formatted: Highlight
of the PIM).
                                                                                                                                Formatted: Indent: Left: 0", First line: 0"
(c)      Allocation of Financial Resources to Urban Water Utilities                                                             Formatted: Highlight
                                                                                                                                Formatted: Highlight
MoW will appraise each application on its own merit on set of criteria including (i) technical viability – availability of
                                                                                                                                Formatted: Indent: Left: 0", First line: 0"
source and production to support investments, quality of designs, etc. (ii) financial and economic viability – NPV/IRR, (iii)
social viability including degree of extension of services to the urban poor. The estimated cost of the preliminary system      Formatted: Font: Arial Narrow, Not Bold,
                                                                                                                                Highlight
design will be checked against affordability and willingness of customers to pay for improved service and adjusted as
necessary. Systems are to be planned so that production capacity is matched by the distribution system, service is
provided to the maximum number of people as quickly as possible and customers can benefit from economies of scale.              Formatted: Highlight


(i)        Newly Established UWSAs                                                                                              Formatted: Font: 11 pt
In the first year, simple criteria should be applied to new UWSAs in category C (68 UWSAs) in deciding eligibility for the
funding. The main criteria should be that the utility has already been declared (and gazetted) as an urban water supply
authority under the Urban Act of 1998. The small towns and district UWSAs are at different levels of development and
the focus should be on capacity building consisting of management support from the Ministry of Water so that they are
all brought at the same level. These will include recruitment of capable staff and proper training to the existing personnel.


                                                            67
Provision of Equipment should then be followed by office accommodation. The size of un-serviced population should be
used to decide which utility is eligible. The main objective is to strengthen the UWSAs and train and equip concerned
staff in appropriate management systems for delivering sustainable urban water supply services.

(ii)     Existing Category B & C UWSAs
For the current UWSAs in category B and C will receive management support from MoW including training, office
accommodation, equipment and retooling according to the un-serviced population criteria in the first year. Other criteria
to be used are that they should have a signed MoU, audited account and a Business plan. In addition they will be
evaluated based on indicators as stipulated in the MoU. Their project proposals should be evaluated based on the
standards set for meeting social, Technical and Financial standards. Also capital investments will be provided for the first
year with priority to those UWSAs which have studies in place, are able to supervise the investments and have not
received substantial donor support investments The main objective is to strengthen the UWSAs so that they meet MDG
goals and qualify to grade A and therefore be licensed by EWURA.

(iii) Existing Category A UWSAs
Category A UWSAs will receive management support from MoW including training, office accommodation, and
equipment and retooling according to the un-serviced population criteria in the first year. Other criteria to be used are
that they must have a valid license from EWURA as stipulated by law. They should have a sound business plan, audited
account and signed MoU with the MOW. Standard engineering appraisal will be done and this includes (i) technical
viability i.e. availability of source and production to support investment, quality of designs etc.(ii) financial and economic
viability (iii) social viability including degree of extension of services to the urban poor. Their investment program will
have to show how they meet MDG goals and will give priority to UWSAs with studies in place and ability to supervise the
investments. The MoU sets the contribution of cost of investment for grade A UWSAs at 10% and this ability must also
be shown. Priority will be given to investment in sewerage, in the first year.

Table32::……L List of district/small town with Water Boards                                                                       Formatted: Font: 11 pt, Bold
                                                                                                                                 Formatted: Font: Bold
 S/N               Region                            District                                                                    Formatted: Font: 11 pt, Bold
                                                                                  1.1      Small town                            Formatted: Font: Bold
  1    Arusha                           Monduli                            Monduli                                               Formatted: Font: 11 pt, Bold
  2    Dodoma                           Mpwapwa                            Mpwapwa                                               Formatted: Font: 11 pt, Bold

  3    Dodoma                           Kongwa                             Kongwa                                                Formatted: Font: 11 pt
                                                                                                                                 Formatted: Bullets and Numbering
  4    Dodoma                           Kondoa                             Kondoa
  5    Iringa                           Njombe                             Njombe
  6    Iringa                           Mafinga                            Mafinga
  7    Iringa                           Makete                             Makete
  8    Iringa                           Ludewa                             Ludewa
  9    Iringa                           Njombe                             Makambako
 10    K.Manjaro                        Same                               Same
 11    K.Manjaro                        Mwanga                             Mwanga
 12    Kagera                           Ngara                              Ngara
 13    Kagera                           Karagwe                            Karagwe
 14    Kagera                           Muleba                             Muleba
 15    Kagera                           Biharamulo                         Biharamulo
 16    Kigoma                           Kibondo                            Kibondo
 17    Kigoma                           Kasulu                             Kasulu
 18    Lindi                            K/Masoko                           K/Masoko
 19    Lindi                            Nachingwea                         Nachingwea



                                                             68
S/N               Region                District                               Formatted: Font: 11 pt
                                                            1.1   Small town   Formatted: Bullets and Numbering
20    Lindi                Liwale                   Liwale
21    Manyara              Mbulu                    Mbulu
22    Mara                 Bunda                    Bunda
23    Mara                 Serengeti                Mugumu
24    Mara                 Tarime                   Tarime
25    Mara                 Musoma (V)               Mugango
26    Mbeya                Mbarali                  Rujewa
27    Mbeya                Mbozi                    Vwawa
28    Mbeya                Chunya                   Chunya
29    Mbeya                Kyela                    Kyela
30    Mbeya                Mbozi                    Tunduma
31    Mbeya                Ileje                    Itumba
32    Mbeya                Rungwe                   Tukuyu
33    Morogoro             Ulanga                   Mahenge
34    Morogoro             Kilombero                Ifakara
35    Morogoro             Kilosa                   Gairo
36    Morogoro             Kilosa                   Kilosa
37    Mtwara               Masasi                   Masasi
38    Mtwara               Newala                   Makonde
39    Mwanza               Magu                     Magu
40    Mwanza               Ngudu                    Ngudu
41    Mwanza               Sengerema                Sengerema
42    Mwanza               Geita                    Geita
43    Pwani                Kisarawe                 Kisarawe
44    Pwani                Rufiji                   Utete
45    Rukwa                Mpanda                   Mpanda
46    Rukwa                Nkasi                    Namanyere
47    Ruvuma               Mbinga                   Mbinga
48    Ruvuma               Namtumbo                 Namtumbo
49    Ruvuma               Tunduru                  Tunduru
50    Shinyanga            Maswa                    Maswa
51    Shinyanga            Kahama                   Kahama
52    Shinyanga            Meatu                    Mwanhunzi
53    Shinyanga            Bukombe                  Ushirombo
54    Shinyanga            Bariadi                  Bariadi
56    Singida              Kiomboi                  Kiomboi
57    Singida              Manyoni                  Manyoni
58    Tabora               Sikonge                  Sikonge




                                               69
 S/N               Region                           District                                   Formatted: Font: 11 pt
                                                                           1.1    Small town   Formatted: Bullets and Numbering
 59    Tabora                        Urambo                        Urambo
 60    Tabora                        Nzega                         Nzega
 61    Tabora                        Igunga                        Igunga
 62    Tanga                         Korogwe                       Korogwe
 63    Tanga                         Muheza                        Muheza
 64    Tanga                         Handeni                       Handeni
 65    Tanga                         Korogwe                       Mombo
 66    Tanga                         Pangani                       Pangani
 67    Tanga                         Handeni                       HTM (Mradi)
 68    Tanga                         Kilindi                       Songe
 69    Tanga                         Lushoto                       Lushoto

Table 33:          List of small towns gazetted but without Water Boards                       Formatted: Font: 11 pt
                                                                                               Formatted: Font: 11 pt
 S/N   Region                                  District              Small town
  1    Arusha                                  Ngorongoro            Ngorongoro
  2    Arusha                                  Karatu                Karatu
  3    Arusha                                  Longido               Longido
  4    Dodoma                                  Bahi                  Bahi
  5    Dodoma                                  Chamwino              Chamwino
  6    Iringa                                  Kilolo                Ilula

  7    Iringa                                  Kilolo                Kilolo
  8    K.Manjaro                               Rombo                 Mkuu Rombo
  9    K.Manjaro                               Hai                   Hai
 10    K.Manjaro                               Sanya                 Sanya
 11    Kagera                                  Misenyi               Misenyi
 12    Lindi                                   Ruangwa               Ruangwa
 13    Manyara                                 Kiteto                Kibaya
 14    Manyara                                 Simanjiro             Simanjiro
 15    Manyara                                 Hanang                Katesh
 16    Manyara                                 Babati                Bonga
 17    Manyara                                 Babati                Bashnet
 18    Manyara                                 Babati                Galapo
 19    Manyara                                 Babati                Dareda
 20    Manyara                                 Babati                Magugu
 21    Mbeya                                   Kyela                 Kasumulu
 22    Mbeya                                   Mbozi                 Mlowo
 23    Mbeya                                   Mbeya (V)             Mbalizi
 24    Mtwara                                  Newala                Newala
 25    Mtwara                                  Tandahimba            Tandahimba
 26    Mtwara                                  Mtwara (V)            Nanyamba



                                                            70
 S/N   Region                               District                     Small town
 27    Mtwara                               Nanyumbu                     Mangaka                                          Formatted: Font: 11 pt
 28    Mwanza                               Ukerewe                      Nansio
 29    Mwanza                               Misungwi                     Misungwi
 30    Pwani                                Bagamoyo                     Bagamoyo
 31    Pwani                                Mafia                        Kilindoni
 32    Pwani                                Mkuranga                     Mkuranga
 33    Pwani                                Kibaha                       Kibaha
 34    Rukwa                                Nkasi                        Chala
 35    Rukwa                                Nkasi                        Laela
 36    Shinyanga                            Shinyanga (V)                Isan/Mwalugesha
 37    Shinyanga                            Kishapu                      Kishapu
 38    Shinyanga                            Kahama                       Isaka
 39    Shinyanga                            Shinyanga (V)                Maganzo
 40    Shinyanga                            Maswa                        Malampaka
 41    Shinyanga                            Shinyanga (V)                Mhunze
 42    Shinyanga                            Shinyanga (V)                Tinde
 43    Shinyanga                            Shinyanga (V)                Didia
 44    Shinyanga                            Shinyanga (V)                Lalago
 45    Shinyanga                            Shinyanga (V)                Iselamagazi
 46    Tabora                               Uyui                         Uyui

                                                                                                                          Formatted: Indent: Left: 0", First line: 0"
                                                                                                                          Formatted: English (United Kingdom)
7.3.43 Preparation of Procurement Plans
A global procurement plan covering the entire programme period will be prepared and submitted to WSDP Development
Partners. This plan will show specific procurement plan for the first year, showing entire packages and (for each
package) its estimated cost, procurement method and processing times until completion. For sub-programmes to be
implemented by BWOs, EAs, UWSAs and LGAs, no global or annual procurement plans will be prepared, as these will
generate sub-programmes from time to time during the programme and will include a procurement schedule for
completing the sub-programme


7.4     Mechanism for Flow of Funds

This section describes the policies, regulations and procedures for receipt of programme funds from various sources. It
also covers the necessary arrangements for channelling of funds to implementing agencies and the accounting
procedures for requesting and receiving replenishments.

Several institutions will work together in implementing the programme – these procedures are designed to control and
record funds flows related to each institution.




                                                          71
Figure 52: Flow of Funds to Implementing Agencies


        Earmarking                          Pooling Dev.elopment           Government of
          Partners
        Dev.elopment                          Partners                       Tanzani
                                                                             a

                Development                         Development                      Government of
                  Partners                            Partners                         Tanzania

                Disignated                  DesSignated Holding               Designated MoW SectorGoT                 Formatted: Centered
          Holding                                                               VoteBu
          Designa (USD)
           Account                          Account (USD)                        (TZS)
                                                                                dget                                   Formatted: Centered
            ted                                   Holding                                                              Formatted: Centered
                 Earmarked                       Pooled Sector Holding                 MoW Sector                      Formatted: Centered
                 Designated                           Designated                        Budget
                  Account                           Account (USD)                        (TSh)
                                         Exchequer
                                        Account (TZS)



                                                   Exchequer
                             UtilitieWSAs         Account (TSh)
        LGAs                                    BWOs                                MoW




                LGAs                UWSAs                BWOs            EAs                   MoW
                                   (Regional)
                                                                     EAs           Ministry                            Formatted: Centered
                                                                                                                       Formatted: Centered




      Key:              COWSOs                         UWSAs
      BWOs:            Basin Water Offices            (Districts)
      COWSOs:          Community Owned Water Supply Organisations
      EAs:             Executive Agencies
      LGAs:            Local Government Authorities
      MoW:             Ministry of Water
      UWSAs:           Urban Water and Sewerage Authorities
             Key:
             BWOs:               Basin water Offices
             COWSOs:             Community Owned Water Supply Organisations
             EAs:                Executive agencies
             LGAs:               Local government Authorities
             MoW:                Ministry of Water
             UWSAs:              Urban water and sewerage Authorities




7.4.1 Programme Holding Account
Prior to the commencement of the programme, a USD holding account at the Bank of Tanzania (BOT) will be opened.
MoW will have to submit a letter of opening the WSDP Holding Account to the MoF. The account will be operated by the
MoF. This written request will be supported by a signed copy of the programme’s MoU in respect of the Water Sector
Basket Fund. The MoF thereafter will request the Foreign Accounts Department at the BOT to open an account.
Once opened, the BOT will provide account details such as the, account number, branch sort code, swift code etc. in
writing to the MoF and MoW. The MoW will inform the development partners on the same.




                                                            72
7.4.2 Development Partners’ Pledges to the Programme
The Water Sector Thematic Working Group (Planning and Finance Committee)), based on the outputs of the planning
exercise, is responsible for indicating the WSDP financial requirements on an annual basis. This information guides
development partners on the amount of funds required. Following the annual review, development partners will confirm
their funding commitments by signing a separate agreement that specifies the levels of funding by donors for the
following year and estimated support for the next three years MTEF period.                                                          Formatted: Font color: Auto


7.4.3. Deposits into Water Sector Basket Fund Account
Development partners shall deposit funds into the Water Sector Basket Fund account prior to the commencement of the
GoT’s financial year in July. Deposits should be sufficient to finance activities for the first six months of the financial year.
Subsquently, partners may deposit their contributions on a 6 months basis.

The 2001 Treasury circular, “Channeling of programme /Project Funds through the Exchequer System”, states that
development partners are required to inform the MoF and MoW in writing of any deposits made. In their communication,
development partners must provide details of the “account number, name of sub the programme /project and any other
relevant details”.

Development partners deposit funds pledged into the WS Basket Fund, into a US dollar holding account, maintained at
the BOT and managed and operated by the MoF.

The BOT issues a Bank Credit Advice to the MoF to notify that the bank has credited the WSDP Holding Account with
funds received from development partners. The MoF maintains a file of all bank credit advices on this account. On
receipt of the Bank Credit Advice, the MoF issues a pre-numbered Receipt Voucher in triplicate. The original is sent to
the development partner, second copy filed with supporting documentation (credit advice and bank statement) and third
copy maintained as the book copy. The IFMS operator at the MoF's office uses the duplicate Receipt Voucher to update
the cashbook on the IFMS.


7.4.4    Disbursing Funds from Basket Fund Account to Programme Exchequer Accounts
The following procedure shall be used for disbursing funds out of the Water Sector Basket Fund account to the WSDP
development exchequer accounts:
    One month prior to commencement of the next quarter, MoW shall prepare a quarterly cash flow (see Annex A,
     A8). In the course of preparing the cash flow, reference will be made to the work plan and cash flow for the
     preceding quarter. Accounting Officers will submit consolidated cash flow forecasts to the WS TWG Planning and
     Working Group Finance Committee for review and approval.
    MoW requests the MoF in writing to transfer funds from the WSDP holding account to relevant institutions (MoW,
     BWOs, EAs, UWSAs, LGAs and others) development exchequer accounts maintained in Tanzania Shillings by
     filling in the Development Estimates - Monthly Application and Progress report [Estimates Form TFN. 358] (see
     Annex A, A9) and to forward it to the MoF. TFN. 358 disaggregates funding requirements by source: GoT (internal)
     and development partners (external)


7.4.5 Reporting on Basket Fund Balances
At the end of every month, the MoF shall:
      Collect bank statements from the BOT for the previous month and extract ledger fees, commissions, interest                   Formatted: Indent: Left: 0.25", Bulleted +
                                                                                                                                    Level: 3 + Aligned at: 1.25" + Tab after: 1.5"
         and other bank charges, prepare a journal voucher and post the journal voucher to the cash book                            + Indent at: 1.5", Tab stops: Not at 1.5"
      Prepare a month end Bank Reconciliation Statement [TFN. 135] (see Annex A, A13) to agree the cash book
         balance to that shown on the bank statement. Bank reconciliation statements must always be supported by the
         following schedules:
               Deposits recorded on bank statements but not entered in the cash book
               Cheques recorded in the cash book but not credited on bank statements


                                                              73
                 Charges recorded on the bank statements but not entered in the cash book
                 Transfers shown on bank statements which have not been posted to the cash book.

