National Community Water and Sanitation Strategy (NCWSS)

i National Community Water and Sanitation Strategy National Community Water and Sanitation Strategy (NCWSS) March 2014 ii National Community Water and Sanitation Strategy Foreword The Government of Ghana’s National Community Water and Sanitation Programme (NCWSP), aims to increase the effective and sustained use of improved community water and sanitation services in rural communities and small towns. Developed within the framework of the country’s national decentralisation programme and National Water Policy, NCWSP principles serve as the blueprint for the delivery of services, with facilitation by the sub-sector agency responsible for water and sanitation services in rural communities and small towns: Community Water and Sanitation Agency (CWSA). The decentralisation of water supply and sanitation services to local government brings about a new set of accountability and governance arrangements: between policy makers, national government, district assemblies, water service providers and citizens. To realise full and effective decentralisation, we need to ensure that district assemblies have access to the necessary resources, expertise and support to fulfil their water and sanitation-related functions. This requires ongoing capacity building that helps set in place the necessary structures and systems for both governance and service provision. Towards addressing these, I introduce the National Community Water and Sanitation Strategy (NCWSS), developed by the CWSA to serve as the single source that guides NCWSP implementation in the sub sector. It presents the institutional, planning, financial, monitoring, regulatory and support arrangement frameworks that shall form the basis for implementing WASH-related activities in the sub-sector. It embodies our commitment to finding sustainable solutions to address the water and sanitation needs of our communities, for the betterment of their lives. Within the sub-sector, the Community Ownership and Management (COM) approach is one of the fundamental principles we apply in our water, sanitation and hygiene (WASH) development interventions. Whilst the NCWSP directs for legal ownership of water supply systems to be vested upon district assemblies—who hold this in trust for the communities they serve—the COM empowers beneficiary communities to own and manage their facilities, through community representatives in Water and Sanitation Management Teams (WSMTs). Beyond representing their respective communities, WSMTs are responsible for the day-to-day management of systems. District Assemblies, on the other hand, hold local governance and authority responsibilities, ensuring that the application of COM addresses all facets of service provision; including customer care, operations, financial management, and most importantly, maintenance. This requires ongoing external institutional support and monitoring. In this strategy document, we take one big step towards ensuring the efficient, effective and sustainable delivery of WASH services, in compliance with our nation’s policies, legislation, plans and development priorities. Through its implementation, I firmly believe that we will emerge successful in developing a robust sub-sector with the necessary capacity, skill-set and resources to provide high quality, affordable and sustainable WASH services. MR CLEMENT BUGASE CHIEF EXECUTIVE COMMUNITY WATER AND SANITATION AGENCY iii National Community Water and Sanitation Strategy Acknowledgements The Community Water and Sanitation Agency is grateful to IRC’s support, within the framework of its Triple-S project, in revising the National Community Water and Sanitation Strategy. This strategy is a product of multi-level strategy workshops and extensive consultation with all key stakeholders at national, regional, district, sub-district and community levels in the community water and sanitation sub-sector. Among the stakeholders consulted include representatives from the Ministry of Water Resources, Works and Housing (MWRWH); Ministry for Local Government and Rural Development (MLGRD); CWSA Head and Regional Offices; Development Partners; Managers/ Advisers of donor funded projects and programmes; Metropolitan, Municipal and District Assemblies (MMDAs); Water and Sanitation Management Teams (for small towns and rural communities); NGOs; CONIWAS; and private sector operatives. CWSA is also grateful to the members of the NCWSS working group for their valuable input, support and feedback throughout the process of revision. They are: 1. Mr Clement Bugase – Chief Executive, CWSA 2. Mr Emmanuel Gaze – Director, Technical Services, CWSA 3. Mr William Nunoo – Director, Finance, CWSA 4. Mr Benedict Kubabom – Director, Planning and Investments, CWSA 5. Mrs Dora Glover Tay – Director, Legal, CWSA 6. Mr Atsu Darteh – Director, Administration and Human Resources, CWSA 7. Mr Wigbert Dogoli – Regional Director, Volta Region, CWSA 8. Mr Gilbert Ayamgah – Regional Director, Eastern Region, CWSA 9. Mrs Theodora Adomako-Adjei – Extension Services Coordinator, CWSA 10. Mrs Esinu Ama Abbey - IT Coordinator, CWSA 11. Mrs Pauline Tambro – Public Relations Manager, CWSA 12. Ms Fay Ephrim – Planner (M & E), CWSA 13. Mr Mohammed Ibrahim Adokor – Planner (Corporate), CWSA 14. Ms Charlotte Engmann – Former Director, Water and Sanitation Systems, CWSA 15. Nana Agyekum Dwamena – Ag. Head of the Civil Service, OHCS 16. Mr Kweku Quansah – Programme Officer, EHSD, MLGRD 17. Mr Kwabena Gyasi-Duku – Water and Sanitation Engineer , MWRWH 18. Ms Jean de la Harpe – Former Senior Programme Officer, IRC 19. Mr R. K. D. Van Ess – Private Consultant 20. Mr Harold Esseku- Consultant, Rapha Consult 21. Mrs Vida Affum Duti – Country Director, IRC Ghana 22. Ms Veronica Ayi-Bonte – National Learning Facilitator, IRC, Ghana 23. Mr Teddy Laryea – Admin. &Project officer, Triple-S/CWSA iv National Community Water and Sanitation Strategy Contents FOREWORD ...................................................................................................................................................... I ACKNOWLEDGEMENTS ...................................................................................................................................III ACRONYMS .................................................................................................................................................... VI EXECUTIVE SUMMARY .................................................................................................................................. VII 1 INTRODUCTION ....................................................................................................................................... 1 1.1 CONTEXT .................................................................................................................................................. 1 1.2 DEFINITION OF THE COMMUNITY WATER AND SANITATION SUB-SECTOR ................................................................ 1 1.3 PURPOSE OF THE STRATEGY .......................................................................................................................... 1 1.4 ALIGNMENT TO NWP AND OTHER POLICIES, STRATEGIES AND GUIDELINES ............................................................. 2 1.5 KEY CHALLENGES IN THE COMMUNITY WATER AND SANITATION SUB-SECTOR .......................................................... 3 1.6 SECTOR VISION, GOAL, AND OBJECTIVES .......................................................................................................... 4 2 ROLE NATIONAL COMMUNITY WATER AND SANITATION PROGRAMME................................................. 5 2.1 GOAL AND OBJECTIVES ................................................................................................................................ 5 2.2 COMPONENTS ........................................................................................................................................... 5 2.3 PRINCIPLES ............................................................................................................................................... 6 2.4 STRATEGIC FRAMEWORK .............................................................................................................................. 8 3 SERVICE STANDARDS, REGULATIONS AND GUIDELINES ........................................................................... 9 3.1 ESTABLISH NATIONAL NORMS AND STANDARDS ................................................................................................ 9 4 INSTITUTIONAL FRAMEWORK ............................................................................................................... 11 4.1 INSTITUTIONAL CHALLENGES ....................................................................................................................... 11 4.2 PROPOSALS TO ADDRESS INSTITUTIONAL CHALLENGES ...................................................................................... 11 4.3 ROLES AND RESPONSIBILITIES OF KEY ACTORS ................................................................................................. 12 4.4 INSTITUTIONAL RELATIONSHIPS ................................................................................................................... 16 4.5 OTHER SECTOR PARTNERS .......................................................................................................................... 17 4.6 SECTOR COLLABORATION AND CO-ORDINATION .............................................................................................. 19 5 PLANNING FRAMEWORK ....................................................................................................................... 21 5.1 PLANNING CHALLENGES ............................................................................................................................. 21 5.2 PROPOSALS TO ADDRESS PLANNING CHALLENGES ............................................................................................ 21 5.3 PROPOSED PLANNING FRAMEWORK ............................................................................................................. 21 5.4 ACCESS TO PLANNING INFORMATION ............................................................................................................ 23 6 FINANCIAL FRAMEWORK ....................................................................................................................... 24 6.1 FINANCIAL CHALLENGES ............................................................................................................................. 24 6.2 PROPOSALS TO ADDRESS FINANCIAL CONSTRAINTS .......................................................................................... 25 6.3 FINANCIAL FRAMEWORK ............................................................................................................................ 25 6.4 PRINCIPLES INFORMING THE FINANCIAL FRAMEWORK ...................................................................................... 26 6.5 FUNDING SOURCES ................................................................................................................................... 28 6.6 ENSURING SUSTAINABLE SERVICES DELIVERY .................................................................................................. 29 6.7 FINANCIAL MANAGEMENT CAPACITY WITHIN MMDAS .................................................................................... 29 7 REGULATORY FRAMEWORK .................................................................................................................. 30 7.1 CHALLENGES ........................................................................................................................................... 30 v National Community Water and Sanitation Strategy 7.2 PROPOSALS FOR IMPLEMENTING THE REGULATORY FRAMEWORK ....................................................................... 30 7.3 MECHANISMS FOR ENFORCEMENT ............................................................................................................... 30 8 SUPPORT FRAMEWORK ......................................................................................................................... 32 8.1 SECTOR SUPPORT CHALLENGES .................................................................................................................... 32 8.2 PROPOSALS TO ENHANCE SECTOR SUPPORT ................................................................................................... 32 9. MONITORING AND EVALUATION FRAMEWORK .................................................................................... 33 9.1 MONITORING AND EVALUATION CHALLENGES ................................................................................................ 33 9.2 PROPOSALS FOR ENHANCING MONITORING AND EVALUATION ........................................................................... 33 9.3 RESPONSIBILITIES FOR MONITORING AND EVALUATION .................................................................................... 33 9.4 MONITORING AND REPORTING SYSTEMS ....................................................................................................... 34 10. COMMUNICATION FRAMEWORK ...................................................................................................... 36 10.1 COMMUNICATION CHALLENGES .................................................................................................................. 36 10.2 PROPOSALS FOR ENHANCING COMMUNICATION ............................................................................................. 36 10.3 THE NCWSS COMMUNICATION PLAN .......................................................................................................... 36 10.4 MEDIA PUBLICITY/ EDUCATIONAL PROGRAMME ............................................................................................. 37 11. STRATEGY FOR SUSTAINABILITY AND SCALING UP WASH SERVICES .................................................. 38 11.1 STATUS OF COVERAGE AND FUNCTIONALITY ................................................................................................... 38 11.2 POLICY AND OPERATIVE FRAMEWORK ........................................................................................................... 38 11.3 CHALLENGES TO SUSTAINABILITY ................................................................................................................. 39 11.4 ADDRESSING THE CHALLENGES OF SUSTAINABILITY .......................................................................................... 42 11.5 SANITATION ............................................................................................................................................ 45 ANNEXES ....................................................................................................................................................... 47 REFERENCES ......................................................................................................................................................... 47 RELEVANT POLICIES AND LEGISLATION RELATED TO WATER AND SANITATION SERVICES ......................................................... 49 DEFINITIONS......................................................................................................................................................... 52 ROLES AND RESPONSIBILITIES OF KEY STAKEHOLDERS .................................................................................................... 55 Figures FIGURE 1: GHANA WATER AND SANITATION SECTOR VISION, GOAL AND OBJECTIVES .................................................................. 4 FIGURE 2: COMPONENTS OF THE NCWSP ....................................................................................................................... 5 FIGURE 3: OVERALL STRATEGIC FRAMEWORK OF NCWSP ................................................................................................... 8 FIGURE 4: ROLES AND RESPONSIBILITIES OF KEY ACTORS .................................................................................................... 12 FIGURE 5: GRADUAL TRANSITION FROM SUPPORT TO REGULATORY ROLE .............................................................................. 13 FIGURE 6: CWSA FACILITATION AND REGULATORY ROLE ................................................................................................... 13 FIGURE 7: WATER AND SANITATION AUTHORITY FUNCTIONS OF THE MMDA ........................................................................ 14 FIGURE 8: WATER SERVICE PROVIDERS .......................................................................................................................... 15 FIGURE 9: INSTITUTIONAL RELATIONSHIPS ...................................................................................................................... 16 FIGURE 10: PLANNING FRAMEWORK FOR THE SUB-SECTOR ................................................................................................ 22 FIGURE 11: FINANCIAL FLOWS WITHIN THE COMMUNITY WATER AND SANITATION SUB-SECTOR ................................................ 26 Tables TABLE 1: NATIONAL-LEVEL CO-ORDINATION MECHANISMS ................................................................................................. 20 vi National Community Water and Sanitation Strategy Acronyms COM Community Ownership and Management CWSA Community Water and Sanitation Agency DESSAP District Environmental Sanitation Strategy and Action Plan DiMES District Monitoring and Evaluation System DMTDP District Medium-Term Development Plan DWD District Works Department DWSP District Water and Sanitation Plan EHSD Environmental Health and Sanitation Directorate GoG Government of Ghana M&E Monitoring and Evaluation MDGs Millennium Development Goals MoF Ministry of Finance MLGRD Ministry of Local Government and Rural Development MMDAs Metropolitan, Municipal and District Assemblies MWRWH Ministry of Water Resources, Works and Housing NCWSP National Community Water and Sanitation Programme NCWSS National Community Water and Sanitation Strategy NGO Non-Government Organisation NWP National Water Policy O&M Operations and Maintenance SIP Strategic Investment Plan SWAp Sector-Wide Approach ToR Terms of Reference WASH Water, Sanitation and Hygiene WSMT Water and Sanitation Management Team WSSDP Water Sector Strategic Development Plan vii National Community Water and Sanitation Strategy Executive summary The National Community Water and Sanitation Strategy (NCWSS) provides the overall framework for implementation of the National Community Water and Sanitation Programme (NCWSP). It sets out the overall strategy to achieve the Government of Ghana’s vision for the sector, enshrined in the Water Sector Strategic Development Plan (WSSDP): ‘all people living in Ghana have access to adequate, safe, affordable, reliable and sustainable water services, and practise safe sanitation and hygiene’. Revisions in this latest version of the NCWSS are based on discussions held in multi-level workshops, and extensive consultation conducted with all key stakeholders at national, regional, district, sub district and community levels in the community water and sanitation sub-sector. They are guided by existing national laws, sector policy documents, and technical guidelines that set the parameters for NCWSP implementation; including the National Water Policy, 2007, which provides the framework for the sustainable development of Ghana's water resources. The NCWSP’s overall goal is to improve the public health and economic well-being of rural and small communities, through the provision of sustainable water and sanitation services, and hygiene promotion interventions. The NCWSP has nine key principles: public sector facilitation; demand responsive approach; Community Ownership and Management; decentralised planning and implementation by MMDAs; central role of MMDAs in supporting community management; private sector delivery of goods and services; gender mainstreaming at all levels; integration of hygiene promotion with provision of water and sanitation facilities; and the Service Delivery Approach. Towards the implementation of the NCWSP, the NCWSS provides an eight-pillar comprehensive framework that guides in NCWSP activity development and planning by stakeholders. These are: 1. Service standards, regulations and guidelines: The CWSA is responsible for developing national norms and standards for the sub-sector, as contained in Legislative Instrument, 2007, and the CWSA regulation and guidelines volumes I-VI1. Norms and standards are introduced to guarantee the quality of facilities, ensure that consumer rights are protected, and that relationships between consumers and providers of water and sanitation services are regulated. 2. Institutional Framework: Provides the basis for the delineation and clarification of roles and responsibilities within the sub-sector, and describes the mechanisms for sector collaboration and co-ordination. Key actors in the sub-sector include: the Ministry of Water Resources, Works and Housing, primarily represented by the CWSA; the Ministry for Local Government and Rural Development, represented by the Environmental Health and Sanitation Directorate; the Metropolitan, Municipal and District Assemblies, represented by the District Works Department; Water and Sanitation Management Teams (WSMTs); the private sector; Non-Governmental Agencies (NGOs); and beneficiary communities. 1 Community Water and Sanitation Agency Sector Guidelines 01-06 for Rural Communities and Small Towns, November, 2010. viii National Community Water and Sanitation Strategy 3. Planning Framework: Outlines the processes required for the alignment and linking up of water and sanitation plans between national and district levels. Compliance with the planning framework ensures that district-level preparation of District Water and Sanitation Plans (DWSPs) and District-Level Environmental Strategies and Action Plans (DESSAPs) is in line with the national vision, is captured in the District Medium-Term Development Plan (DMTDP) and is used to enhance/ update the National Medium-Term Development Plan. 4. Financial Framework: Articulates the financial challenges to the delivery of water, sanitation and hygiene, and examines, in particular, the implications of fiscal decentralisation on MMDAs and the CWSA. The financial framework offers strategies on how to manage the transition to ensure the long-term financial viability of institutions within the sub-sector. This pillar is designed to help achieve the goals and objectives of the community water and sanitation sub-sector in particular, the sustainable financing of investments, operations and maintenance of water and sanitation service facilities. 5. Regulatory Framework: The regulatory framework of the sub-sector is derived from the Community Water and Sanitation Agency Act, 1998 (Act 564); the Local Government Act, 1993 (Act 462) and the Legislative Instrument of the Community Water and Sanitation Regulations, 2011 (LI 2007). It is the responsibility of CWSA to develop the necessary standards, key directives and guidelines to facilitate the delivery of water supply and sanitation services, as well as build in the necessary regulatory capacity to ensure district level compliance with national norms, standards and regulations for the sustainability of services. 6. Support Framework: Establishes mechanisms that provide the support needed by the sub sector to address its wide ranging responsibilities, particularly in terms of scaling up infrastructure to meet national targets. Support mechanisms address the sub-sector’s capacity to fulfil its technical, financial and managerial functions. 7. Monitoring and Evaluation Framework: Enables the sub-sector to track progress towards set targets, use results to inform policy development, and provide the necessary information for planning and designing interventions and support requirements. Monitoring within the sub-sector is conducted at all levels, with the CWSA taking overall responsibility, and also ensuring that the necessary monitoring and information systems are set in place. Within the M&E framework, MMDAs are responsible for monitoring the performance of all water service providers, WSMTs and private operators, within their area of jurisdiction. 8. Communication Framework: Sustainability is at the heart of challenges faced by the sub sector. Proper documentation and articulation of sub-sector documents, guidelines and manuals is important to ensure that desired results are reached. Publicity and dissemination, through workshops and presentations, is core to facilitating learning and sharing. Although access to safe water data shows that Ghana is likely to achieve the 2015 Millennium Development Goal (MDG) for water supply, sub-sector performance on sanitation continues to lag behind. Ghana’s 2010 Millennium Development Goals Report (UNDP Ghana, NDPC/ GOG, 2012) shows that the proportion of people using improved sanitation facilities is 13%; well below the 2015 target of 54%. According to reports by the Ghana Statistical Service, about 18% of households ix National Community Water and Sanitation Strategy (approximately 4.3 million) rely on unsafe water source, including rivers and streams, for domestic uses. At any time, it is estimated that about one-third of water supply infrastructure is either not functioning or functioning sub optimally. To reach the Government’s vision of 100% coverage, providing and scaling up sustainable services provision (especially to un-served areas) is imperative. The final chapter of the NCWSS offers a strategy for sustainability and scaling up. It emphasises the importance of understanding the interaction between the social, technological and the ecological dimensions of WASH systems, the challenges that come with it, and the need to address these. 1 National Community Water and Sanitation Strategy 1 Introduction 1.1 Context Ghana’s National Water Policy (NWP), 2007, provides a framework for the sustainable development of Ghana's water resources. The NWP is targeted at all water users, water managers, water-related development practitioners, investors, decision makers and policy makers in Central Government, and decentralised structures such as the MMDAs, NGOs and international agencies. Cognisant that water use intersects with other issues, the NWP forge links with other relevant sectoral policies such as those on sanitation, agriculture, transport, energy, etc. Given the inter-sectoral nature of the NWP, each sub-sector is responsible for preparing a strategy document that outlines how policy objectives of the NWP shall be achieved. The purpose of each sub-sector strategy is to:  Define the objectives of the sub-sector.  Clarify institutional roles and responsibilities.  Clarify financial arrangements for the sub-sector.  Outline the norms and standards that apply to the sub-sector.  Provide a regulatory framework for the sub-sector.  Provide a framework for operationalising the policy objectives of the NWP. The community water and sanitation sub-sector, which works in rural communities and small towns, is one of the sub-sectors of the NWP and its work takes place through the National Community Water and Sanitation Programme (NCWSP) and guided by the National Community Water and Sanitation Strategy (NCWSS). 1.2 Definition of the community water and sanitation sub-sector The mandate of the community water and sanitation sub-sector, as expressed in Act 564, primarily benefits the rural population of Ghana, and people living in small urban towns that opt for forms of community management. CWSA (2010) standards and guidelines define ‘a rural community as an area with a population of less than 2,000 inhabitants, and small towns as a community with a population of between 2,000 to 50,000 inhabitants’. Areas with populations above 50,000 are classified as urban. All towns under 50,000 inhabitants are under the jurisdiction of the community water and sanitation sub-sector, which is CWSA’s scope of responsibility. 1.3 Purpose of the strategy Since the adoption of NWP in 2007, there had been a number of shifts in the arrangement and scope of the community water and sanitation sub-sector, as part of Government’s efforts to decentralise the operations of water, sanitation and hygiene (WASH) services, among others. 2 National Community Water and Sanitation Strategy Decentralisation ushered in different modalities and practices in planning, and these have had institutional, financial, and regulatory implications on the entire sector. It also had an impact on monitoring and support activities, resulting in the development of a new strategic framework to support local government in fulfilling its water and sanitation services delivery role. Following years of NCWSP implementation, the sector also identified several important policy issues that influence the efficient, effective and sustainable services delivery of water and sanitation. Among these include: 1. The Government of Ghana’s (GoG) strategic medium-term development priorities found in its national medium-term development plan, which serves as the guiding framework for the development of programmatic and operational strategies by ministries and districts. 2. The GoG Aid Policy and Strategy, which makes arrangements for the optimal allocation of aid vis-à-vis its impact on growth and poverty reduction. The aid policy and strategy articulates the need to improve structures and systems for the effective co-ordination and delivery of aid. Funding that flows through General Budget Support is the GoG’s preferred aid modality. Increasingly, however Sector Budget Support is also being encouraged, with the adoption of a Sector Wide Approach (SWAp) for the water sector now under consideration. 3. A Sector Wide Approach brings about a new way of working, with the objective to increase coherence in (sub-) sector policy, planning and budgeting, and development assistance. Against the backdrop of these changes and with increased recognition of the inter-sectoral nature and impact of delivering WASH services, the NCWSS provides direction for implementing and formulating sub-sector plans in accordance with the NCWSP2. 1.4 Alignment to NWP and other policies, strategies and guidelines The vision, principles, goals and approach enshrined in the NWP provide overall sector policy guidance to the development work of the community water and sanitation sub-sector. The following Acts provide the legal frameworks that enable implementation of the National Water Policy:  Community Water and Sanitation Act, 1998 (Act 564)  Local Government Act, 1993 (Act 462)  Local Government Service Act, 2003 (Act 656)  Community Water and Sanitation Regulation, 2011 ( LI 2007)  Water Resources Commission, 1996 (Act 522)  Ghana Water Company Limited, 1993 ( Act 461) Alignment of relevant legislation and strategies in the WASH sector is therefore important. This includes policies, legislation and strategies of sectors related to the community water and sanitation sub-sector, such as finance, local government, water resources, housing and health. 2 The NCWSS is not intended to be read as an operational or implementation document. Various operational manuals and guidelines for the implementation of the NCWSP are already in existence, and are designed for this specific purpose. 3 National Community Water and Sanitation Strategy 1.5 Key challenges in the community water and sanitation sub-sector The lack of basic water supply and sanitation services is a symptom of poverty and under development. Currently the community water and sanitation sub-sector is faced with many challenges, particularly in terms of achieving sustainable water and sanitation services delivery. These challenges include: 1. Financial constraints: Funding for the sub-sector is derived from the GoG (budgetary support and loans), urban water levies and grants from Development Partners. Given the targets of the sub-sector, financial support is however inadequate. Whilst employees do receive compensation from the GoG, actual disbursements, especially for goods and services, are inadequate and below budgeted levels. 2. Weak sector co-ordination and collaboration: Implementation of water and sanitation activities has largely assumed a project-based approach, rather than being considered part of a larger programme for development. Furthermore some NGOs implement their own programmes/ projects outside the Government’s norms and standards. Combined, these have resulted in a multitude of approaches, systems, procedures and often conflicting priorities. The weak alignment and harmonisation in the sub-sector needs to be urgently addressed, particularly in light of decentralisation and its related institutional reforms. The challenge is to ensure sector progress towards the implementation of a single sector programme. 3. Poor operations and maintenance: Insufficient support for community-based organisations by relevant service authorities have resulted in the poor operations and maintenance of facilities. In particular, members of some Water and Sanitation Management Teams do not have access to the necessary spare parts, and do not possess the technical skills required for minor repairs and routine maintenance. 4. Decentralisation: The slow pace of operationalising decentralisation has resulted in capacity challenges at the local level. The net effect is most felt by MMDAs with personnel who find themselves unable to effectively perform their roles as first-line service authorities. Without the appropriate technical expertise and skills transfer, districts will be unable to perform their water and sanitation responsibilities. 5. Institutional capacity: Community Ownership and Management is one pillars of the NCWSP, and is premised on communities receiving a certain level of support from service authorities (CWSA and MMDAs). However, a decline in skill and career development opportunities for service authorities consequently result in the inability to provide the support required to sustain services delivery. There is also limited capacity in the local private sector to respond to the operations and maintenance needs of piped schemes. 6. Hygiene education and sanitation: Compared to water supply, hygiene education and sanitation have received far less investment and attention. Some challenges include:  Ensuring behaviour and attitudinal change, based on hygiene principles.  Sustaining hygiene education and sanitation promotion beyond project completion.  Strengthening sanitation and hygiene activities under the NCWSP.  Generating and sustaining demand for safe household and institutional sanitation facilities. 4 National Community Water and Sanitation Strategy 1.6 Sector vision, goal, and objectives 1.6.1 Sector vision The vision of the water sector, as per the Water Sector Strategic Development Plan (WSSDP), stipulates that: ‘all people living in Ghana have access to adequate, safe, affordable and reliable water service, practise safe sanitation and hygiene, and that water resources are sustainably managed’. 1.6.2 Sector goal and objectives The goal of the sector is to ‘improve access to safe water, sanitation and hygiene as a means to improving living standards of people’. The objectives of the sector are as follows:  To achieve universal coverage for water and sanitation services by 2025.  To ensure the sustainable financing of investments, operations and maintenance of water services.  To ensure that water sector institutions have the required expertise, information, equipment, logistics and financing to perform their roles efficiently and effectively, in a transparent and well-coordinated manner.  To ensure sustainable harnessing, utilisation and management of water resources. Figure 1: Ghana water and sanitation sector vision, goal and objectives Source: MWRWH, 2012. 5 National Community Water and Sanitation Strategy 2 Role of National Community Water and Sanitation Programme The National Community Water and Sanitation Programme, launched in 1994, is the blueprint through which the goals and objectives of the community water and sanitation sub-sector are being addressed. The NCWSP is grounded in the principle of Community Ownership and Management (COM), which is in line with the Government’s decentralisation policy to promote local empowerment through strengthened participation in local decision-making processes. 2.1 Goal and objectives 2.2 Components The main components of the NCWSP are safe water supply services, improved sanitation and hygiene promotion shown in figure 2 below. Figure 2: Components of the NCWSP Goal of the NCWSP The overall goal of the NCWSP is to improve the public health and economic well-being of rural and small communities through the provision of sustainable water and sanitation services, and hygiene promotion interventions. Objectives of the NCWSP 1. Provide basic WASH services to rural communities, small towns and institutions that are willing to contribute towards the normal operations, maintenance and repair costs of the facilities, to ensure sustainable services delivery. 2. Ensure the sustainability of services through community ownership and management, community decision making in WASH facility design, active involvement of women at all stages of implementation, private sector provision of goods and services, and public sector facilitation and support. 3. Maximise health benefits by integrating hygiene promotion interventions with water and sanitation activities, including the establishment of hygiene promotion, and latrine construction capabilities at the community level. 6 National Community Water and Sanitation Strategy 2.3 Principles The NCWSP has nine principles listed below. 1. Public sector facilitation 2. Demand responsive approach 3. Community Ownership and Management (COM) 4. Decentralised planning and implementation by MMDAs 5. Central role of MMDAs in supporting community management 6. Private sector delivery of goods and services 7. Gender mainstreaming at all levels 8. Integration of hygiene promotion with provision of water and sanitation facilities 9. Service Delivery Approach (SDA) 2.3.1 Public sector facilitation The CWSA, as facilitator, develops policy guidelines, sets standards, and provides back-stopping professional support to MMDAs, beneficiary communities and the private sector. Community Water and Sanitation Regulation, LI 2007 defines facilitation as ‘carrying out reasonable acts essential to expedite the implementation of water and sanitation activities, including the regulation of the community water and sanitation sub-sector’. 