Every quarter, the MoF shall provide MoW with a schedule which specifies all transfers from the basket fund account.
This information is provided on the standard Foreign Currency Receipts and Payments Summary (see Annex A, A14).
The MoF shall also send to MoW copies of bank statements and TFN. 135 Schedules.


7.4.6 Exchange Rate Procedures
The Water Sector Basket Fund account shall be maintained in United States Dollars (USD), but transfers from this
account to each WSDP’s Exchequer Account are made in Tanzania Shillings (TZS). Thus, there is a need to convert
amounts in USD into TZS. Likewise, at the end of the fiscal year, unspent balances in TZS are converted into USD and
transferred back to the basket fund account. Consequently there are likely to be monetary gains and losses arising from
currency conversions.
In order to determine gains or losses, the MoF keeps a record of exchange rates applicable on the date funds are
deposited into the holding account; and transferred to various exchequer accounts. In particular, the Public Debt Section
at the MoF is responsible for daily input of official exchange rates from the BOT (buying and selling) into the IFMS.
The MoF attributes funds retained in the basket fund account to each development partner on the basis of contributions.


7.5       Programme Accounts and Payments

Programme Accounts will be opened by the MoW, BWOs, EAs, UWSAs, LGAs and others at Commercial Banks for
meeting all programme related expenditure drawing deposited from the Exchequer Account to be replenished quarterly

This section describes:
     Payments procedures for goods and services at central and local levels                                                Formatted: Indent: Left: 0.25", Hanging:
                                                                                                                            0.25", Bulleted + Level: 3 + Aligned at: 1.25"
                                                                                                                            + Tab after: 1.5" + Indent at: 1.5", Tab
         Procedures for direct payments                                                                                    stops: Not at 1.5"


         Procedures in issuing and accounting for imprests.

7.5.1     Disbursements in MoW Development Exchequer Accounts
The Procurement Regulations require that prior to commencing the procurement process, MoW commits funds totaling
the estimated value of goods and services on the IFMS Vote Control Register. These processes are illustrated in and
explained below. Once funds have been committed on the system, the WSDP entity must generate a Local Purchase
Order (LPO).

After a contract has been awarded, the IFMS system only allows payments to be made when an invoice sent by a
supplier is supported by documents such as an LPO and Goods Received Note. Equipment and goods received must be
verified and labeled by the MoW Stores Officer. In accordance with Section 194 Sub-section 2 of the Public Finance
Regulations 2002, the Stores Officer must immediately notify the supplier of any irregularities (e.g. defects).

The Procurement Officer at each WSDP entity, after receiving confirmation from the goods/services receiving
department/section, signs the invoice and all supporting documents, signifying payment authorisation before sending it
to the Chief Accountant. Thereafter:
     The Accountant confirms that the details per the invoice match those contained in the contract, raises a journal
      voucher, posts details of the transactions on the IFMS and generates a “TFN 4 - Payment Voucher (PV)”. The
      IFMS only generates a PV if funds have previously been committed and an LPO raised.




                                                           74
       The MoW Internal Auditor verifies the PV and supporting documentation and if satisfied that the information
        contained is accurate, approves the PV on the IFMS and signs the hardcopy at hand. The Chief Accountant must
        also sign-off the PV once he/she has confirmed that it has been posted on the IFMS. Thereafter, he/she generates
        an approved but un posted list of PVs for submission to the Chief Procurement Officer (CPO)

       As the IFMS is online and networked, CPO personnel are able to access authorized payment requests on the
        system.

       Prior to cheque printing, personnel reconcile entries on the system to hard copies of the unposted list of PVs
        submitted by the Chief Accountant. If there are no anomalies, personnel print cheques which are forwarded for
        signature by authorised officers in the MoF’s Department

       The MoF sends a copy of the cheque list to the BOT. WSDP Entity also gets a copy of the same list when
        collecting cheques from the CPO which is used for verification purposes

       All suppliers of goods and services collect their cheques from the MoW, where they are required to sign a register
        confirming receipt of cheques. At the time of issuing cheques, the Accountant must stamp the PV and all
        supporting documentation with a “PAID” stamp indicating the cheque number on the relevant panels. The
        Accountant must also file documents in order of PV serial number.

7.5.2      Payments in Foreign Currency
Where payments need to be made in foreign currency, the IFMS is customised to enable PVs to be generated which are
payable to the BOT. However, the PV must contain a supplier reference. The processing of payment is similar to the
one described above, except that cheques generated by the CPO are in favour of the BOT.
Further, the Chief Accountant must present the cheque, a copy of the PV and written instructions to the BOT requesting
a bankers draft or TT to be effected in favour of the supplier.


7.5.3      WSDPProgramme Implementing Agencies Accounts Used for Making Related Payments
The Procurement regulations require that prior to commencing the procurement process, the implementing agencies
commit funds totalling the estimated value of goods and services either on the IFMS Vote Control Register for WSDP
institutions that have implemented the IFMS or on the Manual Vote Book for WSDP Entities that are on the manual
system. Once funds have been committed, the Entities must generate an LPO.

All payments with the exception of petty cash payments are made by cheque. Cheques must be drawn against the
relevant sector bank accounts in which WSDP funds received from the central government have been deposited.

Operation of the bank account                                                                                                Formatted: Space After: 0 pt, Line spacing:
There are two categories of signatories to the sector bank account, namely:                                                  single
                                                                                                                             Formatted: Line spacing: single
Category A:         Any two Sector Heads will be appointed as relevant to the entities (MoW, BWOs, EAs, UWSAs and LGAs);
Category B:         The Warrant Holder or other officer nominated by him/her and the Programme Accountant.

One signatory from both the categories must sign all cheques.

7.5.4 Payments Procedures for Implementing Agencies on the Manual System
Prior to making payments to suppliers of goods and services, the Head of the PMU is required to match invoices
submitted against LPOs. The Head in consultation with the user department establishes whether goods and services are
delivered satisfactorily and thereafter authorises the invoices for payment by signing the invoice. The invoice with
supporting documents is then forwarded for payment. All payment vouchers must be authorised by the Warrant Holder.



                                                                75
 It is important for both the Warrant Holder and Accountants to ensure that the procedures are followed including that
 payment vouchers must:

        Be serially numbered throughout the month, and the number recorded in the cash book against the relevant          Formatted: Indent: Left: 0.25", Bulleted +
                                                                                                                           Level: 3 + Aligned at: 1.25" + Tab after: 1.5"
         entry                                                                                                             + Indent at: 1.5", Tab stops: Not at 1.5"


        Contain an adequate explanation of the payment being made by the implementing agencies, giving references
         of payment orders etc

        Be initialled by authorised persons when alterations are made

        Be stamped with the word “paid” and the date of payment” when payment is made.

 The Accountant then writes a crossed cheque in favour of the supplier for amounts indicated on payment vouchers.
 Cheques are then signed by two authorised signatories. It is the responsibility of the Accountant/Council Treasurer to
 ensure that all signed cheques are recorded in a dispatch book. Suppliers are required to collect and sign for cheques.


 The Accountant maintains cash books for the relevant sector account, and a subsidiary ledger for WSDP expenditure. It     Formatted: Justified, Space After: 0 pt, Line
                                                                                                                           spacing: At least 14 pt
 is his/her responsibility to ensure that entries are posted as they occur so that the balance of the account can be
 ascertained at any time with a reasonable degree of accuracy. Cheque details required for posting to the cash book
 should be extracted from cheque counterfoils. Further, cheque amounts posted to the cash book should be recorded in
 strict numerical order (including cancelled cheques).

 7.5.5   Payment Procedures for Implementing Agencies on IFMS

 After a contract has been awarded, the IFMS system only allows payments to be made when an invoice sent by a
supplier is supported by documents such as an LPO and Goods Received Note. Equipment and goods received must be
verified by the PMU.
 The payment procedure is summarized in figure 4.26 and described below.
 The head of the PMU after confirming with the user department that goods and services have been satisfactorily
 received, signs the invoice and all supporting documents signifying payment authorization and forwards it to the
 Accountant.

 Figure 4.26: The payment procedure                                                                                        Formatted: Font: Bold
 Figure 4.2




                                                           76
The Head of the PMU after confirming with the user department that goods and services have been satisfactorily
received, signs the invoice and all supporting documents signifying payment authorisation and forwards it to the
Programme Accountant.

The Programme Accountant thereafter confirms that the details per the invoice match those contained in the contract,
raises a journal voucher, posts details of the transactions on the IFMS and generates a “TFN 4 - Payment Voucher (PV).
The IFMS only generates a PV if funds have previously been committed and an LPO raised.

The Warrant Holder must also sign-off the PV once he/she has confirmed that it has been posted on the IFMS.
Thereafter, he/she generates an approved but un-posted list of PVs for submission to the Chief Accountant/Council
Treasurer. Thereafter:

        Cheques are printed and are forwarded for signature by authorised signatories to the account                       Formatted: Justified, Indent: Left: 0.25",
                                                                                                                            Bulleted + Level: 3 + Aligned at: 1.25" + Tab
                                                                                                                            after: 1.5" + Indent at: 1.5", Tab stops: 0.5",
        All suppliers of goods and services collect their cheques from the council, where they are required to sign a      List tab + Not at 1.25" + 1.5"
         register confirming receipt of cheques. At the time of issuing cheques, the Accountant must stamp the PV and       Formatted: Bullets and Numbering
         all supporting documentation with a “PAID” stamp indicating the cheque number on the relevant panels. The
         Accountant must also file documents in order of PV serial number.

It suffices to emphasize that there is redress within the law, against, any officer who interferes with the delivery of     Formatted: Justified
services. WSDP funds will be withdrawn if it is revealed that they are being used and spent in contradiction to specified
guidelines.

7.5.6    Stale, Stolen and Cancelled Cheques

Stale cheques




                                                           77
At the central level, the Chief Accountant can reissue cheques which become stale at the request of a supplier by:
obtaining the stale cheque or an indemnity cover if lost; posting a journal to the IFMS cash book and general ledger
reversing the initial entry; and repeating the steps described above.

At the WSDP implementing agency level, the Treasure/Accountant can reissue cheques which become stale at the
request of a supplier by: obtaining the stale cheque or an indemnity cover if lost; posting a journal to the manual or IFMS
cash book and general ledger reversing the initial entry; and repeating the steps described above.

Stolen cheques
At the central level, the MoF store unused and printed cheques in safes. However, in the event that cheques are stolen,
the MoF must instruct the BOT not to honour them by issuing a stop order. In addition, they notify members of the public
that cheques have been stolen by placing a notice in the newspaper.

The Police must investigate the theft of cheques. MoF shall also ascertain why and how controls have been overridden.

At the implementing agency level, the Accountant should store unused and printed cheques in safes. However, in the
event that cheques are stolen, the Accountant must instruct the bank not to honour them by issuing a stop order. In
addition, they shall report to the Police and also notify members of the public that cheques have been stolen by placing a
notice in the media.

Cancelled cheques


At the central level, cancelled or spoilt cheques must be written back on the IFMS by the CPO. The CPO also maintains
cancelled/ spoilt cheques in a file. Cancelled and spoilt cheques must be perforated.

At the implementing agency level, cancelled or spoilt cheques must be written back by the Accountant on the IFMS or in
the manual cashbook and subsidiary ledgers. The Accountant also maintains in a file all cancelled/ spoilt cheques, which
must be perforated.



7.5.7 Accounting for Direct Payments
Some of the activities under the WSDP are funded by donor funds outside the GoT system. In order to capture this
development assistance in GoT’s books, the Chief Accountant, obtains details (e.g., invoices, asset particulars given,
value of technical assistance etc.) from development partners of expenditure in relation to the WSDP.

        The Chief Accountant fills an Estimates Form TFN 358 (Development Estimates - Monthly Application and                Formatted: Indent: Left: 0.25", Bulleted +
                                                                                                                              Level: 3 + Aligned at: 1.25" + Tab after: 1.5"
         Progress Report), attaches a copy of the payment evidence and forwards it to the MoF                                 + Indent at: 1.5", Tab stops: 0.5", List tab +
                                                                                                                              Not at 1.25" + 1.5"
        Upon receipt of the Form TFN 358, Budget Officers at the MoF scrutinise details contained on this form and if
                                                                                                                              Formatted: Bullets and Numbering
         satisfied grant a Release Warrant [TFN 357A]. The MoF, using the “Dummy Transaction”, a facility that exists
         on the IFMS, issue a Dummy EIN in favour of the relevant WSDP Entity (for recording purposes only, since
         there is no actual cash flow). This posting enables MoW to recognise receipts

        The Chief Accountant using the same dummy transaction facility raises a PV to the same value of the
         Exchequer Issue. This transaction allows to recognise the expenditure.


At the MoW level




                                                            78
The responsibility for approving Imprest falls upon MoW Warrant Holders. The IFMS Operator carries out steps
described above to commit funds and raise PVs. As earlier indicated, cheques are generated at the CPO. All Imprest
Holders are shown as debtors on the IFMS.

On completion of their activities or 14 days after obtaining Imprest (which ever is earlier), Imprest Holders are required to
immediately account for amounts advanced in full by completing an Imprest Retirement Form and furnishing relevant
supporting documentation. Officers who fail to retire Imprest are subject to the actions contained in the Public Finance
Regulations. Specifically, Regulation 103 Sub-Section (2) states that “the amount outstanding may forthwith be
recovered from any salary or other emoluments or from any other amounts due to the officer”.

The Public Finance Regulations also require that all Imprest are retired at the financial year end. This requirement is
irrespective of whether an Officer has completed his/her activities. If need be, a fresh Imprest can be issued in the next
financial year.

At the implementing agency level

The Treasurer/Accountant is responsible for making arrangements for the administration and payment of Imprest. The
Accountant/Treasurer makes available the current regulations on imprests to Sector Heads and Employees.

Imprest payments must not be made out of imprests accounts without the express authority of the Accountant. From
time to time, Sector Heads send the names of Officers authorised to certify such claims together with their specimen
signatures to the Accountant/Treasurer. The Accountant must update his/her records to reflect such changes.

On completion of their activities or 14 days after obtaining imprests (which ever is earlier), Imprest Holders are required
to immediately account for amounts advanced in full by completing an Imprest Retirement Form and furnishing relevant
supporting documentation.

Where outstanding impress exceed a time period of one month, they attract an interest charge of not less than the
commercial bank rate applicable during the period. This is irrespective of whether a previous surcharged has been
levied.

7.6       Periodic Accounting Routines and Financial Monitoring Reporting

This section sets out the internal and external management reporting and information requirements for the WSDP.

The Section describes the formats of various financial reports, based on daily, quarterly and annual accounting routines.
The reports form the basis for inputs into the centralized Government accounting system using Epicor software and for
providing management information. In addition, the Section describes the interim financial reports (IFRs) Unaudited
financial reports that are an essential feature of programme managementIn addition, the Section describes the Financial
Monitoring Reports (FMRs) that are an essential feature of programme management

The reports help MoW, WSDP Implementing Agencies and the WS - TWG Working Group Finance Committee Planning
and Finance to:
                                                                                                                                Formatted: Line spacing: single
         Analyse the results of WSDP operations and its financial position on a periodic financial report basis                Formatted: Indent: Left: 0.25", Space After:
         Develop policies and planning future operations                                                                       0 pt, Line spacing: single, Bulleted + Level: 3
         Make effective decisions on the allocation of resources                                                               + Aligned at: 1.25" + Tab after: 1.5" + Indent
                                                                                                                                at: 1.5", Tab stops: Not at 1.5"
         Monitor performance and control of the programme’s operations
         Commission internal and external audits which provide them with independent views
         Report outcomes to development partners and other stakeholders.