2.3.2 Demand responsive approach The demand responsive approach is a strategy that empowers a community to initiate, choose and implement a water supply system that it is willing and able to sustain, and that elicits the appropriate response from sector actors and stakeholders. In special cases however, for example, in guinea-worm infested communities, and in cases of extreme poverty—the requirement for a demand responsive approach is waived. 2.3.3 Community Ownership and Management The national drive to ensure sustainability of WASH facilities provided to rural communities and small towns, under the NCWSP, is based on a strategy anchored on beneficiary community’s ownership and management of facilities. To eliminate all ambiguities, the NCWSP directs that legal ownership of water supply systems is vested in Metropolitan, Municipal and District Assemblies, who hold this responsibility in trust for the communities. Beneficiary communities, through their respective Water and Sanitation Management Teams (WSMTs), take responsibility over the day-to day management of systems in line with the principles of community management. 2.3.4 Central role of MMDAs in supporting community management Metropolitan, Municipal and District Assemblies (MMDAs) are the focal point for the delivery of water and sanitation facilities. The decentralised arrangement for providing community water and sanitation services to districts empowers MMDAs to plan, budget and implement their own water and sanitation programmes, as emphasised by the Local Government Act, 1993 (Act 462). 7 National Community Water and Sanitation Strategy 2.3.5 Decentralised planning and implementation by MMDAs The delivery of WASH services, guided by the principles of good governance and transparency, is linked to the broader development agenda and activities of MMDAs to ensure integrated development. 2.3.6 Private sector delivery of goods and services The private sector is responsible for the delivery of required goods, works and services to the sub sector, through contractual arrangements. 2.3.7 Gender mainstreaming at all levels Gender-sensitive awareness on the differentiated roles played by men and women in the planning, delivery and management of WASH services is promoted. Implementing a gender approach at all levels and in all aspects of WASH services delivery enhances the sustainability of services as women are enabled to play a more meaningful role in the service delivery chain. 2.3.8 Integration of hygiene promotion with provision of water and sanitation facilities Towards maximising health benefits from water and sanitation investments, hygiene promotion is integrated in water and sanitation interventions. Hygiene promotion requires bringing about change in attitudes and behaviour. 2.3.9 Service Delivery Approach CWSA adopted the Service Delivery Approach in 2012 as one of the principles of the NCWSP. The Service Delivery Approach involves setting in place the necessary frameworks—policy, legislation, planning, financial and institutional—to ensure the long-term sustainability of water and sanitation services. Key components of the service delivery approach include: determination of the full life cycle costs of facilities to ensure sustainable budgeting and financing; harmonisation and alignment of sector stakeholder plans and initiatives, including those of development partners; and sector learning and sharing. 8 National Community Water and Sanitation Strategy 2.4 Strategic framework The National Community Water and Sanitation Strategy is based on an eight-pillar comprehensive framework to guide NCWSP implementation. For each pillar, the strategy sets out the challenges, key issues and strategies towards achievement of the vision, goal and objectives outlined, in the NCWSP. Figure 3: Overall strategic framework of NCWSP 9 National Community Water and Sanitation Strategy 3 Service standards, regulations and guidelines 3.1 Establish national norms and standards The CWSA is responsible for developing national norms and standards for rural communities and small towns. These norms and standards are contained in the Legislative Instrument: Community Water and Sanitation Regulations, 2011 (LI 2007), and volumes I-VI of the CWSA Guidelines3. These norms and standards guarantee the quality of facilities, safeguard consumer rights, and regulate the relationships between consumers and providers of WASH services. 3.1.1 Small town water supply schemes The design of small town water supply schemes is carried out in accordance with the CWSA Design Criteria and Guidelines. Hydraulic designs are drawn by means of design software that is acceptable to the CWSA, and allows hourly simulation of flows, pressures, etc. Engineering designs shall be simple, with minimal automation. The basic standards for small town water supply and sanitation must ensure that:  Each person in a served community has access to a minimum of 20 litres of water per day.  Walking distance to a water facility does not exceed 500 metres from the farthest house in the community.  Each spout of a standpipe or a piped scheme serves no more than 300 persons.  Facility provides all year round safe water to the community. 3.1.2 Rural/Small Community water supply schemes Rural/Small community water supply schemes are developed in accordance with the Community Water and Sanitation Agency Guidelines and Standards (CWSA, 2010). The basic standards for community water supply and sanitation must ensure that:  Each person in a served community has access to a minimum of 20 litres of water per day.  Walking distance to a water facility does not exceed 500 metres from the farthest house in the community.  Each spout of a borehole with hand pump or standpipe of a piped scheme serves no more than 300 persons, and that of a hand-dug well with a hand pump of no more than 150 persons.  Facility provides all year round safe water to the community. 3.1.3 Sanitation The delivery of sanitation interventions shall conform to the policy and strategic framework of the Ministry of Local Government and Rural Development - Environmental Health and Sanitation 3 See: CWSA-Community Water and Sanitation Agency, 2010. Community Water and Sanitation Agency Sector Guidelines 01-06 for Rural Communities & Small Towns, November, 2010. Accra: CWSA. 10 National Community Water and Sanitation Strategy Directorate. Sanitation interventions shall ensure the hygienic separation of faeces from human contact. Technology types are divided into two: 1. Household toilets (latrines) 2. Institutional toilets (latrines) Adequate sanitation is defined by its functional specification, set out by the minimum standards given below. The sanitation facility should:  Be free from flies and odour.  Facilitate the safe disposal of human excreta (avoid contact with human and water bodies/ facilities).  Be structurally stable, so that it does not collapse when in use. 11 National Community Water and Sanitation Strategy 4 Institutional framework The institutional framework for the rural water and sanitation sub-sector comprises two major components: a) clarification of roles and responsibilities; and b) sector collaboration and co ordination 4.1 Institutional challenges The sub-sector faces a number of institutional challenges from the national to the local level. These challenges include: 1. Inadequate commitment from MMDAs towards water and sanitation development planning, tariff setting, infrastructure development, major rehabilitation and replacement. 2. Weak collaboration amongst sector institutions, owing to inadequate structures and capacity to ensure sector co-ordination, build horizontal linkages, and implement a sector wide approach at national level. This is compounded by poor collaboration amongst ministries, departments, agencies and MMDAs. 3. Inadequate staff and resources at the Water Directorate hinder the effectiveness of support provided for actors in the WASH sector to co-ordinate amongst each other. 4. Weak harmonisation and alignment results from the lack of uniform mechanisms and systems of financial flows, project management, information dissemination, monitoring and reporting. Development partners tend to employ their own procedures, systems and reporting requirements, instead of aligning to the Government’s. In some cases, where there is insufficient institutional capacity and systems, projects establish parallel project implementation structures, which do not improve upon local capacities, and result in a weak sense of ownership. 5. Slow pace of the decentralisation process results in weak capacities in the MMDAs, which inhibits them from acquiring the necessary skill set to fulfil their WASH services responsibilities. This is compounded by low commitment towards decentralising services delivery. 6. Low prioritisation of some critical institutional functions such as planning and budgeting for the life-cycle costs of facilities, regulation and direct support to service providers, ensuring improved level of service delivery to users etc., has an adverse impact on functionality rates. 7. Inadequate support for sector capacity and institutional strengthening, as well as limited opportunities for information sharing and dissemination, especially at sub-national level. 4.2 Proposals to address institutional challenges 1. Roles and responsibilities for each institution are clearly defined and supported by an institutional framework owned by the sub-sector. 2. Establishment of a well-coordinated community water and sanitation sub-sector at national, regional and local levels, working collaboratively towards a common set of objectives under a single national programme. 3. Water and sanitation sector institutions are fully established, with the necessary capacity to fulfil their water and sanitation roles and responsibilities, as these relate to the Water Directorate and the MMDAs. 4. Regulatory function within the community water and sanitation sub-sector is fully operationalised. 12 National Community Water and Sanitation Strategy 4.3 Roles and responsibilities of key actors The delivery of long-term water and sanitation services involves several institutions with direct and indirect responsibilities towards the achievement of NCWSP’s objectives. Key institutional actors are outlined in figure 4. Figure 4: Roles and responsibilities of key actors 4.3.1 Ministry of Water Resources, Works and Housing The Ministry of Water Resources, Works and Housing (MWRWH) is the lead governing institution responsible for overall water management and drinking water supply. 13 National Community Water and Sanitation Strategy 4.3.2 Community Water and Sanitation Agency The Community Water and Sanitation Agency (CWSA) is the lead agency in the community water and sanitation sub-sector, under the MWRWH, responsible for facilitating and coordinating the NCWSP implementation. The Agency is responsible for regulating the sub-sector. In the past, the CWSA had functioned mainly as facilitator, however with improving MMDA capacity to deliver WASH services, CWSA’s role is now transitioning, as depicted in figure 5. Figure 5: Gradual transition from support to regulatory role The facilitation and regulatory role performed by CWSA is summarised in figure 6. Figure 6: CWSA facilitation and regulatory role 4.3.3 Metropolitan, Municipal and District Assemblies The Metropolitan, Municipal and District Assembly (MMDA) is the basic unit of government at the district level and is the statutory deliberative and legislative body for the determination of broad policy objectives of the development process within their jurisdiction. 14 National Community Water and Sanitation Strategy As the statutory deliberative and legislative body for water and sanitation within the decentralised framework, the MMDAs effectively become the ‘service authority’ for water and sanitation services at the local level. MMDAs are responsible for local level development planning, financial arrangements including authorisation of tariffs, infrastructure development (planning and implementing capital projects), the appointment of water service providers and local level oversight of community management to ensure compliance. DAs may delegate any of their functions to Town, Area, Zonal or Urban Council or Unit Committee. The institutional framework in Figure 7 serves to clarify the overall authority role of DAs. Figure 7: Water and sanitation authority functions of the MMDA 4.3.4 Water and Sanitation Management Team/ private operator Water and Sanitation Management Teams (WSMTs) established in rural communities and small towns are responsible for the overall management of water supply and sanitation facilities. The formation and operation of the WSMT is guided by national model bye-laws. Under the community management approach for piped schemes, water services are provided by the WSMTs, either directly where the WSMT employs staff, or through a private operator (PO) that is overseen by the WSMT. The difference between both is explained in figure 8. 15 National Community Water and Sanitation Strategy Figure 8: Water Service Providers Type 1: Water and Sanitation Management Team Type 2: Private Operator Where the WSMT is the water service provider, the MMDA is responsible for ensuring that the WSMT has access to external support for maintenance, management, mentoring and monitoring. Where the MMDA, in consultation with the WSMT, contracts a private operator, the private operator becomes the water service provider. The WSMT witnesses the signing of the contract and fulfils a community governance role, which shall include: community consultation, and monitoring the performance of the private operator. 4.3.5 Private sector The private sector:  Provides technical and management support, through consultancy services on design, construction supervision, hydro geological services, training, mobilisation, hygiene promotion, etc.  Constructs water and sanitation facilities, and supplies equipment, spare parts, etc.  Develops, funds and implements community water and sanitation schemes, in partnership with MMDAs and/ or WSMTs. 4.3.6 Community The community as citizens and customers play an important role in ensuring sustainable services delivery. The community:  Expresses a demand for services and indicate their preferred level and quality of service, including the affordability of paying for and maintaining schemes.  Makes payments for services provided.  Registers complaints when services are not delivered according to set standards.  Demands for accountability from service providers. 16 National Community Water and Sanitation Strategy 4.4 Institutional relationships Institutional relationships in the community water and sanitation sub-sector are illustrated below. Figure 9: Institutional relationships 17 National Community Water and Sanitation Strategy 4.5 Other sector partners 4.5.1 Ministry of Local Government and Rural Development The Ministry of Local Government and Rural Development (MLGRD) sets the policy framework for the development of local communities, and oversees the performance of local administrations, e.g., Metropolitan, Municipal and District Assemblies. Within the decentralised arrangement of water and sanitation services delivery, MLGRD is responsible for the formulation of environmental sanitation policy relevant to the implementation of water and sanitation interventions at district level. Key implementation structures within the Ministry are the Environmental Health and Sanitation Directorate (EHSD), and the department at regional level responsible for environmental sanitation promotion. The EHSD monitors environmental sanitation services, and in collaboration with the Water Directorate and other related institutions, is critical for the successful implementation of sanitation promotion activities at district and community levels. 4.5.2 Regional Coordinating Councils The Regional Coordinating Councils (RCCs), headed by Regional Ministers, has oversight responsibility for the MMDAs. Under the NCWSP, the RCC performs the following functions:  Ensures the preparation and submission of regular reports by all MMDAs, on all activities related to the delivery of water and sanitation services.  Ensures that regional- and district-level interventions in water and sanitation are harmonised within the regional medium-term development plan.  Monitors progress in the implementation of district medium-term development plans, including water and sanitation services delivery. 4.5.3 Ministry of Finance The Ministry of Finance (MoF) participates in the sourcing of funds, and is responsible for the allocation of resources to the sub-sector. Funds for the NCWSP are transferred by the Ministry through the necessary statutory arrangements. The MoF is also responsible for ensuring that GoG budgetary allocations are released. 4.5.4 Ministry of Education The Ministry of Education (MoE) is responsible for educational policy, planning, programme design, implementation, management and monitoring of the educational sector. Specifically, the Ministry assists the sub-sector in its implementation of the School Health Education Programme (SHEP). 4.5.5 Ministry of Gender, Children and Social Protection The Ministry of Gender, Children and Social Protection, in collaboration with the sub-sector, mainstreams gender, equity and social inclusion in WASH activities. At district level, Gender Desk Officers ensure that gender is mainstreamed in all WASH activities. 18 National Community Water and Sanitation Strategy 4.5.6 Environmental Protection Agency The Environmental Protection Agency (EPA) monitors the implementation of environmental and social management plans - designed to mitigate the effects of projects on the environment - to ensure environmental and social compliance. 4.5.7 Water Resources Commission The Water Resources Commission (WRC) regulates and manages the utilisation of water resources. It initiates, controls, and co-ordinates activities connected with the development and utilisation of water resources. The WRC also provides permits for the abstraction or usage of water resources in the implementation of projects. 4.5.8 Development Partners Development partners (DPs) work with the Government according to national standards and agreed policies. With the aim to promote aid effectiveness, DPs support in:  Improving country ownership and leadership of aid management processes.  Ensuring effective aid coordination and management.  Managing for development results.  Strengthening mutual accountability.  Moving beyond aid dependence. Within this context and under the NCWSP, development partners:  Strengthen the community water and sanitation sub-sector when they harmonise and align their goals and objectives with the NCWSP, and they comply with Government guidelines.  Provide support, financial or otherwise, towards realising sector priorities; this includes construction and post-construction support, and overall sector capacity building from local to national levels.  Facilitate the sharing of lessons and best practices, drawing on relevant international experience. 4.5.9 NGOs and Civil Society Organisations NGOs and civil society organisations perform significant roles in supporting development processes related to reducing poverty, promoting equitable service provision, and improving public health in the sub-sector through infrastructure development, capacity building and advocacy. NGOs and civil society organisations supporting in NCWSP implementation undertake the following:  Participate in policy dialogue.  Facilitate innovation and sharing of best practices.  Provide capacity support to community structures.  Share and promote the sharing of knowledge, and participates in thematic studies and/ or action research.  Support collaboration and co-ordination within the sub-sector.  Share plans and activity/ progress reports with MMDAs for inclusion in districts reports submitted to CWSA Regional Offices. 19 National Community Water and Sanitation Strategy  Advocate and demand for accountability. 4.6 Sector collaboration and co-ordination Implementation of the NCWSP has leaned towards the adoption of a project approach whereby development partners finance specific projects or limit their focus on an ‘adopted’ or preferred region(s). Consequently different implementation approaches have emerged, some of which do not adhere to sector norms and procedures. Over the past decade, CWSA developed and formalised standard practice within the sub-sector, however these have often been ignored. Lack of harmonisation and alignment amongst sub-sector actors undermined programme planning, the equitable allocation of investments, and the sector’s ability to accurately assess its progress in reaching Government targets. Operationalising a Sector Wide Approach (SWAp) in the community water and sanitation sub-sector to accelerate progress and improve the sustainability of services provision remains a pressing challenge. 4.6.1 Sector Wide Approach (SWAp) SWAp is designed to prompt the development of a more holistic, co-ordinated, harmonised and results-oriented water sector. With development partners, the Ministry of Water Resources, Works and Housing developed a road map for SWAp implementation in the water sector. The road map commands for the following:  Compliance with National Water Policy.  Promotion and facilitation of sector consultation and dialogue.  A harmonised performance monitoring system.  A formalised co-ordination process, including sub-sector agencies and development partners.  Harmonisation of reporting, budgeting, financial management and procurement systems.  Institutional capacity building and support for water and sanitation institutions. 4.6.2 Sector co-ordination mechanisms Effective collaboration and communication mechanisms established at national, regional and district levels facilitate the implementation of SWAp. Table 1 presents existing national-level platforms for co-ordination and their respective mandates. 20 National Community Water and Sanitation Strategy Table 1: National-level co-ordination mechanisms Platforms Description Lead Water and Sanitation Sector Group (WSSG) The WSSG provides a forum that brings together MMDAs and DPs engaged in the WASH sector to discuss and pursue the following WSSG missions: i. To conduct a continuous sector policy dialogue. ii. To review performance of the WASH sector. iii. To improve the alignment and harmonisation of Government’s and DPs’ procedures, projects, programmes and skills, and to ensure the efficient implementation of Government’s sector strategy. MWRWH/ MLGRD Water Directorate (WD) & EHSD Ghana Water Forum (GWF) The GWF takes stock of the status of MDG progress in Ghana, reviewing key achievements and challenges, and proposing strategies and actions for accelerating the achievement of water and sanitation targets. The GWF provides a platform for exchange on knowledge and information on the water and sanitation sector resulting in: consensus on water security; recommendations for consideration at the highest political level; and concrete policies, strategies and actions to accelerate water resources development and the provision of services. MWRWH The National Technical Working Group on Sanitation (NTWGS) Comprises key stakeholders and organisations that facilitate, co-ordinate and harmonise sanitation efforts. The NTWGS supports in the development of documents and guidelines that frame the implementation of sanitation interventions. MLGRD-EHSD National Environmental Sanitation Policy Co-ordination Council (NESPOCC) The NESPOCC co-ordinates implementation of the Environmental Sanitation Policy. MLGRD-EHSD National Environmental Sanitation Conference (NESCON) The NESCON is a high-level political platform for the annual performance assessment of the sector. As a mechanism for sustaining GoG’s focus on sector issues, it provides an open forum for discussion on new challenges faced by the environmental sanitation sector, and offers sustainable solutions for consideration at the highest decision-making level. The NESCON is the platform where exchanges on Environmental Sanitation Sector knowledge and information take place, and where consensus on upcoming environmental sanitation issues is reached. MLGRD-led sector review The Sanitation and Water for ALL (SWA) The Ghana SWA Compact articulates the country’s commitment in enhancing mutual accountability and improving the performance and effectiveness of the water and sanitation sector. The Compact, prepared by national stakeholders, summarises a number of issues that require immediate actions, and the commitments of GoG and its development partners in addressing the objectives of SWA. Inter-ministerial co-ordination on sanitation, water and hygiene Mole Conference Series The Mole Conference is a multi-stakeholder annual platform for dialogue, learning and sharing knowledge/ information on specific themes that affect the sector. Coalition of NGOs in Water and Sanitation (CONIWAS) National and Regional-Level Learning Alliance Platforms Learning alliance platforms are practical dialogue/ interaction forums that improve sector engagements/ sharing, with the long-term aim to achieve a knowledge driven WASH sector in the delivery of quality and sustainable WASH services in Ghana. Resource Centre Network (RCN)/ CWSA 21 National Community Water and Sanitation Strategy 5 Planning Framework The purpose of the planning framework is to clarify the formulation processes and align various plans from national to district level. 5.1 Planning Challenges Despite the existence of planning frameworks, challenges of co-ordination, timing and financing of actual plans remain. 1. Plans within the community water and sanitation sub-sector are disjointed at district, regional and national levels. Linkages between the District Water and Sanitation Plans (DWSP), District Environmental Sanitation Strategy and Action Plans (DESSAP) and District Medium-Term Development Plans (DMTDP) are unclear. Furthermore, the CWSA Strategic Investment Plan (SIP) and its corporate plan are not synchronised with the above, and other national development plans. 2. Challenges with inadequate and unreliable data being used in the formulation of plans at national, regional and district levels. 3. Insufficient funds for the development of plans and their subsequent implementation by actors at all levels. 5.2 Proposals to address planning challenges Efforts must be made to engage with other sub-sector stakeholders by MMDAs and other agencies to achieve the following: 1. Integrate and synchronise plans with other development plans to ensure the sustainable delivery of WASH services. 2. Put in place mechanisms that support collection, storage and analysis of reliable data in the sub-sector to inform the formulation of plans at all levels. 3. Provide all actors at all levels with adequate financial and human resources to enable them to develop and implement plans accordingly. 5.3 Proposed planning framework At district level, WASH planning begins with the preparation of the District Water and Sanitation Plan (DWSP) and District-Level Environmental Sanitation Strategies and Action Plans (DESSAPs), in line with the national vision. These plans serve as the MMDA’s strategy for meeting the water and sanitation needs of communities and towns, and are incorporated into the District’s Medium-Term Development Plan (DMTDP). Following the General Assembly’s approval of the DMTDP, the document is used as the source for annual budget preparation by the WASH unit. Annual and quarterly work plans and budgets of the Unit shall always be based on the approved District Composite Budget. The RCC and the CWSA Regional Office, then draw information from WASH plans and other agreed parameters, and jointly prepare a detailed WASH investment plan for the period. All sector plans (ministries, departments and agencies) are developed based on the National Medium-term Development Plan, which provides the strategic framework and direction upon which the Water Sector Strategic Development Plan (WSSDP) has been formulated. Sub-sector plans such as the CWSA’s Strategic Investment Plan and its Corporate Plan also derive guidance from it. The 22 National Community Water and Sanitation Strategy basic framework for planning within the community water and sanitation sub-sector is illustrated in Figure 10 below. Figure 10: Planning framework for the sub-sector 5.3.1 Water Sector Strategic Development Plan The WSSDP sets out the key challenges, strategic priorities and investment requirements to achieve universal coverage and sustainable water and sanitation services as well as an integrated management of Ghana’s water resources. The WSSDP sets out a comprehensive framework for the sector to:  Increase Ghana’s leadership, ownership and investment in the sector through enhanced political prioritisation and commitment.  Ensure that the sector is financially and institutionally sustainable.  Link policies, programmes, plans, projects and budget.  Increase aid effectiveness, including country ownership, harmonisation and alignment.  Ensure good governance and accountability, and deliver services that are affordable, sustainable and cost effective.  Ensure the sustainable management of water resources for present and future generations. The Ministry of Local Government and Rural Development (MLGRD) through its Environmental Health and Sanitation Directorate (EHSD) is responsible for overall sanitation services delivery. Therefore interventions proposed in the WSSDP are designed to complement interventions in the National Environmental Sanitation Strategy and Action Plan (NESSAP) of the MLGRD. 23 National Community Water and Sanitation Strategy 5.3.2 Strategic plans of Community Water and Sanitation Agency The lead Agency of the sub-sector, CWSA, formulates plans that advance the delivery of water, sanitation and hygiene services to rural communities and small towns in Ghana. CWSA produces and spearheads two key plans: the CWSA Strategic Investment Plan (SIP) and the CWSA Corporate Plan, both of which are aligned to the WSSDP. The SIP is an infrastructure plan that lays out the physical infrastructure needs (WASH) of the population over a long term period (10 to 15 years) in order to achieve a projected coverage. The Corporate Plan outlines the strategic vision, mission, goals, objectives, inputs and outputs/deliverables required over a medium term period (5 years) in order to attain a projected coverage threshold, while ensuring the sustained delivery of the envisage WASH services. The infrastructure projections of the SIP form the basis of the Corporate Plan. The vision, mission and hierarchy of goals of the CWSA Corporate Plan guide the MMDAs in the formulation of their own DWSPs and DESSAPs, which are in turn, fed into the DMTDPs. 5.3.3 District Water and Sanitation Plan and District Environmental Sanitation Strategy and Action Plan At district level, MMDAs are required to prepare District Water and Sanitation Plans (DWSPs) and District Environmental Sanitation Strategy and Action Plans (DESSAPs). These plans detail the water and sanitation components of the District Medium-Term Development Plan (DMTDP), and ensure that the medium-term development plan comprehensively addresses WASH needs, particularly water resources and water supply issues to ensure sustainability. The CWSA and other relevant agencies provide capacity and technical support to Environmental Health Assistants, Community Development Officers, and District Works Departments (DWDs) to ensure the necessary WASH inputs for DMTDP formulation. 5.4 Access to planning information Data, information and knowledge for the purpose of planning in the community water and sanitation sub-sector are anchored in the District Monitoring and Evaluation System (DiMES) of the CWSA. The system is designed for MMDA use and shall be installed across all districts, nationwide. Data shall be collected, validated and stored in the Field Level Operations Watch (FLOW) on line database system. The FLOW database shall be configured to interface and link with the DiMES database to enable direct transfer of the data into DiMES database. This linkage shall allow both systems to share the same data sets to avoid duplication. Individuals in beneficiary communities and at sub-district level shall receive the necessary training for data collection on water and sanitation facilities, using android phones, and shall be coached on how to transmit data to dashboards, via the internet. The online database shall be available and accessible to authorised users located in or out country for their use. Trained CWSA IT personnel shall cascade learning on the use of the phones, the selection of data and its subsequent analysis, during trainings designed for other personnel. Regular skills enhancement workshops and career development courses shall be instated for CWSA IT staff to enable them to continue to perform their lead roles accordingly. 24 National Community Water and Sanitation Strategy 6 Financial framework CWSA continues to fulfil a critical role in channelling funds for water and sanitation infrastructure. Funding for water and sanitation services has mainly been channelled through projects and programmes and has often been routed through the Ministry of Water Resources, Works and Housing, with disbursements made directly to the Community Water and Sanitation Agency. However within the decentralised framework, both government and development partner funding for water and sanitation services continues to shift from CWSA to MMDAs. This financial framework offers strategies in managing the transition of fiscal decentralisation to the MMDAs to ensure the long-term financial viability of the sub-sector. Its main purpose: to create an environment that enables the sustained financing of investments and the operations and maintenance of water and sanitation services infrastructure. 6.1 Financial challenges 1. Low budget allocation to the sub-sector from GoG for investment in rural community and small towns’ water services in relation to the Agency’s targets. Resources are insufficient in meeting set targets, as well as in providing investments for scaling up services. Given the generally low income levels, particularly in rural communities, financing capital, institutional, and operation and maintenance costs remains a challenge. 2. Lack of national grants to cover capital costs for piped schemes is especially problematic as some communities are not able to cover the day-to-day operational costs of their systems, let alone contribute to (major) repairs and expansion costs. In communities where funds are mobilised, challenges in fund management persist. At district level, funding for the life-cycle costs of WASH services (i.e., operational costs, capital maintenance, major repairs and rehabilitation) is not budgeted for by MMDAs. 3. Inadequate resources for institutional costs and capacity support from the GoG threaten the viability of CWSA as a facilitator and regulator. Given that funding for infrastructure will increasingly go directly to district assemblies, the 5% management fee from water and sanitation investments (projects) that accrues to CWSA will no longer be available to finance its activities. Unless the Government commits the necessary budget for support and regulatory functions within the Community Water and Sanitation sub-sector, CWSA will not be able to function effectively. At the level of MMDAs, GoG’s contribution to sub-sector administrative costs is not sufficient to cover/ support the former in fulfilling their water and sanitation functions (statutory and legislative as per the Local Government Act, 1993 (Act 462). 4. Lack of alignment in the country’s financial systems and procedures results in the implementation of different disbursement mechanisms by different donors. Some donors disburse directly to MMDAs, whilst others disburse through CWSA; different project agreements have different tax requirements. 25 National Community Water and Sanitation Strategy Non-adherence to the country’s procurement4 and financial systems5 causes various problems in fund disbursement, and results in cumbersome management procedures, fund flows, and reporting requirements. 5. Revenues generated from service provision are not always properly managed. The problems include unrealistic tariff setting practices; irregular audits of water systems operations; lack of proper financial record keeping, management and reporting; lack of financial monitoring and follow up; misapplication of funds; and lack of sufficient financial accountability. At district level, revenue from the replacement fund is not being allocated or spent on maintenance and rehabilitation. 6.2 Proposals to address financial constraints The proposals below address the existing and future financial constraints of the community water and sanitation sub-sector and the NCWSP. 1. Increase Government of Ghana funding for institutional costs, capacity support and investment to the community water and sanitation sub-sector, enabling it to meet its set targets. 2. Design financing mechanisms that ensure sufficient funds for the long-term sustainability of water and sanitation services for rural areas and small towns, including its full life-cycle costs. 3. Establish a mechanism for financing capital maintenance and expansion expenditures for rural and small town water systems at district and national levels. 4. Adhere to the provisions of various financial, procurement and audit legislation and regulations in the management of water and sanitation services. 6.3 Financial framework As the decentralisation process is pursued, changes in Government policies and directives for fund flows are anticipated. This includes the current fiscal decentralisation process for the MMDAs, and the Ghana Integrated Financial Management Information Systems (GIFMIS). CWSA shall align with these changes, while ensuring the sustainable delivery of WASH services in the sub-sector. Current financial flows for water and sanitation investment is illustrated in figure 11. 4 See: Public Procurement Act, 2003 (Act 663) and Public Procurement Manual. 5 See: Financial Administration Act, 2003 (Act 654). 