                                                            79
7.6.1 Programme Reporting at MoW Level

 The table below provides a list of reports generated from or using information from the IFMS and other records. It
specifies the information that they contain and the frequency of their production. In brief:

      MoWChief Accountant submits a flash report for his/her relevant vote to the relevant Warrant Holder and the        Formatted: Indent: Left: 0.3", Hanging:
                                                                                                                          0.2", Bulleted + Level: 3 + Aligned at: 1.25" +
       PCTDPP within two weeks of each period end. Thereafter:                                                            Tab after: 1.5" + Indent at: 1.5", Tab stops:
                                                                                                                          Not at 1.5"

      Warrant Holders must examine the reasons behind variations from the budget, assess their implications on the
       work plan and decide on the necessary remedial action. Each Warrant Holder then writes a report on the cause
       and effect of each variation and the recommended action and sends the original to the Chief Accountant and a
       copy to the PS. Warrant Holders must submit their explanations on positive and negative variances within one
       week of the receipt of the report

      PCTDPP consolidates information into an overall report on expenditure against budget and total commitments.
       The DPP PCT uses the consolidated report which has the same format as the flash report template, to monitor
       budget implementation progress. The PCTDPP submits a consolidated quarterly flash report to the WS TWG
       Working GroupPlanning and Finance Committee together with a narrative summary of any issues that have
       arisen during the quarter.

Table: 2135: Financial Reports (See Annex A)
     Name of Report                 Reference                     Generated From                       Reports            Formatted: Font: Arial Narrow, 11 pt
Flash Report                           A2                     Monthly/IFMS                   Expenditure            and   Formatted: Centered
                                                                                             commitments on a monthly     Formatted: Font: Arial Narrow, 11 pt
                                                                                             and cumulative basis         Formatted: Centered
Exchequer Releases                         A8                 Quarterly/IFMS                 All transfers from basket    Formatted: Font: Arial Narrow, 11 pt
                                                                                             account to the Exchequer     Formatted: Centered
Quarterly     Performance                  A9                 Quarterly/IFMS                 Actual and cumulative        Formatted: Font: Arial Narrow, 11 pt
Report                                                                                       expenditure against budget
                                                                                                                          Formatted: Centered
Output Monitoring Report                   A10                Quarterly/IFMS                 Actual and cumulative
                                                                                                                          Formatted: Font: Arial Narrow, 11 pt
                                                                                             expenditure against budget
                                                                                                                          Formatted: Centered
Procurement Report                         A11                Quarterly/IFMS                 Progress made with respect
                                                                                                                          Formatted: Font: Arial Narrow, 11 pt
                                                                                             to procurement
                                                                                                                          Formatted: Centered
Receipts    and    payment                 A3                 Annually/IFMS                  Reports into the basket,
account                                                                                      transfer to the exchequer,   Formatted: Font: Arial Narrow, 11 pt

                                                                                             WSDP expenditure and the     Formatted: Centered

                                                                                             balance at the end of the
                                                                                             year.
WSDP Consolidated Report                 A4 – A7              Quarterly                      Technical and financial      Formatted: Font: Arial Narrow, 11 pt
                                                                                             performance of Warrant       Formatted: Centered
                                                                                             Holders



Name of Report               Reference                  Generated From               Reports
Flash Report                 B2                         Monthly/IFMS                 Expenditure          and
                                                                                     commitments       on    a
                                                                                     monthly and cumulative
                                                                                     basis
Exchaquer Releases           B3                         Quartely/IFMS                All transfers from basket



                                                           80
                                                                                     account      to     the
                                                                                     Exchequer
Undistributed Exchequer B4                              Quartely/IFMS                Unallocated amounts
Quarterly Performance B5                                Quartely/IFMS                Actual and cumulative
Report                                                                               expenditure     against
                                                                                     budget

Output Monitoring Report    B6                          Quartely/IFMS                Actual and cumulative
                                                                                     expenditure       against
                                                                                     budget
Procurement Report          B7 – B8                     Quartely/IFMS                Progress made with
                                                                                     respect to procurrement
Receipts and payment B9 – B13                           Annuall/IFMS                 Reports into the basket,
account                                                                              transfer      to      the
                                                                                     exchequer,         WSDP
                                                                                     expenditure and the
                                                                                     balance at the end of the
                                                                                     year.
WSDP        Consolidated B14 – B15                      Quartely                     Technical and financial
Report                                                                               performance of Warrant
                                                                                     Holders

        MoW’s CChief Accountant submit copies of the Approved Exchequer Releases and Undistributed Exchequer               Formatted: Indent: Left: 0.25", Bulleted +
                                                                                                                            Level: 3 + Aligned at: 1.25" + Tab after: 1.5"
         reports to the DPP (Coordination Team), as flash reports. The PCTDPP maintains reports on Exchequer                + Indent at: 1.5", Tab stops: Not at 1.5"
         Releases as an audit trail.

        MoW’s Chief Accountant produces a Uses of Funds by Programme Activity report within two weeks of the end
         of each quarter, and submits it to Warrant Holders, and the PCTDPP. This report provides information on actual
         expenditure during the quarter on each activity against what was budgeted and contained in the MoW’s work
         plans. At the MoW’s level, it is used to identify any problematic activities and plan remedial measures for the
         next quarter. It also informs cash flow forecasting. The WS Thematic Working Group Planning and Finance
         Committee also refers to this report to obtain a breakdown of expenditures reported in the flash report

        MoW’s Chief Accountant in collaboration with PCTDPP produces an Output Monitoring report within 45two
         days weeks atof the end of the quarter. This report provides information on actual physical progress during the
         quarter in relation to expenditure incurred and budget for each programme activity and sets out plans for
         completion. This report supports scheduling of activities and facilities in the identification of any budget
         variations, which must be approved by the PS of MoW and ratified by the WS Thematic Working Group
         Planning and Finance Committee.

        MoW’s Procurement Management Unit (PMU) prepares a procurement report within two weeks of the end of
         the quarter, and submits it to the PCTDPP. This report provides information on the procurement of goods,
         works and services and on compliance with agreed procurement methods. The report compares performance
         against the procurement plan and highlights key issues such as staffing and capacity. This report is prepared in
         two parts: Part I provides a descriptive summary of procurement activities; and Part II provides financial
         information with actual and budgeted values

        Chief Accountant with support from the MoF, prepare a Receipts and Payments report for the WSDP, within
         four weeks of the end of the year. This report provides details of transactions for the year showing actual



                                                          81
         receipts by source of funds, actual expenditure incurred and any unspent balance of funds at the end of the
         year. It also compares actual expenditure against approved estimates. The Receipts and Payments report is
         supplemented by notes and explanations. The report must be signed by the MoW and is audited by the Basket
         Fund’s external auditors.

7.6.2    Reporting Requirements at Implementing Agency Level

Quarterly reports
The quarterly report is a holistic report on the technical and financial performance of an implementing agency against the
Sector Development Plan. It should not be excessively burdensome to produce but should summarise the critical data
required to manage Water Sector Development Programme in monitoring performance.

The outline format of the quarterly report is provided in Annex B (see B2         and B3). The report comprises three
parts:

Section 1 – Overview
A summary of the major successes and failures in the quarter and issues arising. In addition, it sets out reasons for
significant variances from the approved budget.

Section 2 - Technical report
Reports performance against the Programme Development Plan.

The format for current quarterly performance monitoring report.


Section 3 - Financial report
This includes the water sector recurrent accounting return (containing the bank reconciliation, bank statement and other
relevant information). The return is set out in Annex B, B17 & A18 and described in detail below.

Action by MoW on quarterly reports                                                                                           Formatted: Line spacing: single
The MoW scrutinizes the reports to ensure that financial regulations have been complied with. During the same period,
MoW will raise concerns regarding implementing agencies technical and financial performance. It is the responsibility of
the MoW to:

       Ensure that reports are in agreement with WSDP implementation framework. In the event of a disagreement,             Formatted: Justified, Indent: Left: 0.25",
        discussions take place prior to the WS TWG Working GroupPlanning and Finance Committee meeting to                    Space After: 0 pt, Line spacing: single,
                                                                                                                             Bulleted + Level: 3 + Aligned at: 1.25" + Tab
        ensure that both parties concur with the recommendations                                                             after: 1.5" + Indent at: 1.5", Tab stops: Not
     Ensure that reports are presented to the WS TWG Planning and Working Group Finance Committee together                  at 1.5"
        with a final recommendation regarding funding.
A consolidated report for all implementing agencies is produced by the MoW for the WS WG Planning and Finance                Formatted: Line spacing: single
Committee comprising a summary of:

        Water sector accounting returns including a recommendation to the WS TWG Working GroupPlanning and                  Formatted: Justified, Indent: Left: 0.25",
         Finance Committee                                                                                                   Space After: 0 pt, Line spacing: single,
                                                                                                                             Bulleted + Level: 3 + Aligned at: 1.25" + Tab
        Each implementing agency’s technical achievements                                                                   after: 1.5" + Indent at: 1.5", Tab stops: Not
                                                                                                                             at 1.5"
RAnnual reports
It is the responsibility of the implementing agencies to ensure that the year's final accounts are prepared within the
period specified by the financial memorandum and Development Contracts. The programme Treasurer/Accountant
prepares the standard annual reports required by the financial regulations.




                                                           82
Periodic financial monitoring reports, to be prepared by each implementing entity will be will be designed to provide
quality and timely information to government and all DPs and various stakeholders on the program’s performance. They
will be used to trigger released of WSSP funds to all participating entities.

Within 40 days of the end of each quarter, the following reports would be prepared by each participating entities and
submitted to MoW for consolidation with copies to MoF and the Water SWG. The contents of these reports should, at a
minimum, include the following:

          Financial reports consisting of sources of funds, uses of funds by program activity/component, and statement of   Formatted: Bullets and Numbering
           actual and budget expenditures;
          Physical progress or output monitoring reports;
          Procurement report; and
          Management assertion that project funds have been expended for the intended purposes as specified in the
           program documents.

The MoW will consolidate the IFRs from the implementing entities and submit these to IDA and other DPs within 60 days
of the end of the quarter. Also, for the purposes of disbursement, MoW will prepare six-monthly consolidated IFRs and
submit these to IDA and other DPs.

The MoW will coordinates and submits to WS TWG Planning and Working Group Finance Committee the Annual
Expenditure Report showing budgeted against actual expenditure for both recurrent and development expenditures.


7.7       Auditing and Monitoring Arrangements

The purpose of this Section is to describe the arrangements for the WSDP financial statements and operations to be
audited by a qualified and experienced auditorsby qualified and experienced auditors and to set out the Terms of
Reference for the External Auditor.

1.2. Responsibilities                                                                                                        Formatted: Bullets and Numbering
The National Audit Office (NAO) has responsibility under law to undertake external financial and performance audits
within six months of the financial year end.

The Controller and Auditor General may discharge this responsibility by authorizing reputable audit firms to undertake
audits on his/her behalf.

The PS of MoW is responsible for the appointment of the external auditor as and where necessary, and for issuing the
Terms of Reference to the auditor. The Chief Accountant and DPP of MoW after consulting with the WS Working Group
Finance Committee, will advise the PS accordingly.

The Heads of implementing agencies are responsible for ensuring that external auditors are allowed to access all
records of WSDP and to be furnished with all the information they may require from WSDP staff. The Accountants are
responsible for assisting and leading the auditors in their audit by furnishing them with relevant records and information
necessary for the purpose of the audit. They will monitor the compliance of WSDP to audit covenants and initiate
necessary action required for compliance.

Internal audit arrangements
Internal Auditors have an important role to play in keeping WSDP’s management informed of the programme’s progress.
In particular, they are required to:                                                                                         Formatted: Justified, Indent: Left: 0.25",
      Inform heads of implementing agencies on the usage of WSDP funds                                                      Space After: 0 pt, Line spacing: single,
                                                                                                                             Bulleted + Level: 3 + Aligned at: 1.25" + Tab
      Report on progress with respect to achievement of WSDP objectives and targets                                         after: 1.5" + Indent at: 1.5", Tab stops: Not
      Offer advice and recommendations for enhancing resource management and accountability.                                at 1.5"



                                                            83
The Public Finance Regulations of 2001 require each Internal Auditor to work closely with the heads of implementing
agencies.

External audit arrangements

The external audit will be carried out annually by the National Audit Office (NAO) or such other person registered as an
auditor under the Auditors and Accountants Act of 1972 and approved by the Controller and Auditor General (CAG).
The Auditors will express an opinion on the annual project financial statements based on International Standards on
Auditing (IFAC/INTOSAI pronouncements) and submit the audit report within six months of the end of the financial year.
Additionally, the NAO, through its zonal offices, will carry out continuous audit of LGAs (on a sample basis) throughout
the year and submit to DPs on a quarterly basis the summary of audit findings. The terms of reference for these in-year     Formatted: Font color: Auto
continuous audits will be agreed with the Auditor General by the Bank and other DPs.

: In addition, the Auditors will provide:

        Give an opinion on the basket fund account’s opening balance, transactions during the year and closing             Formatted: Indent: Left: 0.25", Space After:
         balance. To this end, auditors are required to, for example:                                                       0 pt, Line spacing: single, Bulleted + Level: 3
                                                                                                                            + Aligned at: 1.25" + Tab after: 1.5" + Indent
        Detailed management letters containing the auditor’s assessment of the internal controls, accounting system        at: 1.5", Tab stops: 0.5", List tab + Not at
         and compliance with financial covenants in the Financing Agreement.                                                1.25" + 1.5"
                                                                                                                            Formatted: Bullets and Numbering
        Obtain confirmation from the development partners on amounts transferred during the financial year to the
                                                                                                                            Formatted: Line spacing: single
         basket fund account.
        Ensure that all transfers from the basket fund account have subsequently been transferred to implementing          Formatted: Indent: Left: 0.25", Space After:
                                                                                                                            0 pt, Line spacing: single, Bulleted + Level: 3
         agencies development exchequer accounts.                                                                           + Aligned at: 1.25" + Tab after: 1.5" + Indent
        Give assurance with respect to disbursements made through the Development Exchequer; vouch the validity            at: 1.5", Tab stops: 0.5", List tab + Not at
         and accuracy of payments; verify the effectiveness of systems and provide an opinion on whether funds              1.25" + 1.5"
         disbursed were used for their intended purpose.                                                                    Formatted: Bullets and Numbering
        Give an opinion on the financial statements. Should their opinion be qualified, the auditors must explain the
         factors which have influenced their position
        Assess the adequacy of systems for internal control and accounting and particularly the control of fund releases
         and payments as well as the adequacy of the accounting and reporting systems.
        Give recommendations with respect to any control weaknesses identified in a management letter. The auditors
         discuss the management letter with the MoW management. They must incorporate any comments received in
         the management letter.
                                                                                                                            Formatted: Space After: 0 pt, Line spacing:
                                                                                                                            single, No bullets or numbering
Performance audit


The Auditor-General will also carry out performance audits for the program in the event that a particular risk has been
identified, during a course of a financial year, and/or where the timely conduct of the annual external audit may not be
feasible, then any party to the WSDP MoU and/or the WS TWG Planning and Finance can request for a performance
audit by:
      Drawing up Terms of Reference for the continues performance audit.                                                   Formatted: Indent: Left: 0.25", Space After:
      Engaging auditors from reputable audit companies using the procurement guidelines as may be provided.                0 pt, Line spacing: single, Bulleted + Level: 3
                                                                                                                            + Aligned at: 1.25" + Tab after: 1.5" + Indent
At the end of the special audit, the auditors are expected to feedback their findings and recommendations in a written      at: 1.5", Tab stops: 0.5", List tab + Not at
report that shall be presented to the WS TWG Planning and Finance. Findings should specify problem areas.                   1.25" + 1.5"
                                                                                                                            Formatted: Bullets and Numbering
The National Audit Office has responsibility under law to undertake external financial and performance audits within six
months of the financial year end. The Controller and Auditor General may discharge this responsibility by authorising
reputable audit firms to undertake audits on his/her behalf.