26 National Community Water and Sanitation Strategy Figure 11: Financial flows within the community water and sanitation sub-sector 6.4 Principles informing the financial framework Ghana’s Public Financial Management (PFM) system is based on legal and regulatory frameworks, which set out the appropriate budget and accountability structures in accordance with the 1992 Constitution and other Acts of Parliament. These include the: Financial Administration Act, 2003 (Act 654); Financial Administration Regulations, 2004; Public Procurement Act, 2003 (Act 663); Internal Audit Agency Act, 2003 (Act 658); Audit Service Act, 2000; Financial Memorandum, 2008; and Regulations, 2004 (LI 1802) etc. 6.4.1 Ghana Integrated Financial Management Information Systems Ghana Integrated Financial Management Information Systems (GIFMIS) is part of the e-Ghana Project initiated by Government to generate growth and employment through ICT. It involves the use of a number of integrated electronic financial modules in the management of public funds. 27 National Community Water and Sanitation Strategy GIFMIS seeks to establish and use the Public Financial Management functionality in Government treasuries to improve macro-fiscal discipline and financial management in Ghana. GIFMIS objectives are to:  Promote efficiency, transparency and accountability in public financial management through rationalisation and modernisation of budgeting and public expenditure management in the Government of Ghana.  Promote the timely dissemination of information for financial management.  Rationalise the financial Administrative Decree and Regulations.  Improve the efficiency and effectiveness of revenue collection by Government.  Maximise payment and commitment control. 6.4.2 Financial Management System in Community Water and Sanitation Agency The Financial Management System (FMS) manages project resources to achieve desired project development objectives. It includes a series of inter-related tasks such as planning, budgeting, disbursement, accounting, reporting, internal control, auditing, procurement, and physical performance tracking. The FMS provides timely and reliable information that gives early warning signals when problems in project implementation occur. It facilitates the effective monitoring of project activities and is integrated with the District Monitoring and Evaluation System. 6.4.3 Framework of MMDA budgeting in Ghana The budget cycle followed by the Assemblies is guided by the Local Government Act, 1993 (Act 462), the National Development Planning Systems Act, 1994 (Act 455), and the District Assembly Common Fund Act, 1993 (Act 455); the Decentralisation Policy and Framework reviewed in 2010; and the L.I 1961, 2009. These laws give Assemblies the mandate to plan, budget and collect rates. Section 92 (3) of the Local Government Act, 1993 (Act 462) envisages the implementation of the composite budget system, which requires district department budgets to be integrated in the overall budget of the MMDA. The composite budgeting process aims to ensure:  Cost effectiveness in district programme planning and implementation.  Holistic development of the MMDAs.  Transparency in the use of resources.  Effective planning and utilisation of resources.  A unified approach for district and national budgeting systems.  Uniform system of monitoring, evaluation and reporting.  Determination of total inflow and outflow of resources. 28 National Community Water and Sanitation Strategy 6.5 Funding sources The main funding sources for the community water and sanitation sub-sector include: 1. Consolidated funds in accordance with Section 5(1) of the Financial Administration Act, 2003 (Act 654). 2. Internally Generated Funds (IGF) are non-taxable revenue generated through the activities of departments. 3. Annual Budget Funding Amount (ABFA) is the annual budget allocation from petroleum receipts. The ABFA is considered part of the National Budget and requires that a minimum of 70% be used for public investment expenditures6. 4. Funding from donors/ development partners is in the form of project loans and grants. 6.5.1 Community Water and Sanitation Agency Funds for the sub-sector channelled through the CWSA reach the Agency in the form of consolidated funds, ABFA, and funding from donors/ development partners (project loans and grants). Towards increasing investment in infrastructure, the community water and sanitation sub-sector, under the auspices of CWSA:  Lobbies the Ministry of Finance to increase budgetary allocation for the sub-sector.  Endeavours to attract private sector finance and investment for the sub-sector.  Solicits corporate funding/ investments through a Build Operate and Transfer (BOT) mechanism. Other funding mobilisation mechanisms include:  Formulating specific project proposals based on CWSA’s Strategic Investment Plan.  Holding an investment forum to market project proposals.  Soliciting funding from non-traditional donor sources, e.g., financial institutions, corporate holdings, international NGOs, private foundations. 6.5.2 Metropolitan, Municipal and District Assemblies Funding sources for MMDAs comprise of: 1. The District Assemblies Common Fund provides a minimum of 5% of the national revenue set aside to the districts for their development activities. The horizontal division (among MMDAs) is based on a formula approved by Parliament. District Assemblies are required to prepare a development budget towards which the Common Fund Secretariat makes an allocation. 2. Internally Generated Funds (IGFs) are non-taxable revenue generated through the activities of the MMDAs, e.g., property taxes, tolls, etc. 3. Funding from donors/ development partners is received by MMDAs in the form of grants, either directly from some implementing agencies (CWSA, NGOs, etc.) or as special funds channelled through Central Government, such as the District Development Facility (DDF) and Urban Development Grant (UDG). The DDF and UDG are disbursed based on results of a Performance-Based Grant System (PBGS) that support MMDAs in the implementation of their 6 For more information on Ghana’s budget statement, see Ministry of Finance, 2013. The 2013 Budget Statement and Economic Policy. [pdf] Accra: Government of Ghana. Available at: <http://www.mofep.gov.gh/sites/default/files/budget/2013 Budget Statement.pdf> [Accessed 17 November 2013]. 29 National Community Water and Sanitation Strategy Medium-term Development Plans. Allocation is determined by performance, following the annual assessment of each MMDA using the Functional and Organisation Assessment Tool (FOAT). The FOAT evaluates the performance of MMDAs in relation to their compliance with existing Government rules, regulations and procedures. 6.5.3 Financial arrangements between MMDAs and water service providers Financial arrangements between MMDAs and water service providers vary depending on particular circumstances. The general practice is for water service providers to collect tariffs every month and pay these amounts in designated accounts. 6.6 Ensuring sustainable services delivery To ensure sustainable services delivery, CWSA and MMDAs explore innovative options for financing capital maintenance. This includes:  Insurance of water systems.  Creation of a mutual fund.  Conversion of community systems into limited liability companies to attract equity funds.  Raising municipal bonds for investment in WASH activities. 6.7 Financial management capacity within MMDAs Provision is made for capacity support to MMDAs through a support framework. Support is manifested by the following:  CWSA, in collaboration with the Local Government Service Secretariat, builds the capacity of MMDA financial staff and internal auditors on all matters related to the technical operations of water systems, and the functioning of WSMTs.  MMDAs provide regular audits of WSMT accounts, and establish a platform to discuss findings with CWSA and communities.  CWSA orientates MMDAs and WSMTs on bye-laws for the operations of water facilities. 30 National Community Water and Sanitation Strategy 7 Regulatory framework The regulatory framework for the sub-sector is based on the Community Water and Sanitation Agency Act, 1998 (Act 564), the Local Government Act, 1993 (Act 462), and the Legislative Instrument of Community Water and Sanitation Regulations (LI 2007). Towards fulfilling its regulatory role, CWSA has developed the necessary standards, key directives and guidelines to facilitate the delivery of water supply and sanitation services. 7.1 Challenges 1. The regulatory function of the CWSA had not received adequate priority in the sub-sector. The sub-sector’s focus had primarily been on scaling up access to water and sanitation services. Consequently, there are challenges with coordinating and harmonising various stakeholders, approaches and delivery methods which do not align with GoG systems. 2. Non-compliance with national norms, standards and guidelines is largely explained by the following:  Limited awareness of the key tenets of the NCWSP by the general populace.  Limited knowledge on the provisions of the legislative instrument by key stakeholders.  Limited knowledge on and inaccessibility of the standards and guidelines put in place by CWSA. 3. Some MMDA’s are not completely fulfilling their service authority functions. 7.2 Proposals for implementing the regulatory framework In order to operationalize the regulatory framework it is encumbered on CWSA to undertake the under listed activities namely, 1. Facilitate the publication and dissemination of all regulations related to the sub-sector through the following:  Hold orientation programmes on the provisions of the legislative instrument, and other relevant regulations to key stakeholders.  Make CWSA standards and guidelines accessible to all key stakeholders through innovative dissemination strategies and organising workshops.  Launch an advocacy campaign to increase understanding of the CWSA’s regulatory framework, and enhance general acceptance of CWSA’s regulatory function.  Promote relevant advocacy initiatives to enhance the acceptance of MMDAs as approving authority for the provision of water and sanitation services 2. Provide capacity building support to ensure stakeholder compliance with the legislative instrument, and other relevant regulations by undertaking the following:  Identify and address non-compliance of standards and guidelines.  Apply appropriate sanctions, under the legislative instrument, using established institutions where necessary. 7.3 Mechanisms for enforcement Enforcement of regulatory framework will ultimately safeguard the sustainability of services in accordance with national norms and standards. Mechanisms for the enforcement of sanctions and 31 National Community Water and Sanitation Strategy penalties are stated in the LI 2007. CWSA shall build the necessary regulatory capacity to ensure full compliance with national norms and standards and regulations. 32 National Community Water and Sanitation Strategy 8 Support framework Currently MMDAs and the sub-sector as whole remain heavily dependent upon CWSA to address many areas of responsibility, particularly in terms of scaling up water supply infrastructure to meet targets. The challenges of decentralisation, together with capacity building needs within the community water and sanitation sub-sector, require that a comprehensive support strategy is put in place. 8.1 Sector support challenges 1. Inadequate knowledge among sub-sector practitioners to support in the implementation of the NCWSP. 2. Limited and irregular capacity building processes for agencies at national, regional, district and community levels. 3. Lack of co-ordination in supporting initiatives across multiple actors (development partners, NGOs, training institutions, government departments, etc.) that provide different types of support, without a common framework. 4. Insufficient capacity and qualifications within the private sector to undertake construction, O&M, and installation works. 5. Inadequate financial resources for sub-sector support activities making it difficult for MMDAs to fulfil its authority and support functions (such as maintenance support) to sustain WASH services. 8.2 Proposals to enhance sector support Addressing the capacity in order to fulfil functions in the sub-sector requires adequate resources and access to sustained support. Towards the redress of these challenges, some proposals include: 1. Ensure institutional capacity within the community water and sanitation sub-sector by setting in place the mechanisms required to access support beyond institutions such as CWSA. Include training and capacity building institutions, universities and other support programmes. 2. Ensure institutional capacity at district level for WASH governance by setting in place the structures and systems required to facilitate technical and capacity building support so that decision makers and implementers at district level are able to:  Make their specific bye-laws for water and sanitation service delivery.  Plan for water and sanitation services, and identify projects to meet national targets.  Make informed decisions for financing WASH services, and ensure the effective use of resources in communities to achieve good value for money.  Design and implement capital projects, and enter into service delivery arrangements/ contracts with service providers operating in their area of jurisdiction to ensure the provision of sustainable services.  Oversee and monitor performance of service providers in providing water and sanitation services. 3. Provide the necessary financial/ logistical support to the community and water sanitation sub sector. 4. Increase knowledge management, sharing and learning within the sub-sector. 5. Promote skills development to enable an efficient and effective community water and sanitation sub-sector. 33 National Community Water and Sanitation Strategy 9. Monitoring and evaluation framework Monitoring and Evaluation (M&E) in the community water and sanitation sub-sector tracks progress in the achievement of set targets and project objectives, to inform policy development, to provide necessary information for planning, and to identify interventions and support requirements. 9.1 Monitoring and evaluation challenges The main monitoring challenges facing the sub-sector are: 1. Delays in the upgrade and operationalisation of the District Monitoring and Evaluation System (DiMES) across all levels. 2. Absence of a clearly defined and institutionalised participatory M&E system that informs government and all stakeholders of sector performance and progress. 3. Parallel M&E initiatives by allied government institutions, development partners and NGOs. 4. Inadequate support to districts to ensure effective M&E. 5. Inadequate logistical arrangements to ensure timely and accurate data collection and processing. 9.2 Proposals for enhancing monitoring and evaluation Evidence-based decision making towards activity planning and investments in the sub-sector helps ensure the provision of sustainable water and sanitation services for all. Towards ensuring a robust M&E process, the following proposals are offered: 1. Establish a national M&E coordinating committee to help harmonise M&E systems within the sub-sector, drawing membership from all relevant stakeholders, under the leadership of CWSA. 2. Provide support to MMDAs to establish the DiMES as their M&E framework, in line with national systems. 3. Upgrade and Operationalise DiMES to ensure that information and data used for tracking sector progress are timely and reliable. 4. Establish a mechanism that allows and facilitates an interface between the different sub-sector systems, and the Sector Information System (SIS). 5. Establish and support a more effective data collection mechanism at the level of the MMDAs 9.3 Responsibilities for monitoring and evaluation Monitoring within the community water and sanitation sub-sector takes place at all levels. CWSA is responsible for overall sub-sector monitoring, and establishes the necessary monitoring and information systems to ensure that the monitoring process achieves its objectives. The CWSA Regional Office monitors MMDA performance of its role as service authority, its management of the overall provisioning of water and sanitation services, and the extent by which it conforms to national norms and standards. The CWSA Regional Office also monitors district-level progress against water and sanitation MDG targets. 34 National Community Water and Sanitation Strategy The Environmental Health and Sanitation Directorate (EHSD) is the lead agency responsible for environmental sanitation, and as such, monitors environmental health and sanitation services delivered. The MMDA monitors the performance of all water service providers (WSMTs and private operators) based on agreed contractual conditions under which water service providers are required to provide services. In cases when the WSMT fulfils a community governance role, the WSMT supports the MMDA in monitoring the performance of private operators. Water service providers (WSMTs and private operators) are responsible for self-monitoring and providing information on the services they render. Communities monitor the services they receive and report on facility breakdown, service disruption, or when services do not meet the prescribed service levels. 9.4 Monitoring and reporting systems CWSA monitors and reports on the Agency’s performance through its general reporting format and the services it provides through the DiMES. The EHSD’s M&E framework is aligned with monitoring and reporting practice on environmental sanitation activities at sub-district, district, regional and national levels. 9.4.1 District Monitoring and Evaluation System (DiMES) DiMES is an integrated computer-based data management and monitoring system that:  Ensures a sustainable means of capturing, storing and managing data for informed decision making.  Monitors service level performance and functionality of water and sanitation facilities installed in communities, and provides information for taking corrective action and holding service providers and service authorities accountable.  Tracks sub-sector performance and progress towards achieving the national targets for water and sanitation. Primary data is gathered at sub-district and district levels. Data collection is conducted by district staff that receives support and supervision from the CWSA Regional Office. The District Works Department (DWD) and district planners validate data to minimise errors and catch deliberate data manipulation. Once data is validated, it is submitted to the CWSA Regional Office for data aggregation by the CWSA IT Unit. Final data is fed into the DiMES. The final data in the DiMES is consolidated at the CWSA Head Office. Reports are generated and circulated to relevant organisations for project planning purposes, among others. 9.4.2 General reporting format The general reporting format is used to capture all aspects of the Agency’s performance on a quarterly and annual basis. The CWSA Regional Office develops a regional report based on completed district reports on NCWSP implementation, for submission to the CWSA Head Office. The Head Office collates the regional reports and uses these as basis for the development of national quarterly and annual reports, for submission to stakeholders. The general reporting format includes information on the following: 35 National Community Water and Sanitation Strategy i. Overall achievement of regional targets, coverage, service level performance and functionality of water and sanitation facilities. ii. Progress of specific regional WASH projects and interventions by NGOs and other civil society organisations in the region with respect to: WASH; capacity building for stakeholders; other relevant project information; and prospects/ challenges of the project. iii. Human Resources Management: capacity building for CWSA Regional staff; and other relevant personnel issues. iv. Finance: approved budget, releases, expenditure and variances; also undertaking an analysis of figures, giving reasons for variances. v. Regional challenges and mitigation measures. vi. Prospects in the coming year: financial, economic, efficiency, and productivity indicators. 9.4.3 EHSD monitoring and evaluation framework The CWSA collaborates with the EHSD in the implementation of sanitation and hygiene promotion interventions. The M&E framework for the environmental sanitation sector: Materials-IN-Transition and Environmental Sanitation Assessment and Audit (MINTESAA), developed by the EHSD, shall be aligned with the DiMES. Relevant information from the MINTESAA is provided by EHSD to the CWSA for the effective monitoring of sanitation in rural communities and small towns. 36 National Community Water and Sanitation Strategy 10. Communication framework At the heart of the challenges facing the water and sanitation sub-sector is the issue of sustainability of water and sanitation systems in rural communities and small towns. The NCWSS provides a framework to address these challenges and shall be appropriately implemented to ensure its efficacy and success. 10.1 Communication challenges The challenges facing communication include: 1. Low prioritisation of communications and knowledge management in the sub-sector. 2. Inadequate financial and human resources for communication activities. 3. Communication is not adequately mainstreamed in sub-sector activities. 10.2 Proposals for enhancing communication The appropriate packaging and positioning of sub-sector documents, guidelines and manuals is important to obtain the desired result of the NCWSS. This involves the following: 1. Implement a communication strategy for the sub-sector with the aim to: create the right understanding among stakeholders; solicit cooperation and support; and trigger action for the smooth implementation of the NCWSS. 2. Provide adequate finances and resources for communication support by developing a budget for implementation costs. 3. Make communications an integral part of the sub-sector’s activities. 10.3 The NCWSS communication plan The NCWSS communication plan seeks to: i. Disseminate the purpose, goal and objectives of the NCWSS to inform and educate sub sector stakeholders and the general public. ii. Create awareness on the roles and responsibilities of stakeholders in the implementation of the document to promote dialogue and generate feedback on the performance of the NCWSS. 10.3.1 Expected issues and management The achievement of sustainable water and sanitation services faces multiple obstacles. These obstacles are likely to have an adverse effect on the implementation of the NCWSS if the way forward, as stipulated in the document, are not deployed properly. The communication plan shall therefore focus on reiterating messages regularly on: i. The purpose of the NCWSS, which is to provide a single source and overall framework for implementation of the NCWSP. ii. The sector vision, which is for ‘all people living in Ghana to have access to adequate, safe, affordable and reliable water service, practise safe sanitation and hygiene and that water resources are sustainably managed’. Messages shall emphasise the need to provide safe water as a means to reduce water-related diseases, poverty and improve the well-being of people. Messages on sanitation and hygiene shall raise awareness on the importance of good environmental and personal hygiene practices for public health. 37 National Community Water and Sanitation Strategy iii. The goal of the sub-sector, which is to improve access to safe water, sanitation and hygiene as a means to uplift the living standards of people. iv. The objectives of the sub-sector, which are to:  Achieve universal coverage for water and sanitation services by 2025.  Ensure sustainable financing and investments for operations and maintenance of water services.  Ensure that water sector institutions have the required expertise, information, equipment, logistics and financing to perform their roles efficiently and effectively, in a transparent and well-coordinated manner. v. The overall strategic frameworks, through which sector objectives shall be achieved. These frameworks include:  Service standards, regulations and guidelines  Institutional framework  Planning framework  Financial framework  Regulatory framework  Support framework  Monitoring and evaluation framework  Communication framework 10.4 Media publicity/educational programme Media and public events are organised when key milestones are achieved during NCWSS implementation. The publicity and dissemination plan shall include a launch of the NCWSS at national level, followed by regional- and district-level workshops and presentations. Planned activities are outlined below: 1. Stakeholder/press launch is an advocacy event that explains the purpose, goal and objectives of the NCWSS at national level to influence policy and decision making on WASH. 2. Radio/TV/publications are various forms of electronic and print media that explain the content of the NCWSS to the general public. Such activities are aimed at enhancing public understanding and elicit support for the NCWSS. 3. Workshops/presentations on the NCWSS are held at regional/ district levels to educate stakeholders and elicit their support for the successful implementation of NCWSS. 4. Internal education involves a series of staff seminars to explain the content of the NCWSS and stakeholder roles and responsibilities in its implementation, at national and regional levels. 5. Hand-outs/flyers/factsheets/posters, etc. are tailor made and succinctly written materials developed and printed for distribution to different target audiences to enhance stakeholder understanding and create NCWSS visibility. 6. Mobilise Finances, namely ensure that a corresponding budget is available to cover the cost of NCWSS implementation, workshops, logistics, publicity, publications, material development, etc. 38 National Community Water and Sanitation Strategy 11. Strategy for sustainability and scaling up WASH services This section describes the strategy to ensure the sustainability of services provision, and to facilitate the scale up of WASH services to achieve 100% coverage in the context of the country’s decentralised governance arrangement, and in line with Government of Ghana’s vision. 11.1 Status of coverage and functionality UNICEF and WHO (2012) estimates that 86% of Ghana’s population have access to improved drinking water sources in 2012: 91% in urban areas, and 80% in rural areas. According to reports by the Ghana Statistical Service, about 18% of households (approximately 4.3 million) rely on unsafe water sources, including rivers and streams, for domestic use. Sub-sector performance on sanitation continues to lag behind. The Ghana MDG Annual Report (GoG, 2010) shows that the proportion of people using improved sanitation facilities7 is 13%; about four times below the 2015 target of 54%. Although access to safe water data shows that Ghana has been successful in reaching the 2015 MDG for water supply, many of the figures reported do not account for national norms and standards for water services delivery in their assessment, namely: quantity, quality, distance and reliability. Provider-based data collated by CWSA, which considers all these parameters, shows that rural water supply in Ghana has increased from a low 29% in the 90’s to 63.41% for the rural population of Ghana (CWSA, 2012). CWSA figures imply that some 6.3 million people in rural and small town areas are currently underserved based on national norms and standards. However, behind the success of improvements in water supply coverage is a complex set of challenges to ensure that newly provided water infrastructure deliver sustainable services throughout its design life and beyond. At any one time, it was found that a significant proportion of water supply infrastructure was either not functioning or was functioning sub-optimally. To date, there continues to be no nationwide comprehensive figures on functionality. Results from a functionality and sustainability study conducted by CWSA, under IRC’s Triple-S Initiative8, across three districts in Ghana indicated the non-functionality rates in the three districts to be around 25%, when considering completely broken down hand pump boreholes. 11.2 Policy and operative framework The WASH sector of Ghana has a favourable policy and operative framework behind the drive to achieve the target of 100% coverage by 2025. The transformational path to provide WASH services in Ghana has resulted in the establishment of institutional structures, which have evolved through sector reforms. There are also favourable policies that support the delivery of WASH services, such as the National Medium-term Development Plan and the Medium-term Development Policy Framework, both of which highlight water, environmental sanitation and hygiene as one of the six key focus areas, with priority policy interventions for the accelerated delivery of sector targets. Ghana is also a member of the Sanitation and Water for All (SWA) Partnership, and has subsequently 7 This is known as the MDG 7, Target 7c, and Indicator 7.9 8 Adank, et al., (2013) - The status of rural water services in Ghana: a synthesis of findings from 3 districts (Akatsi, Sunyani West and East Gonja districts) - Accra: IRC Ghana and CWSA 39 National Community Water and Sanitation Strategy articulated a SWA Compact in 2010, and reviewed in 2013 to achieve the vision of sanitation and water for all in Ghana. The Compact prioritises sanitation among the essential services, with resources allocated towards raising sanitation coverage to 61% for urban areas and 55% for rural by 2015. Through the Environmental Health and Sanitation Directorate of the Ministry of Local Government and Rural Development, the National Environmental Sanitation Strategy and Action Plan (NESSAP) and the Strategic Environmental Sanitation Investment Plan (SESIP) for policy implementation management have been rolled out. There are also a number of ongoing projects funded by Government, Development partners, NGOs and the private sector to increase coverage of WASH services. CWSA, together with IRC—through its Triple-S initiative—has tested the framework for assessing and monitoring rural and small town water supply services in three pilot districts and using captured results to support evidence-based decision making on the delivery of sustainable WASH services. Opportunities to institutionalise and scale up results of the study are emerging with development partners- including the World Bank, UNICEF, SNV and the Dutch Government - supporting the efforts in the country. Notwithstanding the positive developments above, challenges still remain. If left unaddressed, these will pose as barriers to achieving sub-sector targets. These challenges are summarised below. 11.3 Challenges to sustainability To reach 100% coverage, there is a need to also understand the interaction between the social, technological and ecological dimensions of WASH systems, the challenges that come along with it, as well as finding ways to address these. Potential stumbling blocks to sustainability are enumerated here. 11.3.1 Community management issues: The approach to ensuring sustainability of WASH services in the NCWSP is through the deployment of a Community Ownership and Management (COM) strategy. This management arrangement relies on the beneficiaries of the service, through their hands-on involvement in the planning, design, implementation, operations and maintenance of the facilities, to ensure that they remain operational throughout their expected design life span and beyond. Additionally, MLGRD, CWSA and the private sector have defined roles to provide external support to communities. However, it is been recognised that COM alone cannot effectively ensure the sustainability of WASH services delivery. The challenge is how to bring about policy clarity and institutionalise a reliable and robust mechanism for infrastructure asset management, in particular maintenance and major repairs. Specifically, this includes:  Operations and maintenance, systems upgrade and rehabilitation issues, which are becoming more complex and require the support of trained professionals, such as technicians, accounts officers and managers.  Responsibility for major repairs is often not clearly defined.  As a result of both capacity and financial challenges, the maintenance function (routine, preventive) tends to be neglected. 40 National Community Water and Sanitation Strategy  Supply chain management of spare parts is weak; spare parts are often not readily available; and MMDAs have limited capacity to provide support to the management and maintenance of the water and sanitation systems.  CWSA has limited untied resources to provide post-construction and technical backstopping to MMDAs. 11.3.2 Financial sustainability issues: Users, particularly in poor communities, are not always able to finance operations and maintenance cost requirements. Low accountability of service providers and/ or inadequate funds mobilisation—due to interference in tariff setting by service authorities or the unwillingness of users to pay also pose as stumbling blocks. Also direct support from the relevant service authorities is not forthcoming, owing to financing constraints. In consequence, a lower level of service is delivered, facilities break down, or communities return to traditional sources. The scope of responsibility for major repairs, rehabilitation and expansion between service authority and communities is often not clearly defined. For some of the un-served areas, there is a unique challenge in providing facilities because usual technological approaches have failed. New innovations may be required, but comes at a higher cost, and so becomes economically unattractive. 11.3.3 Poor records on existing water systems: There is no nationally agreed monitoring indicators and framework to guide performance tracking of existing facilities. Inadequate documentation on construction data (as built drawings, completion reports), and information on performance of existing water facilities pose a risk for targeted planning, and budgeting for predictable funding for the major rehabilitation of facilities. Institutionalising an assessment and information system on all available facilities to ensure for planning, budgeting and predictable funding for system O&M, repair, replacement, and expansion remains the challenge for records keeping. 11.3.4 Demand and pro-poor issues: Weak culture of paying water tariffs in many rural communities in Ghana serves as a barrier to encouraging communities to raise revenue and meet its operating and minor maintenance expenses. Small town piped systems are often designed and constructed based on CWSA standards of 20 litres per capita per day for stand pipes, and 60 litres per capita per day for household connections. However, surveys conducted suggest actual water consumption levels well below these standards. The seemingly overdesign issues owing to low demands arising out of economic and socio-cultural reasons often results in higher initial capital outlay, lower than projected demand and revenue. The challenge is to evolve strategies that address the negative results of a mismatch between design and demand, to ensure reliable income for O&M of existing facilities and to free government resources towards meeting the needs and demands of the un-served. 11.3.5 Settlement pattern: Ghana’s settlement pattern reflects a mix of a few densely populated urban settlements and sparsely populated rural ones. The small population sizes coupled with the dispersed population distribution, difficult hydro geological formations, and technological issues make the cost of service delivery to some communities prohibitive and economically unattractive— especially in rural communities and small towns, which may not be served from ground and surface 41 National Community Water and Sanitation Strategy water sources. Reaching such communities requires a departure from the traditional approach of the use of prevailing technology. 11.3.6 Boundaries and institutional collaborations: Ghana’s domestic water sector is divided between “urban” and “rural” sub-sectors, with urban referring to those cities and small towns where water is provided by the national utility—the Ghana Water Company Ltd. (GWCL). CWSA is responsible for facilitating the provision of safe water services in rural communities and small towns, with support from MMDAs. However, the lack of an institutional framework for safe water services delivery in peri-urban areas sometimes results in lack of clarity in the definition of “peri-urban” water sector, and an overlap in service areas between GWCL and CWSA. This unclear definition has resulted in conflicts between service authorities, particularly in peri-urban settlements. 11.3.7 Private sector participation: A number of critical accomplishments have been made in the water sector’s policy and regulatory framework which support market-based/ commercial water solutions in rural communities and small town in Ghana. The National Water Policy and the Framework for Private Sector Participation support commercial water solutions and private sector initiatives in water supply for rural and small towns but key strategies in these documents are yet to be thoroughly elaborated and piloted for scaling up. Critical issues such as ownership of assets, management models, and tariff review and approval processes—where water infrastructure is provided by the private sector alone or by GoG in partnership with the private sector—requires attention to enhance private sector participation in the delivery of water services. 11.3.8 Inadequate post-construction support: Direct support cost is the cost for supporting local-level actors in the service delivery chain. It ensures that relevant actors have the capacity and resources to carry out their respective functions on the following: i. Planning and monitoring activities in their areas of jurisdiction. ii. Providing technical support to communities when systems break down. iii. Auditing community management structures. iv. Monitoring private sector performance. v. Carrying out regular hygiene promotion. Funds to meet direct support cost is often inadequate in the sub-sector, contributing to the low-level functionality of water systems and weak institutional capacity at service provider and service authority levels. Government agencies and MMDAs usually lack the funds to carry out the regular and effective monitoring of the performance and sustainability of WASH services. This has led to reduced monitoring activities and post-construction support by government agencies and MMDAs to Water and Sanitation Management Teams (WSMTs) in the performance of the latter’s duties to enhance sustainability. 