The auditors whose reports shall be discussed by the WS Working Group Finance Committee, are required to audit
WSDP’s receipts and payments statement, signed by heads of implementing agencies, in accordance with International
Standards on Auditing. In addition, the audit involves:



                                                           84
    The examination, on a sample basis, of evidence relevant to the amounts and disclosures provided in the                    Formatted: Indent: Left: 0.25", Bulleted +
                                                                                                                                Level: 3 + Aligned at: 1.25" + Tab after: 1.5"
       statement of accounts                                                                                                    + Indent at: 1.5", Tab stops: Not at 1.5"
                                                                                                                                Formatted: Bullets and Numbering
    Evaluating the overall accuracy of information presented in the accounts.

Special audit
In the event that a particular risk has been identified, during a course of a financial year, and/or where the timely conduct
of the annual external audit may not be feasible, then any party to the WSDP MoU and/or the WS Working Group
Finance Committee can request for a special audit by:

    Drawing up Terms of Reference for the special audit                                                                        Formatted: Indent: Left: 0.25", Bulleted +
                                                                                                                                Level: 3 + Aligned at: 1.25" + Tab after: 1.5"
                                                                                                                                + Indent at: 1.5", Tab stops: Not at 1.5"
    Engaging auditors from reputable audit companies using the procurement guidelines as may be provided.                      Formatted: Bullets and Numbering


At the end of the special audit, the auditors are expected to feedback their findings and recommendations in a written
report that shall be presented to the WS Working Group Finance Committee. Findings should specify problem areas.

7.7.1 Auditing Requirements at Implementing Agency Level

Internal audit
The internal audit process in WSDP operates within the normal implementing agencies internal auditing procedures
stipulated or as may be stipulated from time to time. Specifically, implementing agencies are required to employ a
qualified Internal Auditors. Although the Internal Auditor works closely with the Accountant/ Treasurer, he/she reports
directly to the warrant holders.

The Internal Auditor is responsible for carrying out the review of financial and related systems of the agencies to ensure
that they are effective and efficient. Internal audit staff prepare and submit dated reports to the warrant holder for action
and submission to implementing agencies Finance Committees. A copy of the internal audit report should always be
sent to National Audit Office (NAO) within a specified period of time.
The Internal Auditor must prepare work programme for internal audit guidance and make sure that a copy of the
programme is sent to the NAO.

Preparation for annual audit
There is an annual audit of the WSDP. The scope of the audit covers the Consolidated Financial Statements and
performance of the internal controls in place for the programme.

In addition, the programme at implementing agency level relies on the audited accounts of the agencies. It will be the
responsibility of the Warrant Holder to forward a copy of the audited accounts to MoW.                                          Formatted: Font color: Auto


7.7.2 Monitoring, Evaluation and Reporting

Monitoring
Monitoring, as a process of systematic collection, analysis and use of data to improve programme performance, outputs
and use of these in the short term will serve as an important management tool to guide WSDP management and
implementation at all levels. The monitoring system will be undertaken by all interested groups and key partners
including MoW/WSDP Partners, BWOs, EAs, UWSAs, LGAs beneficiary communities, private sector/NGOs, etc.

The WSDP, whenever necessary, will periodically engage a Private Sector to carry out studies to monitor or assess
impact of various aspects of the programme.




                                                            85
The WSDP Financial Management Framework has put in place effective monitoring and evaluation arrangements to
assess and analyse the effects and programme outcomes, establish a knowledge base and incorporate these lessons
into the future design and implementation of programme implementation model. WSDP will maintain an information
database that will be linked to the MIS and the logical framework. This will allow the sector to assess and report on the
quality and quantity of work at each level. At the national level, MoW, in close collaboration with other development
partners, developed monitoring indicators based on each sub sector for the program. MoW has also developed simple
monitoring indicators that will guide programme management at lower levels, recognizing variations in indicators that
need to be tracked at different levels of implementation/management. In addition, monitoring will be characterized by a
rapid feedback at all levels to address issues arising from the analysis of monitoring information.

The primary purpose of monitoring of WSDP implementation is:

           To monitor progress towards attainment of targets and to adapt targets to realities                            Formatted: Indent: Hanging: 0.7", Bulleted +
                                                                                                                            Level: 1 + Aligned at: 0.75" + Tab after: 1" +
           To provide an improved foundation for planning                                                                 Indent at: 1", Tab stops: Not at 1"
           To make sure resources are used effectively and to identify unacceptably high cost interventions and
                  operations
           To identify problems and find solutions at an early stage
           To provide record of events
           To look at ‘process’ of development such as staffing, capacity building and collaboration
           To provide an information base for future evaluations
           To maintain high standards
           To help staff feel their work has a definite purpose.

Monitoring Methods
The following methods will be used:
     8     Management Information system (MIS) that provides regular information on all aspects of programme               Formatted: Indent: Left: 0.3", Hanging:
                                                                                                                            0.39", Bulleted + Level: 1 + Aligned at: 0.75"
            activities and costs                                                                                            + Tab after: 1" + Indent at: 1", Tab stops:
     9     Management information system that provides information on expected changes                                     Not at 1"
     10 Periodic sample surveys that check on programme parameters/elements that are critical to the achievement
            of programme objectives
     11 Occasional in-depth studies

    i.      Information Management
Information will be captured by WSDP on financial management and physical progress, using the following sources:
       i.     The computerized accounting system (IFMS) for all expenditures incurred by WSDP, and                         Formatted: Indent: Left: 0.3", Hanging:
                                                                                                                            0.39", Bulleted + Level: 1 + Aligned at: 0.75"
       ii.    Tracking of activities required by field inspections                                                         + Tab after: 1" + Indent at: 1", Tab stops:
                                                                                                                            Not at 1"

   ii.   Sub Projects
Each sub-programme, through the implementing agencies (i.e. MoW, BWOs, EAs, UWSAs, LGAs), will have all required
information that would be entered into MIS derived from the programme.

  iii.    Training
Each training event will receive an event number, and date and will be entered into the accepted software basing on:
        Number of people trained (by gender)                                                                              Formatted: Indent: Hanging: 0.7", Bulleted +
                                                                                                                            Level: 1 + Aligned at: 0.75" + Tab after: 1" +
        Manning level                                                                                                     Indent at: 1", Tab stops: Not at 1"
        Number of people certified

Evaluation
There shall also be periodic assessment (evaluation) of WSDP for making decisions about the continuation of the
programme, and to identify lessons that may contribute to improving the performance. The aim is to determine the
relevance and fulfillment of programme objectives, development efficiency, effectiveness, impact and sustainability.



                                                          86
There will be mid-term review, end of programme and other reviews and focused impact studies. WSDP staff will
undertake these reviews directly, or through consultancies or other sector stakeholders.


Purpose of Evaluation
The above types of evaluations will be undertaken for the reasons described below, among others. The important thing
is not to apportion blame but to make tangible improvements in programme management and capacity building that will
eventually lead to a sustainable achievement of the programme’s overall goal. Evaluations are undertaken for:
      Information on actual events/practices
      Learning for improvement of new/on-going programmes
      Decision-making on best alternatives
      Accountability for achieving results and best use of resources
      Sustainability for lasting benefits of investment


Evaluation methods

The methods will include:
       Comparison of programme beneficiaries before and after the programme. This approach requires collection of
        baseline information, especially on parameters on which the programme is expected to impact. For comparison
        to be meaningful, it is critical that the timing of the “after” measurements is carefully considered.
       Frequent visits to sampled areas during the period of programme implementation activities and beyond.
       Comparison of programme beneficiaries to “control” communities (those that have characteristics similar to the
        beneficiaries but did not participate in the programme).

Even though monitoring and evaluation have different roles, they are closely linked and mutually supportive. The two
processes are expected to provide the feedback and lessons that will help WSDP to be steered to its set goals. There
should be timely use of results of monitoring and evaluation, that is on internalizing and feeding back information from
M&E into routine activities through various reports, such as the monthly, quarterly, annual field visits, and evaluation
reports.

7.7.3 Roles and Responsibilities
All key partners and interested groups in WSDP will be involved in monitoring. For instance, the responsibility for
monitoring and evaluation of entity sub-programmes will be undertaken by the implementing agencies, other water
sector related ministries and Development Partners supervision missions

7.7.4 Other Levels of Monitoring
The MoW and Development Partners will monitor programme implementation through reports, monitoring studies,
beneficiary assessments, audits and supervision missions. The MoW will also monitor progress of programme activities
at the low levels, including, for example: base-line studies, training and quality assurance of works, compliance with
procurement and disbursement procedures as outlined in the sub-programme agreement signed between respective
parties

7.7.5 Follow up by Development Partners
Development Partners follow up will be closely linked to the programme specified implementation schedule, and will
include:
      Continuous monitoring of implementation assistance through the country representative offices
      Regular monitoring of key events through review missions
      Yearly review of the work-plan and budget, programme launching orientations, a midterm review and end of
         programme evaluation.

Regular supervision includes a review of progress reports, procurement, correspondence and implementation assistance



                                                          87
to the programme. The programme supervision will focus on the physical implementation, management performance
and financial controls. The key areas include:
      Management performance: programme response to beneficiery demands, procurement, disbursement and
         accounting practices, sub-programme cost control
      Physical implementation of the programme targets such as number and type of sub-programmes, number and
         type of beneficiaries, involvement of local communities by gender, implementation rate, district investment
         spread
      Financial control: maintenance of adequate control at all levels of implementation.


7.7.6    Monitoring Arrangements
The monitoring process will be carried out on a continuous basis in accordance with the monitoring program approved
by MoW.

There will also be ad hoc monitoring of sub-programmes by staff from MoW or other officials representing the
Development Partners, Related sectors or other stakeholders




8   MONITORING AND EVALUATION

8.1 Monitoring and Evaluation Systems

Monitoring and evaluation systems are designed to monitor resource inputs, expenditures, and deliverables or outputs
(both physical and non-physical infrastructure). This is important for management. Adequate monitoring and evaluation
of the programme is crucial because it serves a number of roles, including:
 on-going assessment of input use to facilitate internal financial management;                                              Formatted: Indent: Left: 0", Bulleted +
 on-going assessment of outputs –project results, with the focus on results based management;                               Level: 1 + Aligned at: 0.25" + Tab after: 0.5"
                                                                                                                             + Indent at: 0.5", Tab stops: Not at 0.5"
 tracking project objectives through medium-term evaluation of actual outcomes achieved during the project period;
 longer term evaluation of actual impacts (which track project goals);

Tracking use of funds and technical support (inputs) made available to various sub-components of the programme, will
be relatively straight-forward. Tracking outputs (direct results of a given investment) is the key activity required to
measure performance of the programme. The monitoring and evaluation process will be directly linked to the programme
Logical Framework.
Outputs are everything directly “produced” by the programme, e.g. increased skill levels, number of new hydrological
stations operationalised; regular collection, tabulation, storage, analysis, and subsequent use for basin planning
activities, water user registration rates, water fee collection levels, the number of water user entities established, the
extent of participation in implementation, the financial transparency of the BWO/EA/UWSA/LGA, etc. Outputs are what
the BWOs//EAs/UWSAs/LGAs and other recipients of the investment programme will be held directly responsible for.

Mid-term and ex post evaluations of outcomes and impacts are particularly useful in determining if these are correlated
to programme performance as well as determining if they are consistent with the main goal of supporting attainment of
outcomes of: (i) MKUKUTA (ie. economic growth and reduction of income poverty, improved quality of life and social well
being, and good governance and accountability); (ii) MDG; and (iii) Tanzania Vision 2025.

Each BWO/EA/LGA/UWSA shall establish a comprehensive baseline data/information at the start of the programme
against which achievements can be compared.

The envisaged monitoring will look at both process and product:
(iii) How and what activities were accomplished;                                                                            Formatted: Indent: Left: 0", Bulleted +
(iv) Examine the progress - whether activities are implemented according to plan;                                           Level: 1 + Aligned at: 0.25" + Tab after: 0.5"
                                                                                                                             + Indent at: 0.5", Tab stops: 0.25", List tab +
(v) Scrutinise the process - how activities are done and who are involved/organised; and                                    Not at 0.5"
(vi) Measure effect – what was the end result?


                                                           88
Monitoring of the immediate impact: will be measured through targeted surveys on water quality and understanding of
knowledge, attitudes and practice.

Outputs: will be verified through field inspections and visits, stakeholder workshops and meetings, documentations such
as minutes of meetings, back to office reports, progress reports; photographs, video and other materials produced,
analytical reports (e.g. hydrological year book), strategies and plans, regular six-monthly international evaluations whose
results would be readily available to stakeholders, participating institutions and development partners. Data collection
and processing procedures would be developed for the purpose. BWOs/EAs/LGAs/UWSAs are required to ensure
availability of these documents at all times.

Collecting and monitoring data on indicators will enable programme management and the stakeholders to:
     Assess progress against planned targets and adjust targets to realities                                                 Formatted: Indent: Left: 0.25", Bulleted +
                                                                                                                              Level: 1 + Aligned at: 0" + Tab after: 0.25" +
     Assess efficient and effective use of a particular indicator on the resources                                           Indent at: 0.25", Tab stops: -0.25", List tab +
     Identify bottlenecks and timely find corrective action                                                                  Not at 0.25"
     Ensure that quality workmanship is being maintained
     Provide a record of lessons learnt
     Provide an information base for future evaluations
     Provide the basis for improved planning
     Identify cause and rectify immediately

On evaluation, WSDP has many stakeholders and all of them would like to know what is going on during and after its
implementation. They all have a stake in the undertakings of the programme and will be involved in monitoring its
physical and financial progress.

The WSDP log frame indicates that there will be an end-of-programme evaluation. The aim is to determine the relevance
and fulfilment of the programme objectives, and the extent to which the programme has been efficiently and effectively
implemented in relation to impact and sustainability.
Essentially the evaluation will focus on comparing the before and after situation, in terms of the following key areas:
 Effectiveness (results) of the programme – have the results been achieved?
 Efficiency of the programme i.e. has value for money been observed?
 Development soundness i.e. who benefits? Are benefits distributed equitably? Does the programme create
    dependency? Is it sustainable? What are the effects on the environment on community?
 Changes or Improvements in Doing Things e.g. Are the water users managing their water resources sustainably?
 Evaluation results will help in:
 Developing policies and planning future operations.
 Making effective decisions on allocation of resources.
 Measuring performance of organisations/agencies involved in WRM.
 Controlling and monitoring implementation of planned action.

The following methods will be used in evaluating the Programme:

   Comparison of the well being of beneficiaries before and after the programme. This approach requires that the
    baseline data collected prior to the start of the programme is reliable. That is, the parameters on which the
    programme is expected to impact should be clearly defined. Also the comparison should be meaningful enough that
    it indicates the timing of the “after” measurements. This requires that community basic data collected by the DWST
    during the promotion phase should be validated by FSPs.
   Review of progress reports from MoW and LGAs
   Review of national poverty reports, economic survey data and statistics on health.




                                                           89
8.2      Monitoring Indicators

Performance indicators are a measure of how well an activity is being performed against a set target. In              Formatted: Justified
implementation of WSDP, a range of indicators will be used to assess how efficiently and effectively the
programme is performing against set targets: The following indicators are proposed:

Water Resources Manangement
 Number of river and Lake basin Water Offices established and operational
 Level of environmental protection and conservation of main rivers, lakes, wetlands and groundwater activities.
 Level of knowledge of available and potential surface and groundwater resources and their utilization
 Number of operational River and Lake Basin IWRM plans
 Increased access to water resources

Water Supply and Sanitation
 Percentage of people with access to improved water sources
 Percentage of people with sources that is functional
 Percentage of people with improved sanitation
 Percentage of water samples which comply with national standards
 Percentage of water points with functioning water and sanitation committees
 Percentage of water and sanitation committees with women holding key positions
Table 36: Stakeholder Responsibility for Monitoring and Evaluation                                                    Formatted: Font: Bold
                                                                                                                      Formatted: Font: Bold
                      Table 22: Stakeholder Responsibility for Monitoring and Evaluation                              Formatted Table
Level            Issues for Monitoring                                           Methods/Tools
Community         Services provided including sitting, drilling, civil           Community/WATSAN Meetings
Level: Watsan       works, accessibility of water services, water quality,        Inspection observation
Committees,         repairs and maintenance and training                          Discussions
VG leaders,       COM including election and functioning of                      Application form
community            WATSAN committee, financial management,                      FMP
members,              gender participation, O&M management, legal set             WATSAN reports
and SPs              up of water entities                                         FSP & TSP reports
                  Hygiene, Sanitation and HIV/AIDS on community
                      response and action on Hygiene/Sanitation /HIV/AIDS
                      education/promotion
LGA Level         Community response to RWSSP information in terms of              FSP, TSP progress reports
DWST,                 organisation, self-mobilisation, water fund contribution      Field visits
Councillors,      Performance and results of community                             FMP
SPs               Physical performance and results of FSPs & TSPs                  Application forms
                  Financial expenditure: consistency between                       Financial reports by DT
                       budgets and utilisation                                      WATSAN reports & minutes
                  Technical facilities-quality of work, scheduling, etc            District W&S plans
Regional          Performance of DWSTs, TSPs/contractors & FSPs                    Quarterly Progress Reports by
Level:            District institutional support                                    LGA (physical and financial
RS                Progress and results on national level                            reports)
                      Components e.g. policy development, capacity building,        Monthly reports of FSPs and
                      stakeholders network, material/equipment                       TSPs
                      production i.e. quantity and quality                          District W&S plans
                                                                                    Field visits
MoW:             Overall programme implementation assessment                        RS performance reports           Formatted: Bullets and Numbering
                    throught                                                        LGA Quarterly Progress Reports
                  Programme performance reports from RSs                           (physical and financial)         Formatted: Bullets and Numbering




                                                         90
                 Table 22: Stakeholder Responsibility for Monitoring and Evaluation                    Formatted Table

Level         Issues for Monitoring                                    Methods/Tools
               Progress reports from LGAs/DWSTs and Service            District W&S plans
                  Providers                                             Field visits
               Monitoring of the performance of the DWSTs and SPs      Mission Reports
               Beneficiary assessments
               Audits and supervision missions
Ministry of    Financial audits                                          Financial reports           Formatted: Bullets and Numbering
Finance:                                                                  Physical progress reports
                                                                          Audit inspections




                                                 91
Level             Issues for Monitoring                                           Methods/Tools
MoW:              Overall programme implementation assessment                     RS performance reports
                      throught                                                    LGA Quarterly Progress Reports
                   Programme performance reports from RSs                        (physical and financial)                  Formatted: Bullets and Numbering
                  Progress reports from LGAs/DWSTs and Service Providers         District W&S plans
                  Monitoring of the performance of the DWSTs and SPs             Field visits
                  Beneficiary assessments                                        Mission Reports
                  Audits and supervision missions
Ministry of       Financial audits                                                Financial reports                         Formatted: Bullets and Numbering
Finance:                                                                          Physical progress reports
NAO                                                                               Audit inspections


8.3      Management Information System

At all levels (national, basin, catchment, district and local), Management Information Systems are weak or non-existent.
Storage, analysis, and dissemination of information received through reporting and feedback is inadequate. Thus, for
effective monitoring and evaluation, the programme will improve collection and analysis of performance data, by initially:
(i)       reviewing/developing performance guidelines and identifying the information required;                              Formatted: Indent: Left: 0", Numbered +
(ii)      preparing guidelines for reporting, evaluating and feeding back information to stakeholders;                       Level: 1 + Numbering Style: i, ii, iii, … + Start
                                                                                                                             at: 1 + Alignment: Left + Aligned at: 0.25" +
(iii)     introducing computer based performance monitoring systems; and raising awareness of the communities and            Tab after: 0.75" + Indent at: 0.75", Tab
          other stakeholders regarding performance monitoring and the procedures involved.                                   stops: 0.5", List tab + Not at 0.75"


MoW has developed a computerized management information system (MIS). It will be gradually customized and
introduced into all BWOs, EAs, UWSAs and LGAs.

The purpose of the MIS are to provide the necessary tools and system for:
a) Networking and information exchange;
b) Programme tracking and management;
c) Programme documents retrieval, and
d) Planning and management for BWO staff.

The MIS will provide:
 High speed internet links between the Ministry Headquarters and BWOs, EAs, UWSAs and LGAs;
 An operational web-based MIS;
 Networking of WRMDP stakeholders;
 Linkages to the Ministry’s water sector website;
 Tracking of programme activities;
 Creation of WSDP GIS-based data and maps data;
 The building of users’ capacity to operate and sustain the MIS, and

The above outputs shall be organised into a user-friendly database, simple to use and easy to input data. Thus with
basic training, BWO, EA, UWSA and LGA staff will be able to input their data and use the MIS not only to store data but
also to:
 monitor progress and manage the programme;
 access the internet for email and high speed web browsing;
 communicate with other stakeholders through chat;
 obtain and share project documents; and
 undertake web-based training and watch over budget and expenditures.

All of the above will also be available to MoW management at headquarters. Information summaries will be prepared so
that country-wide reports on programme progress covering all BWOs, EAs, UWSAs and LGAs will be available on a day-
to-day basis. Management will also be able to drill down to the individual institutions to check on individual programme
progress, such as what tenders were let, and what is being done to overcome constraints to progress. The new MIS will


                                                           92
also provide management with immediate access to key documents such as engineering designs, contracts, reports and
proposals.


8.4      Reporting Procedures and Mechanisms

The following reports on the progress of the projects will be submitted to the Ministry of Water:
         (a)      A weekly flash report to be submitted every week by Telefax, Telephone or E-Mail.
         (b)      Monthly report to be submitted not later than 10 days after the end of the month by a fast courier service.
         (c)     Quarterly report to be submitted not later than 14 days after the end of the quarter (end of every 3 months)              Formatted: Indent: Left: 0.5", Hanging:
                  by a fast courier service.                                                                                                0.48", Numbered + Level: 1 + Numbering
                                                                                                                                            Style: a, b, c, … + Start at: 3 + Alignment: Left
         (d)     Annual report (operational) with draft annual accounts of the previous financial year shall be submitted not              + Aligned at: 0.5" + Tab after: 0.75" + Indent
                    later than 15 September every year.                                                                                     at: 0.75", Tab stops: Not at 0.75"
         (c)(e) Annual report, will be submitted as per Regulation 29 of the Waterworks Ordinance.


The reporting procedures notwithstanding, the UWSAs, LGAs, BWOs and Executive Agencies shall report promptly to
the Ministry, Regional and Local Govenment Authorities any major event likely to affect smooth operation of the
programme.




Table 2337: Summary of Reporting Mechanisms and Evaluation Responsibilities*                                                                Formatted: Left: 0.79", Right: 0.79", Top:
                                                                                                                                            0.79", Gutter: 0", Width: 8.27", Height:
      Entity           M&E Scope               M&E Foci           Frequency            Method                      Reporting
                                                                                                                                            11.69"
                                         Main Entities Involved in M&E Activities for the WSDP
                                                                                                                                            Formatted: Font: 9 pt
MoW - Water          WSDP in                 results;           Quarterly.     MIS systems;          monthly management reports on
Sector Working        entirety; and           processes;                         MKUKUTA                sector coverage, status of
Group                all sub-projects        all aspects of                       principles;           capacity building, status of
                                               sub-project                        WSDP LFA and           sector coordination, budget
                                               planning and                         PMF;                  performance;
                                               implementation                     Poverty Monitoring    quarterly reports on
                                               ; and                                System (PMS)          implementation status, results,
                                              monitoring of                        tools;                disbursements, findings,
                                               funds from                                                 recommendations, main issues,
                                                                                  baseline studies;
                                               National Water                                             decisions sought of
                                                                                  focus groups;          Development Partners,
                                               Fund.
                                                                                  interviews;            environmental performance;
                                                                                  site visits;          resources tracking studies;
                                                                                  water quality         technical & financial audits;
                                                                                    monitoring; and      reports re National Water Fund
                                                                                  participatory          allocations as required;
                                                                                    workshops.           Annual State of the Water
                                                                                                          Sector report;
                                                                                                         mid-term review;
                                                                                                         joint sector reviews (for input
                                                                                                          into MKUKUTA performance
                                                                                                          reviews); and
                                                                                                         implementation completion
                                                                                                          report
Division of Water    WRM sub-             monitoring and       TBD.            BWB and BWO           TBD.
Resources of MoW      projects;             evaluation of                          reports;
                     basin water           Basin Water                           meetings with
                      resources; and        Boards;                                BWBs, BWOs and
                     national water       trans-boundary                         other WRM
                      resources.            issues;                                stakeholders;
                                           multi-sectoral                        MIS systems; and
                                            issues; and                           WSDP LFA and
                                           technical issues.                      PMF.



                                                                  93
       Entity            M&E Scope              M&E Foci            Frequency            Method                      Reporting                Formatted: Font: 9 pt
Basin Water             WRM sub-           WRM issues and         at least       baseline studies;    Quarterly Reports.
Offices (BWOs)           projects; and       results;                quarterly.     site visits;
                        basin water        fund flows;                            monitoring
                         resources.         water rights                            stations;
                                             adjudications; and                     MIS systems;
                                            trans-boundary                         WSDP LFA and
                                             issues (six basins)                     PMF; and
                                                                                    multi-sectoral
                                                                                     meetings and
                                                                                     workshops.
Executive               Water supply       Water supply           quarterly,     MIS systems; and     Quarterly Reports
Agencies                 sub-projects       Financial               monthly,       WSDP LFA and         Annual Reports
                        Training            management              weekly or       PMF
                        Supply of           issues                  daily,
                         goods                                       depending
                                                                     upon
                                                                     indicator/
                                                                     parameter
Energy and Water        UWSAs; and         regulatory             continuous.    water quality        as required.
Utilities Regulatory    urban water         compliance of                           testing (audits);
Authority (EWURA)        and sewerage        UWSAs; and                              and
                         sub-projects       performance of                         inspections of
                                             UWSAs.                                  Water Treatment
                                                                                     Plants (WTPs) and
                                                                                     Sewage Treatment
                                                                                     Plants (STPs).
Urban Water and         urban water        drinking water         quarterly,     drinking water       generally quarterly and annual
Sewerage                 supply; and         quality and             monthly,        quality testing;      status reporting depending on
Authorities (UWSA)      sewerage sub-       quantity;               weekly or      STP discharge         the requirements of the
or Water Supply          projects; and      sewerage                daily,          monitoring;           EWURA, MoW and
and Sanitation           overall urban       extension and           depending      MIS systems; and      Development Partner
Authorities (WSSA)       water and           O&M;                    upon                                  requirements; and
                                                                                    WSDP LFA and
                         sewerage           service levels and      indicator/                           reporting should also include
                                                                                     PMF.
                         delivery.           coverage rates;         parameter                             reporting of Best Management
                                            financial                                                     Practices for sharing with other
                                             management                                                    UWSAs and others and not just
                                             issues; and                                                   regulatory requirements or
                                                                                                           requirements of GoT and
                                            sustainability
                                                                                                           Development Partner
                                             issues.
                                                                                                           requirements.
Local (District)        rural water        drinking water      at least    drinking water             quarterly status reports
Governments and          supply;             quality and          quarterly    quality testing;            documenting progress,
District Water and      sanitation sub-     quantity;                        site visits;                identification of problems and
Sanitation Teams         projects;          service levels and               MIS systems; and            associated recommendations,
(DWSTs)                 and overall         coverage rates;                                               issues needing follow-up,
                                                                              WSDP LFA and
                         rural service      financial                                                     progress since previous status
                                                                               PMF.
                         delivery.           management                                                    report.
                                             issues;
                                            sustainability
                                             issues;
                                            health, hygiene,
                                             sanitation issues;
                                            status of capacity
                                             building; and
                                            gender equality
                                             issues.
                                                OTHER ENTITIES INVOLVED IN WSDP M&E




                                                                    84
       Entity            M&E Scope              M&E Foci            Frequency            Method                        Reporting                Formatted: Font: 9 pt
Water Sector High       WSDP at all        policy choices         semi-          MKUKUTA                TBD
Level Forum, PS          levels             effectiveness of        annual          principles
for Water & PS of                            spending                               WSDP LFA and
Local Government,                           performance                             PMF
other water sector                                                                  outputs from MIS
                                            strategies
related Ministries                                                                   systems
                                            funding decisions
                                                                                    official reports

Independent             sub-projects.      results.               mid-term       JAS monitoring         water sector info. for IMG mid-
Monitoring Group        interactions of    success of JAS          and end of      matrix                  term
(IMG) of the Joint       Development         model in the            JAS period     indicators from        final JAS assessment reports
Assistance               Partners and        sector                                  Paris Declaration
Strategy (JAS)           GoT Ministries                                             select site visits
                                                                                    other review
                                                                                     processes
Development             sub-projects       focus will depend      as required    various                annual M&E reports for JAS
Partners (DPs)           financed by         on type(s) of sub-      by Dev.         methodologies &         Annual Implementation reports
                         Development         project.                Partners        tools including JAS    midterm and final review reports
                         Partners                                                    monitoring matrix      other reports as required by
                                                                                     and MIS systems         Dev. Partners
National Audit          WSDP               financial flows and    quarterly      established NAO        established NAO reports
Office (NAO) of          finances.           value for money         and annual      methodologies &
Min. of Finance         sub-projects                                                tools
President’s Office -    sub-projects.      administrative         periodic as    established PO-        established reporting
Regional                                     and/or technical        needed          RALG & Regional
Administration and                           monitoring to                           Secretariat
Local Government                             support LGAs                            methodologies &
(PO-RALG) &                                                                          tools
Regional                                                                            MIS systems
Secretariat
Ministry of Health      macro level        health related         at least       baseline studies       annual status reports
through Village          health issues       matters and             quarterly      health surveys
Health Posts,            for sector          indicators                             site visits
Health Centres and      individual sub-                                            MIS systems
central staff            projects
                                                                                    WSDP LFA and
                                                                                     PMF
National Water         WRM sub-             inter-sectoral         as required    WSDP LFA and           TBD
Board (NWB)            projects and          WRM planning                            PMF
                       related              coordination of                        meetings w/ Basin
                       institutional         Basin plans                             authorities and
                       strengthening        investment issues                       other stakeholders
                                            conflict
                                             management
                                            technical issues
                        BWOs               oversight of BWO       TBD            BWB and BWO            TBD
                                             activities and                          reports
                                             results                                Meetings w/
                                                                                     BWBs, BWOs and
                                                                                     other WRM
                                                                                     stakeholders
Basin Water             WRM sub-           WRM planning &         TBD            meetings with          Quarterly Reports
Boards (BWBs)            projects            management                              BWO staff and
                                            data analysis and                       other stakeholders
                                             assessment                             MIS systems
                                            results of WRM                         WSDP LFA and
                                             sub-projects                            PMF




                                                                    85
      Entity            M&E Scope              M&E Foci             Frequency               Method                        Reporting                 Formatted: Font: 9 pt
Catchment Water       WRM plans and       catchment plans         TBD               baseline studies       periodic reports to BWOs
Committees             sub-projects in     conflicts within the                       site visits
(CWCs) and Sub-        specific             catchment                                  monitoring stations
Catchment Water        Catchment or        review of data                             MIS systems
Committees             Sub-Catchment        collected
                       Areas                                                           WSDP LFA and
                                                                                        PMF
                                                                                       multi-sectoral
                                                                                        meetings &
                                                                                        workshops
UWSA/WSSA             urban water         results                 TBD               meetings w/            TBD
Board of Directors     and sewerage        major issues that                           UWSA/WSSA staff
                       sub-projects         arise                                       and user groups
                                                                                       UWSA/WSSA
                                                                                        reports
Village Councils      rural water         financial               as required       meetings with          as required by District
                       supply and           management               but at least       Village Water           Government
                       sanitation sub-      issues                   quarterly          Committees
                       projects            sustainability                             review of Village
                                            issues                                      Water Committee
                                           concerns of                                 reports
                                            villagers                                  focus groups
                                           key issues                                 MIS systems
                                            identified by                               where capacity
                                            Village Water                               exists
                                            Committee
Village Water         rural water         all aspects of          frequency       drinking water           monthly, quarterly status reports
Committees             supply and           water supply and         of               quality testing
                       sanitation sub-      sanitation               monitoring      MIS systems
                       projects             subprojects              will depend     WSDP LFA and
                                                                     on what is       PMF
                                                                     being
                                                                     monitored
                                                                     – some
                                                                     indicators
                                                                     or
                                                                     parameters
                                                                     will be
                                                                     monitored
                                                                     continuousl
                                                                     y while
                                                                     others will
                                                                     be
                                                                     monitored
                                                                     weekly,
                                                                     monthly, or
                                                                     quarterly
Performance           WSDP in                results              TBD             MIS systems              TBD
Monitoring             entirety               processes                             MKUKUTA
Technical Working     all sub-projects       all aspects of                         principles
Group (as per                                  sub-project                           WSDP LFA and
DPG-Water sector                               planning and                           PMF
dialogue)                                      implementation                        Poverty Monitoring
                                                                                      System (PMS)
                                                                                      tools
                                                                                     may include
                                                                                      baseline studies,
                                                                                      focus groups,
                                                                                      interviews, site
                                                                                      visits, water quality
                                                                                      monitoring reports,
                                                                                      participatory
                                                                                      workshops




                                                                    86
9. SUSTAINABILITY

The primary purpose of sustainability concept is to have sustained water resources, water supply service and
sanitation service delivery, as well as value for money. Capital investments made in the WSDP shall be owned
and managed sustainably. Sustainability starts from the inception stage, planning process, implementation
stage, establishment of water user entities, up to commissioning of sub-projects. Following commissioning of
sub-projects, service regulation has a considerable influence in the sustainability of the installed facilities.