11.3.9 Difficult hydro geological formations and water quality issues: Ghana’s groundwater sources are generally controlled by secondary porosity resulting in discrete aquifers. The ground water potential is lowest in the fine grain units of the Voltarian and Dahomian formations. This is also the case in some zones of other formations. In addition, poor water quality is also encountered in some of the formations. An example is the high fluoride concentrations in the Bongo granite areas of the Upper East Region and the Eastern corridor of the Northern Region. Also, high salinity is 42 National Community Water and Sanitation Strategy encountered in parts of the coastal belt. Pockets of iron and manganese concentrations are encountered in some localities as well. The net effect of these is that there are a number of communities and small towns that cannot be served from ground water sources. This requires exploring other sources and technologies to be able to serve these communities. 11.3.10 Climate change Climate change affects the water cycle directly and, consequently, the quantity and quality of water resources available to meet the needs of the population. Climate change can result in an increased intensity in precipitation, causing greater peak runoffs, but less groundwater recharge. Longer dry periods are likely to reduce groundwater recharge, lower minimum flows in rivers, and affect water availability for drinking water supply. Managing water implies dealing with natural variability in the water supply, and its effect on competing uses. Climate change threatens to increase this variability, shifting and intensifying extreme weather patterns, and introducing greater uncertainty in the quantity and quality of water supply over the long term. 11.4 Addressing the challenges of sustainability The following proposals shall be pursued in implementing an operative framework for a service delivery approach for implementing practical solutions to address the sustainability challenge. The strategy introduces measures to address the critical barriers to providing sustainable water and sanitation services to all persons in Ghana. 11.4.1 Improving community management entails the implementation of a range of support functions to ensure the effective and sustainable community management of water and sanitation services. Some measures to achieve this objective include: a) Develop alternative service delivery approaches and management options that are responsive to the adopted schemes.  Water and sanitation service provision contracts between the MMDAs and WSMTs or private operators shall make a provision for the latter’s access to ongoing external support: external support is defined as technical backstopping and oversight by the MMDAs and CWSA. MMDAs are capacitated (expertise, capacity, skills, and systems) by CWSA to provide external support to WSMTs, or a mechanism is set in place to contract the necessary external support for WSMTs.  WSMTs, area mechanics and private operators have access to skills training and capacity building programmes.  Local equipment and machinery manufacturers, suppliers and distributors are part of an effective decentralised maintenance system to sustain markets for spare parts.  Local private sector entities (area mechanics, technicians, etc.) are recognised as important partners in the provision of sustainable community water and sanitation services, and have access to business development support.  The sub-sector has an up-to-date and maintained database of local and foreign firms, with expertise in the operations and maintenance of water supply systems. 43 National Community Water and Sanitation Strategy b) Strengthen service authority to provide external support for COM. External support will include the following: technical backstopping, maintenance, management (specialist financial, planning and human resource functions), mentoring and monitoring support.  In this strategy MMDAs are responsible for providing support to WSMTs, particularly towards major maintenance support. Districts need to ensure that they have the necessary structures and systems to provide the support needed or may contract another entity to fulfil its support function.  CWSA to adequately capacitate the MMDAs to enable the latter to carry out their service authority functions. Ensure that a clear distinction is made between the tasks that the community management model (water service provider) can manage, and those which lie outside their capacity and capability. The contract between the WSMT and the MMDA shall clearly define the tasks that are the responsibility of the WSMT and private operators from those tasks that are the obligation of the MMDA. 11.4.2 Achieving financial sustainability to ensure the availability of direct support costs and to facilitate scaling up are triggered by the following measures: 1. Direct Support Cost  Pursue the “pay-as-you-fetch” method for raising funds to meet the financial requirements of operations and maintenance, while ensuring that there is equity between all users—especially for vulnerable and marginalised groups.  Establish a performance-based maintenance support facility. 2. Scaling up  Map out the un-served and partially served populations to provide a basis for feasibility studies in determining the cost for reaching full scale.  Develop and implement results-based financing schemes for sanitation and water innovation and performance in the form of rewards linked with performance. Specific interventions shall include: i. Develop and test innovative products to finance the capital maintenance of small town piped water supplies and rural point sources. ii. Develop systems and mechanisms for community, public and private partnerships for capital maintenance financing that incentivises the private sector to partner with MMDAs and WSMTs to respond to the maintenance of systems. iii. Determine and cost sustainability measures, as well as the associated costs for scale up. iv. Explore possibility of implementing insurance schemes for parts of classical small town piped systems. 11.4.3 Documenting existing facilities is essential to track progress, as well as inform planning and decision making. It is imperative that the following are undertaken: 1. Update records on all existing water facilities, including drilling and construction records, water quality data, as built drawings and completion reports on all small town water schemes. 44 National Community Water and Sanitation Strategy 2. Operationalise the repository of data on all existing facilities. 11.4.4 Understanding settlement patterns is essential for planning. Undertake area-specific targeted interventions in difficult to reach areas, focusing on specific catchment area and communities. 11.4.5 Strengthening private sector participation is achieved through the elaboration of strategies to address issues that militate against private sector participation in the delivery of water services. 11.4.6 Performing sustainability checks involves the following measures: 1. Develop a framework for the assessment of sustainability measures for community water and related sanitation. Annual sustainability checks shall be facilitated through initiatives such as the GoG/ UNICEF Sanitation and Water for All initiatives, the District Development Facility’s Functional Organisational Assessment Tool (FOAT), and other programmes. Reports generated through this process shall be discussed with respective MMDAs and incentives shall be introduced to trigger remedial actions. Reports shall provide a basis for capacity interventions to improve the capacity of MMDAs to address sustainability issues. 2. Collaborate with the Ministry of Local Government and Rural Development to include performance target for sustainability measures in the District Development Facility’s FOAT. 11.4.7 Enhancing post-construction support shall include the following measures: 1. MMDAs engage in asset management, including asset planning, routine and preventive maintenance, and major repairs (excluding operations and minor repairs which are the responsibility of the WSMT or other appropriate water service providers). 2. Provide an enabling environment for supply chains to function efficiently by ensuring that small scale providers of goods and services (spare parts, materials, consumables, construction services) are able to access support in terms of registration and licensing, training, technical assistance, management and financial services, and capital. 3. Develop and test SMS technology to report breakdowns for repair services and reduce downtime of broken hand pumps. 4. Provide operational management support to ensure that the necessary skill-set, knowledge, structures and systems are available for water service providers to fulfil their role. Support for the following shall be rendered: operational planning, financial management, dealing with customer relations and human resource issues. 5. Provide mentoring support during the two-year post-construction phase to assist community-based service providers to deal with the many challenges and changes they face, and the decisions they will need to take should the following occur: conflicts within the community, rapid increasing in population, migration from rural to urban areas, natural disasters, etc. 6. Enhance monitoring process by revising the indicators in the DiMES to include indicators for service monitoring of WASH services, hygiene behaviours, and performance of the management model across the country. This will ensure compliance with district bye-laws, norms and standards, and provide the necessary benefits to the communities. 45 National Community Water and Sanitation Strategy 11.4.8 Learning how to tackle difficult hydro geological areas and water quality issues shall be addressed as follows: 1. Explore the use of other ground water siting techniques besides the resistivity method. 2. Expand the distance of exploration for ground water. If any is successful, develop and supply. 3. Otherwise, explore surface water options. 11.4.9 Adapting to the impacts of climate change better prepares communities for increased variability in future physical conditions. Planning for adaptation needs to be comprehensive and flexible, and cross-sectoral, with proper attention given to water management. Long term, sustainable adaptation to climate change requires the integration of infrastructure, policy and economic instruments, as well as behavioural changes in national development strategies9. This involves the following measures: 1. Plan and apply for new investments (for example, reservoirs, capacity expansions, water supply). 2. Adjust operations, monitoring and regulation practices of existing systems to accommodate new uses or conditions (for example, pollution control, climate change, population growth). 3. Work on maintenance, major rehabilitation and the re-engineering of existing systems (for example, dams, pumps, rivers). 4. Make modifications to processes and demands for existing systems and water users (for example, rainwater harvesting, water conservation, pricing, regulation, legislation, stakeholder participation, consumer education and awareness, etc.). 5. Introduce new and efficient technologies (for example, desalination, biotechnology, wastewater reuse, recycling, and solar panels). 11.5 Sanitation Sanitation is related to behaviour change and changing behaviours is a long term phenomenon. Implementing appropriate interventions for sustainability and scaling up will therefore require the following: 1. Continuous promotion of Community-led Approaches to Total Sanitation (CLTS) to trigger collective action and behaviour change towards the adoption of safe and hygienic sanitation behaviour, thereby resulting in increased demand for the construction and use of safe sanitation facilities. 2. Promote innovative ways of financing sanitation to achieve the highest number of toilets (latrines) built entirely by households without project support. Innovative ways of mobilising funds and financing communities shall be explored and promoted in order to make meaningful progress. Some examples include micro-finance, village-level loans and savings schemes, or community-based establishment of revolving funds. 9 Read the UN Water Policy Brief on Climate Change Adaptation: The Pivotal Role of Water on its website. See www.unwater.org 46 National Community Water and Sanitation Strategy 3. Provide support for technology development to address some of the challenges related to the uptake of toilets (latrines). Development of cheaper cost technology options shall be based on use of local materials to broaden the scope of acceptable and affordable toilets (latrines) that meet the demands/ needs of people, and promote self-help/ acquisition of facilities. 4. Bridge gap between demand and support by ensuring increased access to services of local based private providers of sanitation goods and services. Establish sanitation markets within the reach of all people in a catchment area that are: operated as vibrant business centres; serve as a sales point for pre-fabricated low-cost toilet (latrine) components, sanitation promotion; and serve as resource centres for training artisans and linking them with households. 5. Scale up advocacy strategies to increase funding and use of public funds for financing hygiene education and sanitation promotion, through the deployment of state of the art communication campaigns that create awareness on sustainability and mobilise communities to take action in support of sanitation delivery. Forge partnerships with local based communication networks for the effective and sustained mass communication/ messaging of activities on sanitation promotion. 6. Strengthen co-ordination and collaboration with relevant government institutions, such as the Environment Health Sanitation Units/ Directorate under the Ministry of Local Government and Rural Development, the Ministry of Health, the Ministry of Education and its Information Services Department, as well as NGOs. Facilitate the co-ordination of hygiene and sanitation-related activities, especially at district level, to leverage resources and avoid duplications of efforts. 7. Organise refresher training programmes and provide logistical support to MMDAs to strengthen/ build their capacity to fulfil their roles. Plan regular follow ups and provide communities with the needed post-project technical support for scaling up. 8. Ensure MMDA enforcement of bye-laws to trigger the construction of toilets (latrines) in households, especially in small towns, to augment/ complement project interventions. 9. Promote knowledge management and learning to scale up lessons from experience and enable harmonisation within the sub-sector. Documented experiences and lessons shall serve as a reference point in promoting best practices for improving sanitation delivery. 10. Instil a conscious effort to monitor progress in sanitation interventions and sustaining sanitation behaviour. Develop district- and community-based monitoring systems/ indicators with community members, to assess effectiveness of sanitation delivery, and contribute to sustainability. Ensure that community-developed monitoring tools take stock of and may be integrated into the national monitoring system for the nationwide tracking of progress in sanitation activities, and to inform planning of hygiene and sanitation activities. 47 National Community Water and Sanitation Strategy Annexes References Policy 1. Government of Ghana, Ministry of Water Resources, Works and Housing, 2007 - National Water Policy, Accra 2. Government of Ghana, Ministry of Local Government and Rural Development, 2010 – Environmental Sanitation Policy (Revised) -Accra 3. Government of Ghana, Ministry of Finance and Economic Planning, 2011 - National Policy on Public Private partnerships (PPP): Private Participation in Infrastructure and Services for Better Public Services Delivery – Accra Acts/LI 4. Community Water and Sanitation Agency (CWSA) Act, 1998 (Act 564) 5. Ghana Water and Sewerage Corporation Act, 1965, (Act 130) 6. Ghana Water Company Limited (GWCL) Act, 1993, (Act 461) 7. Local Government Act, 1993, (Act 462) 8. District Assemblies Common Fund Act, 1993, (Act 455) 9. Financial Administration Act 2003, (Act 654) 10. Internal Audit Agency Act 2003, (Act 658) 11. Local Government Service Act, 2003, (Act 656) 12. Public Procurement Act 2003, Act 663. 13. Community Water and Sanitation Agency legislative Instrument 2011, (LI 2007) 14. Local Government (Departments of District Assemblies) (Commencement) Instrument, 2009 (L.I. 1961) Strategic documents 15. MWRWH-Ministry of Water Resources, Works and Housing, 2012. Water Sector Strategic Development Plan. Accra: Government of Ghana. 16. Community Water and Sanitation Agency, 2014 - National Community Water and Sanitation Strategy, Accra: CWSA/ GoG 17. Community Water and Sanitation Agency, 2008 - Strategic Investment Plan 2008 - 2015, Accra: CWSA/GoG. 18. Ministry of Local Government and Rural Development, 2011 - National Environmental Sanitation Strategy and Action Plan, Accra: MLGRD/ GoG Guidelines and Manuals 19. Public Procurement Authority, 2003- Public Procurement Manual, Accra: PPA/GoG 20. CWSA-Community Water and Sanitation Agency, 2010 - Small Towns Sector Guidelines Vol. I to VI, Accra: CWSA 21. National Development Planning Commission, 2005 - Trainers’ Guide for Preparation of District Water and Sanitation Plans, Accra: NDPC. 22. Environmental Impact Assessment / Strategic Environmental Assessment 48 National Community Water and Sanitation Strategy 23. CWSA-Community Water and Sanitation Agency, 2011. Project Implementation Manual Accra: CWSA. Web References 24. Adank, M., et. al ,2013, The status of rural water services in Ghana : A synthesis of findings from 3 districts (Akatsi, Sunyani West and East Gonja Districts). Accra: CWSA and IRC Ghana Available at: < http://www.waterservicesthatlast.org/media/files/the status of rural water supply servic es in ghana > [Accessed 25 September2013]. 25. UNDP Ghana, NDPC/ GOG, 2012. - 2010 Ghana Millennium Development Goals Report, Accra: UNDP Ghana and NDPC/ GOG. Available at: < http://www.ndpc.gov.gh/GPRS/2010%20Ghana's%20MDGs%20Report%20(Final)%20 %20Nov2012.pdf > [Accessed 8 November 2013]. 26. UNICEF and WHO, 2012. Progress on drinking water and sanitation: 2012 update. [pdf] NY: UNICEF and WHO. Available at: < http://www.unicef.org/media/files/JMPreport2012.pdf > [Accessed 8 November 2013]. 