9.1 Guidelines Pertaining to Water Resources Management

The basin Boards and basin Offices in collaboration with other stakeholders, should ensure that water resources are
utilised within sustainable limits (safe yields of surface and groundwater and the assimilative capacities for discharge of
pollutants)
,
The basins in collaboration with other stakeholders should ensure protection of the water resource, and to better
incorporate environmental issues such as environmental flows and habitat protection into water resources management
decisions.

This should be achieved through provision of necessary water resources data for planning purposes, carry out water
quality and quantity monitoring, water allocation for various uses and enforcement of water quality and effluent
standards.

9.1.1 Water Quality Standards

Pollution undermines the use of an important, and in some cases, an increasingly, scarce resource. Under the WSDP
the basins shall develop-specific water quality management strategies under the respective river and lake basin plans.
Some of the guidelines would include
     Designing of water quality-monitoring programme around water quality-monitoring network
     Development of a classification system for surface water so that changes in water quality
      can be tracked.
    Arrange for large point source polluters to install and maintain effluent-monitoring system for self monitoring
    Development of river condition classification system
    Development of permanent water quality standards
    Strengthen the water quality laboratories to better perform its obligations
    Enforce and review the Tanzanian Water Quality Standards                                                                 Formatted: Font: 11.5 pt
    Adopt WHO Drinking Water Quality Standards

In designing of a sustainable water quality assessment programme the               following steps should be adopted:         Formatted: Font: Arial Narrow, 11.5 pt
                                                                                                                              Formatted: Justified
    Determine the Objective: the real need for the water quality information i.e. for what purpose will the                  Formatted: Justified, Bulleted + Level: 1 +
     information be used;                                                                                                     Aligned at: 0" + Tab after: 0.32" + Indent at:
                                                                                                                              0.32"
    Preliminary survey- activities to determine the type of monitoring media/ required
                                                                                                                              Formatted: Bullets and Numbering
     Field monitoring operations,- Sampling, pre-treatment and conservation, identification, shipment (use of
     qualified personnel, relevant technology, combination with hydrological monitoring)
    Monitoring design- -Selection of sampling locations, pollutants, sampling frequency, sampling apparatus,
     etc
    Hyrological monitoring- Water discharge measurements, water levels, thermal profiles etc.,
     Laboratory activities- Concentration measurements, biological determinations of the parameters according
     to the standard manuals
    Data quality control- Analytical quality assurance within each laboratory and, if relevant, amongst all
     participating laboratories in the same programme.



                                                            90
    Data storage treatment and reporting. - Generally involving use of databases (analytical data, hydrological
     data and information on sampling site) and a report presenting the results in appropriate forms
    Data interpretation- Comparison of data between stations, trends, development of cause-effect relationships
     between the water quality data and environmental data, judgement of adequacy of the water quality for
     different uses
    Data dissemination- Publication and dissemination of the assessment to relevant authorities, the public, etc
    Management decision- Recommendations on further actions, i.e. action plans, mitigating measure, law
     enforcement, etc. To be decided upon of the relevant authorities (water, environmental, local, central,
     international
                                                                                                                          Formatted: Justified


(b) Designing a Water Quality Monitoring Programme

    Monitoring programme may be classified as simple, intermediate level and advanced level, and due
    considerations should be taken to choose a level in line with the economic and technical situation.

The following should be taken into consideration :

   the data should be essential and meaningful for the interpretation and for management decisions                       Formatted: Justified, Bulleted + Level: 1 +
                                                                                                                          Aligned at: 0" + Tab after: 0.25" + Indent at:
   must not lead to a vast collection of unnecessary data that do not contribute to the required understanding of        0.25"
    the water quality
                                                                                                                          Formatted: Bullets and Numbering
   take into account the financial situation and the technical and scientific development as well as the socio-
    economic situation
                                                                                                                          Formatted: Font: 11.5 pt
9.1.2 Effluent Water Standards

The Water Utilisation Act, Amendment 1981 has set standards for receiving waters, which shall be applicable in            Formatted: Justified
implementation of WSDP. Enforcement shall be carried by the Basin water Board through:                                    Formatted: Font: 11.5 pt
    Establishment of an effective but less costly monitoring system of discharge permits
    Issuing of licenses and Improving enforcement and compliance on effluent and water quality standards                 Formatted: Font: 11.5 pt, Font color: Auto
                                                                                                                          Formatted: Font: 11.5 pt
                                                                                                                          Formatted: Font: 11.5 pt, Not Highlight
9.1.3 Water User Fee Setting at Basin Level
                                                                                                                          Formatted: Font: 11.5 pt
                                                                                                                          Formatted: Font: Arial Narrow, 11.5 pt, Not
It is expected that by the end of the first year a plan for fully financed BWOs will be in place. Strengthening of        Highlight
BWOs is required in order to improve the billing and fee collection systems, The lesson from the changes that have
already taken place in these basins is that changes need a balance between patience and support to see the
changes through. The plan is to have the BWOs fully autonomous and accountable entities by year 2015.                     Formatted: Font: Arial Narrow, 11.5 pt
                                                                                                                          Formatted: Font: 11.5 pt
The Basin Water Boards shall develop Water User Fees which are relevant to respective basins .The Water User
Fee (WUF) are the source of revenue for the Basin Water Offices to finance their regulatory as well as operational
functions. On the other hand, the WUF acts as a price regulator on the use of water. Its design and setting is
targeted attargeted at encouraging efficient water use and allocationand allocation.

A detailed study of revenue options for water resources management would be carried out to review and                     Formatted: Font: Arial Narrow, 11.5 pt
recommend the use and operational application of the various user charges and levies to finance basin
management and operational expenses. During the preparation of the basin plans, basin specific water user
charges such as fees, royalties, levies, fines, penalties, remedial costs as well as their structures will be detailed.
The revenue options to be explored would include both consumptive uses such as irrigation, industries and non
consumptive uses of the water resources such as tourism. In cases where user fees, charges and levies prove to be         Formatted: Font: Arial Narrow, 11.5 pt, Not
inadequate, recommendations will be made to ensure that the appropriate level of budget support as specific line          Highlight




                                                         91
items is in place. The establishment of Catchment offices and water User Associations will promote and enhance                 Formatted: Font: Arial Narrow, 11.5 pt
billing and fee collection efficiency in the respective BWOs.
                                                                                                                               Formatted: Font: 11.5 pt
Criteria should be established by respective basin boards for charging water user fees consideringfees considering
water supply and/or rural poor water supply schemes. The criteria shall be developed during the assessment
processes for charging for water. One aspect is that fees will not be charged for water, which was not abstracted
(water not available); and metering for large abstractions as a demand management measure shall be adopted
wherever necessary.

9.1.4 Regulation and Monitoring

Water resources regulation and monitoring in WSDP shall be done by Basin Water Boards ,inBoards, in                            Formatted: Font: 11.5 pt
collaboration with various stakeholders, and, and would involve :                                                              Formatted: Font: 11.5 pt
     inventory of water users (and the quantity utilised) shall be developed for the establishment of water user
      information. The inventory is vital for water rights management and water user billing as well as for overall
      basin management and water allocations. The database can serve as input to hydrological modeling and for
      aiding in decision-making.
     Establishment of an effective water quality monitoring programme and a way of evaluating the results
      forresults for all river systems and large aquifers.                                                                     Formatted: Font: 11.5 pt
     Establishment of a river classification system to provide baseline data needs so that changes in water quality
      can be tracked.
     Large point sources polluters shall be required to install and maintain effluent-monitoring system for self
      monitoring

Also, Basin Water Boards shallBoards shall monitor and regulate water resource utilisation and management                      Formatted: Font: 11.5 pt
through the following:
 Guidance and technical advice to catchment/subcatchment committees, WUAs, LGAs and other stakeholders
     on participatory WRMD initiatives.
 Provide technical advice to LGAs and other stakeholders.
 Capacity development of catchment/subcatchment committees, WUAs, LGAs and other stakeholders
     catchment/subcatchment committees, WUAs, LGAs and other stakeholders
 Provide technical oversight and monitoring of the activities of the BWOs.
 Educate stakeholders and water users on WRM regulations and ensure
 Ensure compliance on Standards and regulations for Water abstractions(surface and Groundwater ) and discharges
 Develop and regularly update water use permits and enforce water use fee collections.

9.2 Guidelines on Rural Water Supply and Sanitation
In the rural areas, it is required that 250 people are supplied with water of acceptable quality, at a distance of not more than 400
meters from their homestead, at the rate of 25 litres per person per day. WSDP plans and interventions shall take account of the
criteria during design, im plementation and management.

9.2.1 Water Quality

In rural areas the Tanzanian Standard for water and waste water quality shall be used . It is recommended that the
following actions, should be taken to achieve the required level of water quality control, by each LGA:
     Each LGAs is responsible for its own basic water and wastewater quality monitoring. It should undertake regular
      measurements of free chlorine residual, turbidity, pH and total coliforms, plus any other parameters which are
      relevant to its raw water quality and treatment process.
    Training in the use of equipment, education of staff on the importance of accurate testing and reporting of results,
     and training of treatment plant operators to respond to failures and changes in the quality of raw water.




                                                          92
    Investment in new laboratory equipment. It is recommended that simple equipment for manual sampling and
     testing is purchased and a set of equipment is purchased for each LGAs
    Systematic checking and control of LGAs laboratories should be undertaken by the Government Chemist, Central
     Water Quality Laboratory of MoW or independent private laboratories. These laboratories should also measure an
     extended range of parameters to ensure the wholesomeness of the supply.
    Each LGAs should develop a water quality-monitoring programme. This shall be based on Tanzanian Water
     Quality guidelines, but should also be adapted to match both the requirements of each LGAs’s water sources and
     their financial means.


        Each LGAs is responsible for its own basic water and wastewater quality monitoring. It should undertake             Formatted: Font: Arial Narrow, 11.5 pt
         regular measurements of free chlorine residual, turbidity, pH and total coliforms, plus any other parameters        Formatted: Bullets and Numbering
         which are relevant to its raw water quality and treatment process.
        Training in the use of equipment, education of staff on the importance of accurate testing and reporting of
         results, and training of treatment plant operators to respond to failures and changes in the quality of raw
         water.
        Investment in new laboratory equipment. It is recommended that simple equipment for manual sampling
         and testing is purchased and a set of equipment is purchased for each LGAs
        Systematic checking and control of LGAs laboratories should be undertaken by the Government Chemist,
         Central Water Quality Laboratory of MoW or independent private laboratories. These laboratories should
         also measure an extended range of parameters to ensure the wholesomeness of the supply.
Each LGAs should develop a water quality-monitoring programme. This shall be based on Tanzanian Water Quality guidelines,
                                                                                                                     Formatted: Font: Arial Narrow, 11.5 pt, Not
                                                                                                                     Bold
but should also be adapted to match both the requirements of each LGAs’s water sources and their financial means.
                                                                                                                             Formatted: Font: 11.5 pt, Not Bold


9.2.2 Tariff Setting
In the rural areas, communities manage their own facilities by chosing affordable technologies and setting tariff that is
affordable and commensurate with their economic status. The aim is to have full cost recovery on operation and
maintenance costs, i.e. not including depreciation. The communities well know about all people who cannot afford to pay
for the water supply service. In this respect, communities are required to arrange for paying for the water supply service
for the poor, and also enhance sustainability of the facilities.


9.2.3 Supply Chain of Spareparts                                                                                             Formatted: Not Highlight



WSDP envisages 48% of all rural water supply schemes to apply hand pumps technology. In order to sustain these
type of schemes, a supply chain of hand pumps and spares already established in three regions shall be expanded
to cover the rest of the regions. The hand pumps and spare parts will be required at project area which is the
lowest level of the implementation arrangement so as to ensure sustainability of the entire programme.

The continued supply and stocking of the hand pumps and associated spares would be required at different levels
with centres being well established to accommodate the demand. The centers will deal with stocking and supplying
different spares of hand pumps, mechanical engines and electric motor pumps and windmills of the WSDP. The
centers will be run by the private sector and owners trained to improve their capabilities of undertaking the
activities. Appointed and certified Technicians will be trained for construction of hand pumps platforms, installation
of hand pumps and providing repair services as well as to train village caretakers as well as carry out periodic
inspection at each outlet center.

The centers involved in the supply chain are categorized into 6 zones as shown in the following table 39 below.


                                                           93
Tabke 39: Zones for Supply Chain of Spare Parts
 S/N             Zone                         Region                                 District/Center
  1.   Eastern
                                  1. Dar es Salaam                        Kinondoni, Ilala & Temeke
                                  2. Coast                                Bagamoyo, Kibaha, Kisarawe, Mafia,
                                                                          Mkuranga
                                       3. Morogoro                        Kilombero, Kilosa, Morogoro (U),
                                                                          Mvomero, Mahenge
 2.     Northern                       4. Tanga                           Tanga (U), Muheza, Pangani, Lushoto,
                                                                          Korogwe, Handeni, Kilindi
                                       5. Kilimanjaro                     Moshi (U), Hai, Rombo, Mwanga, Same
                                       6. Arusha                          Arusha (U), Arumeru, Monduli,
                                                                          Ngorongoro, Simanjiro
                                       7. Manyara                         Karatu, Kiteto, Mbulu, Babati, Hanang
 3.     Central-Western                8. Dodoma                          Dodoma (U), Kondoa, Mpwapwa,
                                                                          Kongwa
                                       9. Singida                         Singida (U), Iramba, Manyoni
                                       10. Tabora                         Tabora (U), Uyui, Igunga, Nzega,
                                                                          Urambo, Sikonge
                                       11. Kigoma                         Kigoma (U), Kigoma (R), Kasulu,
                                                                          Kibondo,
 4.     Lake Zone                      12. Mwanza                         Mwanza, Magu, Kwimba, Misungwi,
                                                                          Geita, Sengerema, Ukerewe
                                       13. Mara                           Musoma (U), Tarime, Serengeti, Bunda
                                       14. Kagera                         Bukoba (U), Muleba, Karagwe,
                                                                          Biharamulo, Ngara
                                       15. Shinyanga                      Shinyanga (U), Maswa, Bariadi, Meatu,
                                                                          Kahama, Bukombe, Kishapu
 5.     Southern -Western              16. Iringa                         Iringa (U), Mufindi, Njombe , Makete,
                                                                          Ludewa
                                       17. Mbeya                          Mbeya (U), Rungwe, Kyela, Ileje, Mbozi,
                                                                          Chunya, Mbarali
                                       18. Rukwa                          Sumbawanga (U), Nkasi, Mpanda
                                       19. Ruvuma                         Songea (U), Namtumbo, Mbinga,
                                                                          Tunduru
 6.     Southern Zone                  20. Lindi                          Lindi (U), Kilwa, Nachingwea, Liwale,
                                                                          Ruangwa
                                       21. Mtwara                         Mtwara (U), Newala, Masasi,
                                                                          Tandahimba
The district headquarters will be the center for supplying and stocking the spare parts.                               Formatted: Justified



9.2.43 Service Regulation and Monitoring
In the rural areas, regulation on water supply service shall be done by the Government, through LGAs. The DWTs shall
monitor community water supply organizations to understand about the following:
 Status of water supply service
 Management of the facilities
 Operation and maintenance of the facilities including costs
 Tariff structure in place
The LGA shall then decide on the steps and advice to be given on the situation pertaining to different situations.




                                                        94
                                                                                                                            Formatted: Font: Not Bold




9.3 Guidelines on Urban Water Supply and Sewerage Services
In urban areas, water supply services should be available to all people living within the designated urban area of the
wider service area of the authority, which is normally defined as the urban census district.


9.3.1 .Level of Service
Water supply services should be available to all people living within the designated urban area. The levels of service to
be provided within the main urban area are as shown follows:
Table 40: Level of Services                                                                                                 Formatted: Font: Bold

Hours of service          Continuous 24 hours per day by a designated date to be determined for each
                          authority according to the investment needed to achieve this aim.
Water quality             Water supplied should comply with Tanzanian standards for drinking water.
                          Derogations may be made where the standards are difficult to achieve,
                          provided such derogations are not injurious to health and customers are
                          notified of any precautions to be taken.
Reliability               Authorities may designate standards for reliability of the supply as part of
                          their customer charter. These must be realistic, but should aim to provide a
                          service to all customers for at least 99% of the time and limit interruptions to
                          the supply to no more than 12 hours.
Metering                  All customers should have a metered supply by 2010, except where water
                          quality is likely have a serious impact on meter operation.
The Authority may extend services to surrounding rural wards where a piped water supply is needed subject to funding
being available. Plans in the urban areas shall take into account the requirements described for interventions.

9.3.2 Water Quality

 In urban areas, guidelines for water quality monitoring are based on WHO recommendations.
It is recommended that the following actions, also applicable to WSSAs, should be taken by each UWSA to achieve the
required level of water quality control:
       Each UWSA is responsible for its own basic water and wastewater quality monitoring. It should                       Formatted: Bullets and Numbering
          undertake regular measurements of free chlorine residual, turbidity, pH and total coliforms, plus any
          other parameters which are relevant to its raw water quality and treatment process.
          Training in the use of equipment, education of staff on the importance of accurate testing and
           reporting of results, and training of treatment plant operators to respond to failures and changes in
           the quality of raw water.
          Investment in new laboratory equipment: It is recommended that simple equipment for manual
           sampling and testing is purchased and a set of equipment is purchased for each UWSA.
          Systematic checking and control of UWSA laboratories is undertaken by the Government Chemist,
           Central Water Quality Laboratory of MoW or independent private laboratories. These laboratories
           should also measure an extended range of parameters to ensure the wholesomeness of the supply.
          Each authority should develop a water quality-monitoring programme. This may be based on WHO
           guidelines, but should also be adapted to match both the requirements of each authority’s water
           sources and their financial means.




                                                             95
Each UWSA is responsible for its own basic water and wastewater quality monitoring. It should undertake regular
measurements of free chlorine residual, turbidity, pH and total coliforms, plus any other parameters which are relevant to
its raw water quality and treatment process.
Training in the use of equipment, education of staff on the importance of accurate testing and reporting of results, and
training of treatment plant operators to respond to failures and changes in the quality of raw water.
Investment in new laboratory equipment. It is recommended that simple equipment for manual sampling and testing is
purchased and a set of equipment is purchased for each UWSA.
Systematic checking and control of UWSA laboratories is undertaken by the Government Chemist, Central Water Quality
Laboratory of MoW or independent private laboratories. These laboratories should also measure an extended range of
parameters to ensure the wholesomeness of the supply.
Each authority should develop a water quality-monitoring programme. This may be based on WHO guidelines, but
should also be adapted to match both the requirements of each authority’s water sources and their financial means.


9.3.3 Sewerage Services
(g)(a) Sewerage services should be provided as part of an overall sanitation strategy for the urban area. They should
      be provided where on site sanitation services are unsatisfactory due to factors such as unsuitable underlying
      geology or high water tables.
(h)(b) Sewerage services should be integrated with other sanitation facilities, including the provision of public toilets
      and seepage collection and disposal.
(i)(c) Major industries that are outside the central area covered by the sewer network should treat and dispose of their
       own wastewater in accordance with Tanzanian standards. They should submit EMP report for their discharge
       permit from BWO or an Environment Clearance Certificate from NEMC. For industrial estates, separate wastewater
       collection and disposal systems may be provided in conjunction with EMA regulations that are independent of any
       municipal system. UWSAs shall take over and operate these systems and be responsible for application for
       discharge permit.
(j)(d) EWURA should establish standards for industrial wastewater discharges to sewers and ensure that theUWSAs
       install in-house pre-treatment facilities before discharging to public sewers, which prohibit any toxic materials,
       excessive oil and grease and substances likely to adversely affect the operation of the wastewater treatment plant.
       There should also be a limit on the Biological Oxygen Demand (BOD) and suspended solids loads of the effluent
       and charges should be related to the quality as well as the quantity of effluent discharged. Industries should be
       liable for any costs incurred by the UWSA where industrial effluents that do not comply with the standards damage
       the sewers or the treatment process.
(k)(e) Where a sewerage system is provided, wastewater (separated from storm water) collected should be treated
      and disposed of in accordance with Tanzanian standards. Provision should be made for the acceptance and
      treatment of seepage at the wastewater treatment plant.
(l)(f) Where sewer line exists, houses which are at a minimum distance of 30m from the sewer line are required to
       connect to the sewer (if necessary they may be connected on loan basis and pay through water/wastewater charge
       system arrangement)
(m)(g) In the selection of treatment method for waste water, dual consideration should be given to non – mechanical
     purification method as a first priority
(n)(h) All urban dwellers should be advised to use small volume cistern 5 litres instead of 9–13 litre cistern in
      lavatories (WCs systems). (This should be part of awareness campaign on house water economics that include
      type of flushing units and taps).




                                                           96
9.3.4 Quality of Service

Every Authority, guided by its mission and vision, shall offer quality services commensurate with the best of world
practices.

9.3.5 Tariff Setting

Tariff setting is the responsibility of the Board and subject to approval by EWURA for certain UWSAs. The Board shall ensure
that the tariff set is affordable and adequate to meet costs of provision of water and sewerage services. Costs for category
(A) shall include Operation and Maintenance (O&M) costs, essential depreciation (eg. pumps, vehicles, computers, tools &
equipment etc.) and contribution to capital investment while for categories (B) and (C) shall include O&M costs only. The
tariff set shall provide for 5,000 litres of free water per month for the extremely poor households.

In the long run the aim should be for the authorities to operate as commercial organisations and recover their costs from
the charges for their services. However, final guidance on setting tariffs can only be provided after completion of the
“willingness to pay surveys”. In this regard, the preliminary guidelines on the tariff structure are presented as follows.
         a) All authorities should be aware of the full cost of providing water, even if current tariffs are not set to
            cover the full cost;
         b) The household tariff should reflect the results of willingness to pay surveys. Householders should
            be charged up to the limits of what they are willing to pay, unless this exceeds the cost of providing the
            supply, as this not only maximises the authority’s revenues but also discourages wasteful use.
         c) The same principle applies to non-household customers. It is likely that industrial, major commercial
            and institutional customers will be able and willing to pay the full cost of supply. In general, it will be
            desirable for non-household customers to pay the full cost of their water, or they could pay more than the
            full cost and thereby subsidise households.
         d) Water should be provided to kiosks at a low rate. The rate should be determined so as to allow the
            operator to obtain a sufficient mark up to provide them with an adequate income for their work, whilst the
            charge for water to customers does not exceed the basic tariff for water delivered to a house through a
            private connection.
         e) Differential charging can be introduced among household consumers to assist the poor by
            introducing a progressive tariff structure, in which the unit cost of water increases with rising
            consumption. This allows poorer families to have a basic supply at a low rate.
         f)   The same principle of progressive tariffs may be applied to commercial customers to protect small
              traders and restaurants from the high rates charged to large companies.
         g) The authority’s fixed costs, which primarily relate to the cost of meter reading, billing and revenue
            collection, may be covered by a fixed charge, a meter rental charge or a minimum monthly consumption
            level. The use of such charges can discriminate against the poor, but may encourage shared connections.
         h) Connection fees could be set to cover the cost of making the connection, but it is generally considered
            preferable to limit the charge in order to encourage connections. However, it is important to have a fee
            which ensures that only people with the ability to pay subsequent bills for services provided are
            encouraged to connect.
         i)   Tariffs should be increased each year in line with inflation. This would be an automatic increase.
         j)   In addition to inflation increases, tariffs should be reviewed regularly and revised as needed to match
              increased costs and increasing ability and willingness to pay as the standard of living improves.


9.3.6    Service for the Poor


In urban areas, generally, all authorities are required to make provision for poor consumers as follows:



                                                            97
  (a) A kiosk should be provided where there is a demand for such a service, say more than 50 households or 10% of
      all households within a radius of 200 m are unable to afford a connection to their property. Wherever possible,
      the running of kiosks should be contracted to a private operator, who will be paid for his services from the mark up
      on the price of water sold to his customers. The tariff charged by the authority to the kiosk operator should allow
      the kiosk operator to sell water to his customers at a price that does not exceed the basic rate charged to
      household customers with a direct connection from the authority. To ensure that the operator is able to obtain a
      reasonable level of remuneration for the services he provides, water kiosks may be combined with shops or
      kiosks providing other goods and services. There is a need to adopt a more flexible approach to the siting of
      kiosks and selling of water generally if the poor are to get water at a reasonable price.
            If the Authority attempts to run kiosks as a social service in areas where there is very little demand, the
            remuneration of a kiosk operator, in terms of the cost per unit of water sold, may exceed the total of all other costs
            of providing the water, which will impose a large financial burden in the Authority.
  (b) The local authority may provide destitute families with tokens enabling them to obtain a basic water supply from
      kiosks. The water authority should reimburse the kiosk operator for the tokens accepted, unless the local
      government accepts this responsibility.
  (c) Outside the main urban area, but within its service area (the urban district) the UWSA should be obliged to
      provide basic services. The Authority will need to decide whether the most economic solution to the provision of
      supplies to these areas is to extend distribution systems from the main supply or to install local point sources. In
      either case the funding of the investments must come from outside the Authority.
  (d) Other provisions may be made to serve poor communities if the conditions are such that kiosks as outlined above
      are not deemed to be the best option. These may include bulk supplies to community organisations that will pay
      the authority for the supply and be responsible for distribution of the water to individual members, and restricted
      supplies designed to fill specified volumes of individual household storage facilities each day for a fixed monthly
      charge.
  (e) In surrounding rural areas it should maintain levels of services appropriate to poor consumers as described


9.3.7 Regulation and Monitoring

In urban areas, the Energy and Water Utilities Regulatory Authority (EWURA), has been established to regulate water
supply and sewerage services. Like wise, Consumer Consultative Councils should meet to discuss about matters of
interest to consumers.

(a)           EWURA

Regulation of the UWSAs/WSSAs will be carried out by the Energy and Water Utilities Regulatory Authority (EWURA)
established under Act 11 of 2001. EWURA will regulate four sectors: electricity, petroleum, natural gas and water &
sewerage. The functions of the Regulator include:
a. issuing, renewing and cancelling licences;                                                                                       Formatted: Bulleted + Level: 1 + Aligned at:
                                                                                                                                     0" + Tab after: 0.32" + Indent at: 0.32", Tab
b. establishing standards;                                                                                                          stops: 0.8", List tab + Not at 0.95"

c. regulating rates and charges;
d. making rules; and
e. monitoring performance;
      (i)          The number of performance targets set for Authorities in the initial licenses should be limited and should
                   focus of parameters that have a direct impact on the quality and cost of services. The tendency to micro-
                   management the WSSAs should be resisted and they should be encouraged to develop their own
                   individual management styles rather than conform to some arbitrary norm.


                                                                 98
         (ii)          The licence issued by the Regulator to an Authority will replace the Memorandum of Understanding which
                       currently governs the relationship between an UWSA and MoW
         (iii)         The Regulator shall focus on a small number of Key Performance Indicators (KPIs) which focus on service
                       delivery outcomes rather than the means of producing the outcomes. The KPIs should be challenging but
                       should not be unachievable and need to be assessed individually for each WSSA. The following nine KPIs
                       are proposed in the Programme Document and is expected to embrace the crucial financial and service
                       outcomes:



Table 24:41 Key Indicators in Performance Monitoring in Urban Water Supply and Sewerage Services

                    KPI (unit)                               calculation                                measures                           Formatted Table
                    collection ratio (%)                     collections/billing                        collection efficiency
                    working ratio (%)                        operational expenses/income                overall financial situation
 Financial




                    arrears (months)                         billings outstanding/monthly billing       outstanding debt
                    distribution and sales cost of water cost of distributing           and selling administration                  and
                    (Tsh/m3)                             water/water sold                           overhead costs
                    hours of supply (hours)1                 no of hours supply available               reliability of service
                    population served (number)               count of population served                 extent   of              service
                                                                                                        coverage
                    failures to meet       water    quality number of samples failing to meet the effectiveness of treatment
                    standards (%)                           specified standard/total nr. of samples processes
                                                            tested for each parameter.
                    unaccounted for water (%)                total sales/water produced                 overall efficiency
 Service




                    population served (sewerage)             number                                     extent   of              service
                                                                                                        coverage

As service improves and a 24 hour supply becomes the norm, this indicator should become a measure of the hours of
   interruptions to the supply (planned and unplanned) over the year.
      (iv)           The regulator will have to provide precise definitions of how each indicator is to be calculated. In setting the     Formatted: Indent: Left: 0.2", Numbered +
                                                                                                                                           Level: 1 + Numbering Style: i, ii, iii, … + Start
                      KPIs the Regulator will need to take into account the resources available to each UWSA. In particular,               at: 1 + Alignment: Left + Aligned at: 0.25" +
                      when setting the hours of supply, recognition should be made of any water resource constraints which                 Tab after: 0.75" + Indent at: 0.75", Tab
                                                                                                                                           stops: Not at 0.75"
                      prevent an Authority providing the required level of service.
      (v)            When setting the population served, the Regulator may need to take account of the financial resources
                      needed to extend the distribution network into new areas before an Authority can increase the number of
                      customers.

(b)Consumer Consultative Council
             (i)     One of the roles of the Regulatory Authority is to represent the interests of consumers and the EWURA Act            Formatted: Indent: Left: 0.32", Numbered +
                       allows for the creation of a Consumer Consultative Council (CCC) for this purpose. This will be a national          Level: 1 + Numbering Style: i, ii, iii, … + Start
                                                                                                                                           at: 1 + Alignment: Left + Aligned at: 0.38" +
                       level body with between six and ten members appointed by the Minister responsible for EWURA from the                Tab after: 0.88" + Indent at: 0.88"
                       business community and other bodies representative of private sector interests. The functions of the
                       CCC are to:
                     a. represent the interests of consumers by making submissions to, providing views and information to and
                         consulting with the Authority, Minister and sector Ministers;




                                                                      99
              b. receive and disseminate information and views on matters of interest to consumers of regulated
                  services;
              c. establish regional and sector consumer committees and consult with them;
              d. consult with industry, government and other consumer groups;
              e. establish local and sector consumer committees and consult with them.
     (ii)       The UWSA/WSSAs should welcome and encourage the formation of CCCs at local level as they can
                 provide the Water Authorities with useful market research data and also offer an opportunity for the
                 Authorities to test public opinion on sensitive issues such as tariff rates and structures.
     (iii)      The CCC will be supported financially for the first three years by EWURA and thereafter by EWURA,
                 Parliament, grants, donations, bequests or other contributions. Water Authorities my be asked to
                 contribute to the cost of running local CCCs once the initial funding period is over and, in view of the
                 advantages that are to be gained by the Authorities, they should ensure that they make a meaningful
                 contribution to the costs of local CCCs.

(c)Failing Authorities
While it is hoped that UWSAs will be successful in improving service delivery and in achieving financial sustainability, it
is anticipated that some UWSAs will fail to meet the challenges set for them and remedial action will be required.
Likely reasons for failure include:
     (i)      poor leadership and management                                                                                 Formatted: Numbered + Level: 1 +
                                                                                                                              Numbering Style: i, ii, iii, … + Start at: 1 +
    (ii)      unrealistic licensing conditions (unachievable Key Performance Indicators)                                     Alignment: Left + Aligned at: 0.25" + Tab
                                                                                                                              after: 0.75" + Indent at: 0.75", Tab stops:
    (iii)     extreme environmental conditions (drought, floods, El Nino, etc.)                                              0.8", List tab + Not at 1"

    (iv)      external factors (oil price increase, economic shocks, epidemics, etc)
    (v)       political factors (changes in policy, political interference, etc.)