27. Ministry of Finance, 2013. The 2013 Budget Statement and Economic Policy. [pdf] Accra: Government of Ghana. Available at: < http://www.mofep.gov.gh/sites/default/files/budget/2013 Budget Statement.pdf > [Accessed 17 November 2013] 28. UN-Water, 2010 - UN Water Policy Brief on Climate Change Adaptation: The Pivotal Role of Water, UN-Water. Available at < http://www.unwater.org/downloads/unw ccpol web.pdf > [assessed – 20th October 2013] 49 National Community Water and Sanitation Strategy Relevant policies and legislation related to water and sanitation services Document Purpose Policy 1 National Water Policy, 2007 Ministry of Water Resources Works and Housing Provides an overall policy for the Water Sector, and offers a framework for implementation for the following sectors: 1. Water Resources Management 2. Urban water supply 3. Community water and sanitation 2 Environmental Sanitation Policy, 2010 - Ministry of Local Government and Rural Development Presents the current context of Environmental Sanitation in Ghana and articulates the broad principles that guide policy framework and the policy implementation, including institutional roles and responsibilities. The scope of sanitation is defined as the:  Collection and sanitary disposal of wastes - solid wastes, liquid wastes, excreta, industrial wastes, health-care and other hazardous wastes  Storm water drainage  Cleansing of thoroughfares, markets and other public spaces  Control of pests and vectors of disease  Food hygiene  Environmental sanitation education.  Inspection and enforcement of sanitary regulations  Disposal of the dead  Control of rearing and straying of animals  Monitoring the observance of environmental standards The policy recognises CLTS as the approach for sanitation promotion in Ghana. CWSA’s focus is on the disposal of liquid waste, excreta and the promotion of environmental sanitation and hygiene education. Acts 3 CWSA LI Provides the regulatory framework to enable CWSA’s enforcement of its Act, Guidelines and Standards. 4 Local Government Service Act, 2003 Describes the form and substance of decentralisation in Ghana. It includes the setup of decentralised structures, MMDA’s, their functions and their relationships with sub-national structures e.g., Health and Education. 5 Community Water and Sanitation Act, 1998 (Act 564) Describes CWSA’s mandate to: a) Facilitate the provision of safe water and related sanitation services to rural communities and small towns. b) Support MMDA’s in the promotion of safe water supply and related sanitation services to rural communities and small towns. 50 National Community Water and Sanitation Strategy Strategic Documents 6 Water Sector Strategic Development Plan, 2010 Provides a framework to implement the Government of Ghana’s vision for the water sector as a whole (urban, rural water and sanitation). The vision covers the following focus areas:  Institutional development and capacity building  Finance  Water service delivery  Water related sanitation and hygiene  Water resources management  Research, gender, governance, M&E 7 Rural Sanitation Model and Strategy Emerges from the Environmental Sanitation Policy and describes the approaches for implementing environmental sanitation. The strategy emphasises the application of a CLTS approach in rural communities and small towns with a population of below 7500. The strategy is anchored on five main pillars:  Building an enabling environment  Strengthening capacity  Creating demand  Facilitating supply  Monitoring and evaluation 8 Millennium Acceleration Framework Provides the framework to move from the current 14% sanitation facilities coverage to 54% (MDG target). Key interventions for the sanitation sub-sector are:  Increasing access to improved household sanitation facilities  Provision of treatment, reuse, recovery and disposal facilities Interventions are stated to be achieved through: a) Scaling up CLTS countrywide b) Targeted micro-finance schemes for household latrine construction c) Decentralised treatment/ disposal systems incorporation harvesting/ reuse of biogas concentrated on three strategies for rural and urban sanitation  Delivery of CLTS  Micro-finance  Decentralised treatment systems 9 Strategic Investment Plan, 2008 Outlines the investment requirements for rural communities and small towns WASH projects under the NCWSP. Also sets out the types of technologies, services and costs required to achieve the MDGs. Guidelines and Manuals 10 Project Implementation Manual Offers a detailed description of the arrangements, and stakeholder roles and responsibilities for the delivery of WASH projects, under the NCWSP. 11 CWSP Guidelines and Standards (Vol. 1-6) November 2010 Sets out the detailed standards for WASH project execution, covering the following: 51 National Community Water and Sanitation Strategy a) Community mobilisation, hygiene and sanitation promotion b) Design of water and water-related sanitation systems c) Operations and maintenance of water supplies d) Water quality and safety issues 52 National Community Water and Sanitation Strategy Definitions Set 1 1 "community water and sanitation subsector" means a part of the water sector that deals with the provision of safe water or sanitation services in rural communities and small towns 2 "defect" means lack of something essential to completeness) shortcoming or failing; 3 "delivery point" means a stand post for the fetching of water; 4 "designed life" means the period of time assigned for the optimum performance of a water facility; 5 "dug well" means a water extraction facility excavated with hand tools; 6 "facilitate" means carrying out reasonable acts essential to expedite the implementation of water and sanitation activities including the regulation of the community water and sanitation subsector; 7 "financing mechanism" means the processes for securing funding; 8 "individual customer" means a property owner whose house or property has a piped connection to the water facility; 9 "institution" includes basic schools) clinics and health centres; 10 "institutional connection" means direct piping of water to an entity other than a household; 11 "institutional customer" means an entity or organisation which has a piped connection to the water facility; 12 "limited mechanised scheme" means a water supply system with a pumped source, restricted transmission and piped distribution network; 13 "Management Team" means the Water and Sanitation Management Team established under regulation 3; 14 "money market instrument" means a low risk and short term interest bearing security with a maturity of not more than one year; 15 "national community water and sanitation programme" means a part of the policies and strategies for the provision of safe water and related sanitation services as well as the promotion of hygiene nationwide; 16 "new settlement" means newly developed areas in the same community; 17 "operational hazard" means a danger that may be encountered in the course of work; 18 "ownership" means the legal ownership vested in a District Assembly with the right of access to the facilities vested in the community which is responsible for the day to day 19 "pay-as-you-fetch" means payment for water at the point of collection of the water; 20 "piped scheme" means a water supply system which has a distribution network and a storage facility; 21 "piped water supply system" means a water supply facility with a pumped source, transmission, piped distribution network and a storage reservoir; 22 "pump" means an electrically powered or mechanically operated equipment used for lifting water from a borehole or dug well into a reservoir or container; 23 "qualified person" means a person with the basic qualification and minimum years of experience in the respective assignment; 53 National Community Water and Sanitation Strategy 24 "safe water" means water that meets the requirements of drinking water standards set by the Standards Authority; 25 "sanitation facility" includes a structure constructed with an underground receptacle for use as a toilet in an institution and a facility that separates human excreta from human contact hygienically; 26 "served community" means a community with water supply needs that fully meets the standard requirements; 27 "standard" means a basis for assessment set by the Standards Authority Act, 1973 (NRCD 173); 28 "sustainability" means appropriate measures to ensure and guarantee the continuous provision of safe and reliable water services; 29 "technical assistance" means providing professional advice and quality assurance of water and sanitation delivery activities as provided for in the Act; 30 "unit rate" means cost per cubic metre; 31 "water facility" means a system that serves as a source of water supply; and 32 "Water safety framework" means a management tool developed by the Agency which provides the strategy for keeping water supply safe for use. Source: Community Water and Sanitation Agency legislative Instrument 2011, (LI 2007) Set 2 1 “A community” includes groups of individuals living in close proximity to each other and/or other social groups, grassroots entrepreneurs or associations able to identify a need and come together in the interests of their own development. The size of the community varies depending on the type of sub-project and includes people from all areas that make direct use of the sub-project. 2 “Access to potable water” means an all year round supply of at least 20 litres of potable water per capita per day within 500 metres for all households and serving not more than 300 persons per outlet. 3 “Beneficiary” means a group of individuals, a small community, a small town, a district or a community for whose benefits a service is being provided. 4 “District Assembly” means a district assembly organised in accordance with the Local Government Act (Act 462) of the laws of Ghana, which shall be responsible for implementing sub-projects. This includes Metropolitan and Municipal Assemblies. 5 “Environmental sanitation” is used to cover the wider concept of controlling all factors in the physical environment which may have harmful impacts on human health and well-being. 6 “Hygiene promotion” refers to the encouragement of people to adopt improved hygiene practices to prevent sanitation-related disease. 7 “Management Fee” means fee-for-service earned by CWSA to cover incremental costs of rendering such service including extra staff hired, and operations. 54 National Community Water and Sanitation Strategy 8 “Performance Contract” means the obligations of the MMDA and the WSDB/Mangers of the installed systems to ‘Ensure that the cost of Operation and Maintenance (O&M) of the system including sinking fund is covered through tariff and other sources and is reviewed regularly in a manner that financial resources are available to ensure the system is operated and managed in a sustainable manner throughout the design life of the system and beyond.’, and to ensure the system is managed as prescribed in the Facility Management Plan (FMP). 9 “Potable water” is water that does not contain biological or chemical pathogenic agents at concentration level directly detrimental to health. It includes treated surface waters and untreated but uncontaminated water such as from protected boreholes, springs and sanitary wells .refers to the quality of water as defined by the Ghana Standard Board/WHO. 10 "Project" refers to any community based water and sanitation intervention as part of the NCWSP, employing its principles and using all types of funding sources (from GOG, DPs, NGOs etc.). 11 “Sanitation” means hygiene education and disposal of faecal matter as they affect water usage. For the purposes of this PIM, the word sanitation alone is taken to mean the safe management of human excreta. It therefore includes both the “hardware” (e.g. latrine and sewers) and the “software” (regulation - given by the MLGRD, hygiene promotion) needed to reduce faecal-oral disease transmission. 12 “Sanitation promotion” refers to the marketing and promotion of sanitation products and service. 13 “Small Community” refers to a community with a population of less than 2,000 people or any other figure which the Minister may from time to time declare by publication in the Gazette and the mass media. 14 “Small Town” refers to a community with a population between 2,000 and 50,000 or any other figure which the Minister may from time to time declare by publication in the Gazette and the mass media. 15 “Sub-project” means a specific development pertaining to the construction, repair, or rehabilitation of water and sanitation infrastructure facilities or community training in water and sanitation matters, financed or proposed to be financed through grants extended to District Assemblies. 16 “Sub-project Agreement” means an agreement entered into between either a community and MMDA or MMDA and CWSA for the execution of sub-projects. 17 “Water service” means the on-going provision of water of adequate quality and quantity to all people within a defined area of service. 18 “Water supply” refers to access to potable water for domestic uses; such as water for drinking, food preparation, bathing, laundry, dishwashing, and cleaning. 19 "Water service providers" is used for those providers who have a contractual responsibility to provide water and sanitation services. Source: CWSA-Community Water and Sanitation Agency, 2010 - Small Towns Sector Guidelines Vol. I to VI, Accra: CWSA 55 National Community Water and Sanitation Strategy Roles and responsibilities of key stakeholders CWSA Head Office  Recommends policies and legislation to the Ministry of Water Resources, Works and Housing, and defines strategies, procedures and standards for community water supply and sanitation.  Regulates the community water supply and sanitation sub-sector.  Sources funds, both nationally and internationally, for community water supply and sanitation.  Prepares the National Community Water and Sanitation Plan.  Acts as the sector leader and co-ordinator.  Provides backstopping to Regional Offices for monitoring and evaluation.  Disseminates sector policies to all stakeholders.  Facilitates procurement processes for contracts beyond the authority limits of the MMDAs and CWSA Regional Offices.  Develops and provides relevant practical standards, guidelines and manuals to guide the MMDAs in their administration, management, implementation and monitoring of their respective DWSPs. CWSA Regional Offices  Provides overall support to MMDAs.  Provides professional back-up services to MMDA staff in the development and preparation of the District Water and Sanitation Plan (DWSP).  Co-ordinates and harmonises MMDA-level WASH Plans/ DESAPS.  Monitors progress in the project cycle for district-level community water and sanitation projects.  Provides guidance in the district-level promotion and implementation of the DWSP, as well as in the management and administration of community applications for programme support.  Promotes, and where relevant and necessary, supports capacity building of MMDAs through general orientation and (gender) sensitisation, training needs assessment (TNA) and training, technical assistance, logistical support and guidance, and advice in all aspects of NCWSP/ DWSP implementation.  Monitors the effectiveness of CWSA policies and guidelines, and initiates reviews where necessary.  Provides guidance and technical support to MMDAs in their management of contracts for sector activities.  Assists MMDAs in sourcing funds from central government and DPs.  Develops, initiates and, where required, organises and carries out training programmes for MMDA staff and other stakeholders, in collaboration with private consultants and relevant training institutions. 56 National Community Water and Sanitation Strategy Metropolitan, Municipal and District Assemblies By the Act of establishment, Act 462, the MMDA is responsible for all developments including infrastructure delivery within its area of jurisdiction. Accordingly, it plays a leading role as implementer of water and sanitation projects/ programmes under the NCWSP. Each MMDA has a fully established and resourced Works Department, with a unit responsible for water and sanitation to serve as the focal point for planning, implementing, and supervising post-project monitoring activities. All MMDAs also provide support to Water and Sanitation Management Teams to ensure the sustainability of installed facilities. Specific activities undertaken by the MMDA includes, but are not limited, to the following:  Prepares and reviews District Water and Sanitation Plan (DWSP), and incorporates findings of the DWSP in the district’s medium-term development plan for resource mobilisation.  Promotes and disseminates information on projects/ programmes to generate interest of communities/ towns.  Identifies interested communities, and prioritises communities based on established criteria.  Appraises community proposals.  Prepares and includes the District composite budget annual estimates for water and sanitation services delivery.  Tenders and awards contracts for goods, services and works for water and sanitation services delivery.  Supervises consultants and contractors, with support from the CWSA Regional Office.  Assesses and monitors delivery sanitation services to rural and small towns, in accordance with the established framework, and takes appropriate actions in response to findings.  Manages the District Monitoring and Evaluation System (DiMES) on water and sanitation services delivery.  Strengthens/ builds capacity of district- and community-level actors for sustainable water and sanitation services delivery.  Approves tariffs in accordance with tariff setting guidelines.  Reviews and approves WSMT plans for extension, upgrade and overall improvement of water and sanitation facilities, in consultation with the CWSA Regional Office.  Enacts appropriate bye-laws to support water and sanitation services delivery. Households Every individual, establishment or institution in beneficiary communities :  Cleans within, and in the immediate environs of the property they occupy, including access ways, drains and roads abutting the property.  Ensures the temporary storage of waste within the property and its disposal thereof, outside the property, as may be directed by the competent authority.  Ensures that the property they occupy has a safe sanitation facility (ies).  Encourages individuals and institutions to hygienically dispose of all wastes they generate.  Participates in all communal environmental sanitation exercises organised by the community or its representatives. 57 National Community Water and Sanitation Strategy Communities Each community undertakes the following:  Requests for water supply and sanitation facilities.  Forms a management body (Small Community Water Management Teams and Small Town WASH Management Teams) that is accountable to the community, to decide and act on its behalf, with responsibility for all aspects of the management of water and sanitation facilities.  Selects a service level to correspond to what they want, can afford and sustain with the human and financial resources at their disposal.  Plays a key role in the siting of water points, within technically feasible limits.  Sets user tariffs, with validation from CWSA Regional Office, and approved by the MMDA.  Demands for the appropriate services level accountability and transparency.  Build the requisite capacity to ensure sustainability of facilities provided.  Maintains financial records for operations and maintenance, and provides records to the MMDA and CWSA Regional Office for monitoring and evaluation purposes.  Facilitates sanitation and hygiene education activities, and undertakes community self-help action to clean and maintain the areas around water sources, and to improve the general hygiene and sanitation.