                                                                100
ANNEX 1: LIST OF GUIDELINES AND MANUALS



                             General Guidelines and Operational Manuals

 SN   Guideline Title

 1    Programme Implementation Manual
 2    Procurement Manual
 3    Financial Management Framework
 4    Communication Strategy
 5    Environmental and Social Management Framework
 6    Resettlement Policy Framework




                        Sub Sector Specific Guidelines and Operational Manuals

 SN   Guideline Title

      WRM
 1    Operational Guidelines for Basin management
 2    WRM Programme Operational Manual

      RWSSP
  1   Guidelines for Planning and Operating District Water and Sanitation Grants
  2   Formula Based Allocation of Financial Resources to LGAs
  3   Programme Operational Manual (POM)
  4   District Operational Manual (DOM)
  5   Modular Guide for District Water and Sanitation Team Training
  6   Facilitators Manual
  7   Trainers’ Guide for Facilitators Training
  8   Community Water Supply Management Manual (a Handbook for WATSAN Committee)
  9   Guide for the Training of WATSAN Committee and Water User Groups
 10   Guidelines for Facilitating Communities in Establishing Legal Water User Entities
 11   Management Models for Community Water User Entities
 12   Field Monitoring and Coaching Guide
 13   Community Facilities and Management Plan (FMP)
 14   Water Supply and Waste Disposal Design Manual (1997)
 15   Capacity Building and Training Requirements

      UWSSP
 1    Revised Operational Guidelines
 2    Legislation and Operational Guidelines




                                                 101
                 ANNEX 2: SAMPLE FOR FINANCIAL RESOURCES UTILIZATION AGREEMENT



                                 FINANCIAL RESOURCES UTILIZATION AGREEMENT

                                                        BETWEEN

                            THE GOVERNMENT OF THE UNITED REPUBLIC OF TANZANIA

                                                           AND

                            _____________________________________________COUNCIL


This Financial Resource Utilization Agreement is made on this ____ day of _____ 200 ___ (insert date) between the
Government of the United Republic of Tanzania represented by the Ministry of Water (hereinafter referred to as
“Government”) of the one part and ______________________Council (hereinafter referred to as the “Council ”) of the
other part.

              WHEREAS the main objective of the Ministry responsible for Wwater under National Water
              Policy is to facilitate, co-ordinate, monitor and regulate provision of water and sewerage services
              to the public while focusing on full cost recovery principles;
                                                                                                                     Formatted: Font color: Auto
              WHEREAS in recognition of its role and commitment to supply the population of Tanzania with
              adequate clean and safe water, the Government through the Ministry responsible for Water
              undertakes to be and remains the guarantor in respect of the mandate which the areas
              designated as Councils;

              Whereas the Government wishes to enter into this Financial Resources Utilization
              Agreement with the Council for the purpose of ensuring proper utilization of public financial
              resources made available to the Council by way of grants from the Government, Council own
              sources of revenue, donors, and from any other source as provided for in the Public Finances
              Act or any other written law; and

              2.3.       Whereas the financial resources availed to the Council are to be applied towards            Formatted: Bullets and Numbering
                     financing Water Sector development Programme for the purposes of enabling the
                     Council Council to implement development sub projects as provided for in the
                     programme.

                  Whereas the financial resources offered to the Council is to be applied in a manner that
              will benefit the Council and its residents and enable it enhance its performance so as to
              contribute effectively to development; and

                  Whereas the Government is determined to ensure that all financial resources availed to
              the Council as afore mentioned shall be applied in a manner that will achieve the purposes
              intended, economy and value for money; and

                 Whereas the Council is aware of and committed to its respective roles, functions and
              responsibilities provided for in the Water Works Ordinance and any other written laws and
              wishes to access and utilize the financial resources provided towards financing
              implementation of the Water Sector Development Programme so as to achieve intended
              purposes, economy and value for money,




                                                           102
                     NOW THEREFORE THIS FINANCIAL RESOURCES UTILIZATION AGREEMENT
                                        WITNESSES AS FOLLOWS;

                                                                                                                Formatted: No bullets or numbering
                                                     2.1Article 1                                               Formatted: Bullets and Numbering


                                                                                                                Formatted: No bullets or numbering
                                                  2.2DEFINITIONS                                                Formatted: Bullets and Numbering


        In this Agreement unless the context requires otherwise the following terms shall have the meaning as
described hereunder:

             “Budget”
             ii)i) when used in relation to the Government means the budget of the Government of The
                     United Republic of Tanzania and includes a Supplementary Budget;
             iii)ii) when used in relation to the Council means Annual Budget of the Council and includes
                     Supplementary Budget.

             “Grant” means subvention whether conditional or unconditional, granted to the Council by the
             Government

             “Funds”
             (i)              When used in relation to grant, means subvention                                 Formatted: Indent: Left: 0", Numbered +
                               granted to the Council by the Government; and                                    Level: 1 + Numbering Style: i, ii, iii, … + Start
                                                                                                                at: 1 + Alignment: Left + Aligned at: 0.5" +
             (ii)             When used in relation to Council, means Council’s                                Tab after: 1" + Indent at: 1"
                               own sources of revenue.                                                          Formatted: Indent: Left: 0", Numbered +
                                                                                                                Level: 1 + Numbering Style: i, ii, iii, … + Start
             “Counterpart Funds” means the funds to be contributed by the Council under this Agreement;         at: 1 + Alignment: Left + Aligned at: 0.5" +
                                                                                                                Tab after: 1" + Indent at: 1"

             “Government” means the Government of the United Republic of Tanzania and includes the
             Ministry responsible for Water or any other Public Officer acting for and on behalf of the
             Government.

             “Lower levels” means a ward, village or a mtaa;

             “Service outlets” means a facility used for the service delivery within the area of the Council;

             “Programme” means an investment financed or proposed to be financed by funds made
             available to the Council by way of grant from the Government, Council’s own sources, and
             from any other sources.




                                                       Article 2



                                                          103
                                               SOURCES OF FUNDS
                                                                                                                 Formatted: Left, No bullets or numbering
2.3(a) Government Grants                                                                                         Formatted: Bullets and Numbering



         2.3.1 The Government shall make available to Council from its own Annual Budget, grants as
         provided for in the Finances Act .


   2.3.2 For avoidance of any doubts the Government shall by way of grants provide the following sums to
        the Council for the financial year 200— as more appropriately detailed in the council approved budget:
             a) Tshs …….. For recurrent expenditure; and
             a)Tshs ………For development expenditure                                                              Formatted: Indent: Left: 0.79", Numbered +
                                                                                                                 Level: 1 + Numbering Style: a, b, c, … + Start
                                                                                                                 at: 1 + Alignment: Left + Aligned at: 0.29" +
                                                                                                                 Tab after: 0.54" + Indent at: 0.54", Tab
                                       (b) Funds from Council’s Own Sources                                      stops: Not at 0.54"
             2.3 The Council commits to raise and collect funds from its own sources of revenue as
             provided for in the Council approved budget for each financial the year as required by the
             Finances Act, and attendant Regulations and Council’s By Laws;


                                         (c) Council’s other Sources of Funds
             2.4 Apart from Government Grants and Council’s own sources of revenue the Council may
             receive funds by way of grants, donation, gifts, bequeath and other assets. The funds so
             received shall also be reflected in Council’s annual budget



                                                      Article 3

                                      OBLIGATIONS OF THE GOVERNMENT

              3.1 The Government at the national level undertakes to:

             a) make available to the Council recurrent and development grants as approved by the
                Parliament of the United Republic of Tanzania for each financial the year ………and as
                provided for in this agreement.

             b) be responsible for ensuring that the Council complies with financial management
                regulations and procedures including expenditure tracking and shall take measures
                provided in the Local Government Finances Act, 1982 and any other written laws and
                attendant Regulations and Manuals;

             c) comply and meet its obligations in accordance with this agreement and the Local
                Government Finances Act, 1982 and any other written laws and attendant Regulations;
                and
             d) respond in timely manner to Council’s requests for release of funds upon satisfying
                implementation conditions prescribed by the Government including submission of
                physical and financial accountability reports.




                                                        104
3.2 The Government at the Regional level undertakes :

      a) to provide technical advice and support to the Council for development of respective
      sectors

b) to facilitate the exercise of powers and discharge of functions in a manner that gives due
     recognition to the autonomy of local government authorities;

c) to assist in the work of implementing decisions and resolutions of the Council which affect
     the development of their respective sectors

      d) to monitor and evaluate implementation of the agreement and inform the government
      or take such other appropriate actions as may be required, so as to ensure the Council
      fully complies with its obligation under this agreement.

e) Co-ordinates, scrutinize and consider reports prepared by the Council for the
   implementation of the agreement and advise the Government on actions to be taken in
   order to improve the efficiency and effectiveness of implementing the agreement.

f)    Pursuant to the provisions of the Local Government Finances Act, 1982 actions against
      officials take upon become aware of any payment made without authority according to
      law; any deficiency or loss occasioned by negligence or misconduct, any failure to
      observe a policy of highest thrift, any sum which on gal to have been but was not
      brought to account.


                                          Article 4

                            OBLIGATIONS OF THE COUNCIL


     4.1      The Council shall;


a) ensure that all financial resources stated in this agreement and provided for in the Council
Annual Budget are properly reviewed and accounted;

 b) complies with and meet its obligation under this agreement which shall include the
following;

   i) execution of the approved Council’s Plan and Budget
   ii) ensuring that funds are spent only on intended purposes
   iii) submitting to the Government financial and physical
        progress reports in the formats prescribed by the Government
   iv) ensuring that Council’s bank Accounts are properly managed and in particular bank
reconciliation statements are timely prepared; and

    v) ensure proper maintenance of Council’s Books of Account and timely preparation of
Annual Financial Statements and submission of the same to statutory auditors as prescribed
in the Local Government Finances Acts, 1982 and any other Written Laws.




                                            105
 c) Cooperate with the Government in undertaking investigations on financial
 mismanagement in the Council; and initiate disciplinary proceeding and legal action against
 persons involved;

 d) provide the Government with such information regarding utilization of financial resources
 provided for in this Agreement and Council’s approved Budget as the Government may
 require from time to time;

 e) promptly inform the Government of any conditions which interfere with or threatens to
 interfere with the performance or the accomplishment of this Agreement;

 f) allow an authorised representative of the Government to inspect activities of the Council
 including the programme related documents and operations; and

 g) ensure adequate Counterpart Funds are set aside to meet the any obligations under this
    agreement or other specific agreement relating to the provision of financial sources to
    the Council to execute Council’s Annual Plans and Budget

 h) to ensure proper management of resources that are channelled through the Council for
    onward disbursements to the lower levels and service outlets



                                           Article 5


                                  RIGHTS AND REMEDIES


(a) Rights and Remedies of the Government

 5.1 In the event that the rights of the Government under this Agreements is breached and
 as a consequence residents in that area of jurisdiction of the Council are denied the right of
 benefiting from the services and development for which financial resources have been
 allocated and made available to the Council, the Government shall have a right to take
 measures provided for in Section 51 of the Local Government Finances Act, 1982 which
 include:

 a)bring to account and refund the sum purported to have been misused; and                       Formatted: Indent: Left: 0", Numbered +
                                                                                                  Level: 1 + Numbering Style: a, b, c, … + Start
                                                                                                  at: 1 + Alignment: Left + Aligned at: 0.25" +
 b)disallowing further disbursements until take measures are taken to rectify the confirmed      Tab after: 0.5" + Indent at: 0.5", Tab stops:
    anomalies                                                                                     0.25", List tab + Not at 0.5" + 0.57"
                                                                                                  Formatted: Indent: Left: 0", Numbered +
 c)taking legal and or disciplinary actions against Staff and Councillors involved in the         Level: 1 + Numbering Style: a, b, c, … + Start
 maladministration of the Council Financial Resources.                                            at: 1 + Alignment: Left + Aligned at: 0.25" +
                                                                                                  Tab after: 0.5" + Indent at: 0.5", Tab stops:
                                                                                                  0.25", List tab + Not at 0.5" + 0.57"




                                              106
 5.2 It shall be the duty of the Regional Commissioner to provide written evidence that it
 provided the necessary technical advicse and support to the local government authority on
 question so as to enable the Government be entitled to its rights and remedies under this
 clause.

    (b) Rights and Remedies of the Council
5.3 In the event that the rights of the Council on this agreement is breached and on consequence of
which the residents of the Council fail to benefit the services and development for which resources were
provided for on the Council approved Budget, the Council shall be entitled to:
 a)full compensation of any sum approved by the Parliament and not disbursed in time to the
 extent that the Council can with the documentary evidence prove the existence of any liability
 that necessitate that compensation;

 b)request the Government to take actions against Public Officials who are responsible for the
 breach of the Agreement; and

 c) request the Government to inform the residents of the Council who were affected by the
 breach and action taken or to be taken to prevent recurrence of the breach.


                                              Article 6

                           EFFECTIVE DATE AND TERMINATION

  6.1 This Agreement shall come into force on 1st July, 200…. and shall come in to force for a period of
  one year and shall terminate on 30 day of June 200…provided that no rights, obligation or remedies
  available to the parties hereto shall merely cease at the termination of this Agreement..


                                            Article 7

                                      COMMUNICATION

  7.1 Any notice, request, approval, information, declaration, further Agreement or any other
  communication between the Parties permitted or required by this Agreement shall be in writing and shall
  be deemed to have been duly given, made or sent when it shall be delivered by hand or by mail, to the
  party to which it is required or permitted to be given or sent at the address of such a party specified, or at
  such other address as such a party shall have designated by notice to the other party.
7.2 For avoidance of doubts this agreement shall, after being signed by the parties, communicated to:

    a) the Regional Administrative Secretary who shall after consultation with the Regional
       Commissioner cause it to be tabled at the first meeting of the Regional Consultative Committee
       meeting immediately following the start of a new financial year.

    b) The Council Director, who shall after consultation with the Council Chairperson or Mayor cause it
       to be tabled at the first meeting of the Council immediately following the start of the new financial
       year.


                                            Article 8

                                     OTHER PROVISIONS



                                              107
1.8.1 This Agreement shall be binding upon all successors of the Council in whatever              Formatted: Indent: Left: 0", Hanging: 0.02",
form constituted and their assignees.                                                             Outline numbered + Level: 2 + Numbering
                                                                                                  Style: 1, 2, 3, … + Start at: 1 + Alignment: Left
                                                                                                  + Aligned at: 0" + Tab after: 0.43" + Indent
8.2 No delay in exercising or omission to exercise any right or remedy accruing to either         at: 0.43", Tab stops: Not at 0.43"
party under this Agreement upon any default, shall impair any such right, power or remedy or
its exercise or be construed as a waiver thereof or as acquiescence in such a default, or shall
affect or impair any right or remedy in respect of any other subsequent default

8.3 The provisions of this Agreement shall only apply in so far as they are not inconsistent
with the provisions of the Local Government (District Authorities) Act, 1982 and Local
Government (Urban Authorities) Act, 1982, the Local Government Finances Act, No. 9 of
1982 and any other Written Laws

 8.4 Any action permitted or required to be taken and any document permitted or required to
be executed under this Agreement may on behalf of the Council be taken or executed by the
Council Director or such other person as he/she shall designate in writing.

In case of a dispute between the parties hereto the matter on question shall be resolved
amicably or on such other manner in accordance with the Laws of Tanzania.

__________________________________




                                           108
IN WITNESS whereof the parties hereto have executed and delivered this Agreement on the
day and year first above written.

FOR AND ON BEHALF OF THE GOVERNMENT:

___________________________________________
Permanent Secretary
Ministry of Water

Signature …………………….              Date ……………………………

In the presence of :
Name…………………………………………
Designation…………………………………..
Signature …………………………………….
Address……………………………………….
…………………………………………………
………………………………………………….
………………………………………………….
___________________________________

FOR AND ON BEHALF OF THE COUNCIL:
_____________________________________________
Mayor/ Council Chairperson

Signature …………………….              Date …………………

In the presence of:
Name………………………………………….
Designation…………………………………..
Signature …………………………………….
Address……………………………………….
………..……………………………………….
………..……………………………………….
………..……………………………………….




                                        109

				
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