National Urban Water Supply and Sanitation Programme (NUWSSP - 2030)

GOVERNMENT OF THE REPUBLIC OF ZAMBIA Ministry of Local Government and Housing 2011-2030 NATIONAL URBAN WATER SUPPLY AND SANITATION PROGRAMME February 2011 GOVERNMENT OF THE REPUBLIC OF ZAMBIA Ministry of Local Government and Housing NATIONAL URBAN WATER SUPPLY AND SANITATION PROGRAMME 2011-2030 February 2011 Ministerial Foreword National Urban Water Supply and Sanitation Programme 1 MINISTERIAL FOREWORD he National Urban Water Supply and Sanitation Programme (NUWSSP - 2030) is Government’s Road Map for providing clean, safe and reliable drinking water and adequate sanitation to residents in urban and peri-urban areas as well as to commercial, industrial and institutional areas. The long-term vision of the government through this programme is that every household should have access to adequate, clean and safe drinking water and sanitation services by 2030, in keeping with the National Water Policy. The NUWSSP was developed to address the increased in demand for adequate access to water supply and sanitation services in urban and peri-urban areas. Existing infrastructure dates back to the 1950s up to the 1980s when most towns were just emerging and populations were low. This infrastructure is now overloaded as superficial additions and extensions have been made without expanding the mainframe. Furthermore, the increase in population has far outstripped the rate of infrastructure development, leading to a situation where sections of the community have no access to municipal services. Therefore, the decision to develop a long-term and comprehensive national programme, is to ensure that investments are targeted not only to rehabilitation of existing facilities but that new infrastructure as well as operations and maintenance systems are put in place for sustainable development. In addition, this integrated programme seeks to balance service provision across geographical boundaries and also smoothen the disparities between water supply and sanitation, in terms of development and investments. The programme provides guidance on the construction of new water and sewage treatment facilities. Special emphasis is placed on facilities in border towns, growth centres and newly created districts whilst introducing addressing issues of drainage and solid waste management as integral components of environmental sanitation. The development of the NUWSSP is in the context of the commercialization of urban water supply and sanitation services, following the water sector reforms that streamlined the sector. As a result of the reforms, the National Water Policy was developed in 1994, separating water supply and sanitation functions from water resources management. Through the Government Gazette Notice No. 547 of 2004, the Ministry of Local Government and Housing (MLGH) was charged with the responsibility of water supply and sanitation. Therefore, MLGH has developed the NUWSSP as a way of coordinating developments and indeed the stakeholders involved in the provision of water supply and sanitation services in urban and peri-urban areas of Zambia. Since the reforms, a number of milestones have been made in the water supply and sanitation sub- sector. For instance, 11 water utility companies have been created to provide water and sanitation on a commercial basis to facilitate efficient, reliable and sustainable provision of services. The creation of water utilities has resulted in improved provision of sanitation and water supply coverage in urban and peri-urban areas. For instance, by 2009 access to clean and safe drinking water in urban and peri-urban areas had increased to 74 percent from as low as 45 percent coverage in 2002. Another achievement has been the enactment of the National Water Supply and Sanitation Act. No 28 of 1997, to legislate the provision of services in urban and peri-urban. T Ministerial Foreword National Urban Water Supply and Sanitation Programme 2 Furthermore, the sub-sector established the National Water Supply and Sanitation Council (NWASCO) to regulate water supply and sanitation service delivery. Government is therefore, committed to facilitating the provision of quality, affordable, and sustainable access to water supply and sanitation services to the majority of the people as demonstrated by the continued mobilization of both local and external resources to improve service delivery. For instance, since 1994, more than two (2) Trillion Kwacha has been invested on rehabilitation and expansion of water supply and sanitation infrastructure in various parts of the country. Notwithstanding the successes, the new water utility companies still face challenges in meeting demand from existing and new customers. These include low investment in infrastructure relative to demand; vandalism and illegal connections; unplanned settlements and developments which interfere with the provision of services and high level of defaulting by consumers leading to a high debt ratio. It is well understood and appreciated that “Water is life and Sanitation is health and dignity”, and therefore central to economic and human development. Since Water is life and Sanitation is health and dignity, there can be no better way of investing in improving the quality of life than investing in improved access to clean and safe drinking water and adequate sanitation. It is estimated that the National Urban Water Supply and Sanitation Programme will require about $US 4 billion (ZMK20 trillion Kwacha) to invest in the various components to meet the demand of 2030. Government and its Co-operating Partners have an obligation to increase resources allocation to the water supply and sanitation sub-sector if the country is to attain the Millennium Development Goals and indeed put an end to water borne epidemics. To protect our ground-water resources from contamination, there is need to gradually replace pit latrines with more environmentally friendly sanitation facilities. It therefore, gives me pleasure to officially launch the National Urban Water Supply and Sanitation Programme Document and leave you with this apt quotation from a great thinker that “when the well is dry, we know the worth of water” – Benjamin Franklin, American Author: 1746. Water is life! It is at the core of our very existence, and is a key component to all aspects of our daily living. Health, food security, urban and rural development are all dependent on water. Water will make the difference in the attainment of the Millennium Development Goals of all the sectors! Hon. Brig-Gen Dr Brian Chituwo (Rtd), GCDS. MP MINISTER OF LOCAL GOVERNMENT AND HOUSING Acknowledgement National Urban Water Supply and Sanitation Programme 3 ACKNOWLEDGEMENT n developing the National Urban Water Supply and Sanitation Programme (NUWSSP), the Department of Housing and Infrastructure Development was mandated to facilitate and coordinate the consultative process on behalf of the Ministry of Local Government and Housing. The Ministry appreciates the hard work and dedication shown by the department throughout the process. The Ministry of Local Government and Housing also acknowledges and appreciates the contributions and active participation of local and international stakeholders, Government Ministries, Provincial and Local Authorities, water utility companies and indeed members of the user communities. The sharing of their experience and knowledge of the urban water supply and sanitation sector, their commitment, cooperation and collaboration, the output may not have been as comprehensive. The Ministry is also grateful to the Cooperating and Implementing Partners and NGOs who participated in numerous consultative processes and provided technical services leading to the production of this National Document. The Ministry of Local Government wishes to particularly extend its profound gratitude to the Water Supply and Sanitation lead Donor, DANIDA, the German Agency for Technical Co-operation (GTZ) and the World Bank who, with the Government of the Republic of Zambia, co-financed the development of this programme. TIMOTHY HAKUYU PERMANENT SECRETARY MINISTRY OF LOCAL GOVERNMENT AND HOUSING I Preface National Urban Water Supply and Sanitation Programme 4 PREFACE The National Water Supply and Sanitation Programme (NUWSSP) is presented in two volumes, namely: The MAIN VOLUME which gives a concise and brief overview of the background, the policies, the objectives, the strategies and the activities to achieving improvements of the urban water supply and situation in Zambia. The Main Volume is intended for: • All institutions, organisations and individuals in need of a concise overview of the National Water Supply and Sanitation Programme in Zambia The BACKGROUND AND ANALYSIS VOLUME which gives a more comprehensive account of the background and current status of urban water supply and sanitation, analysis of the situation, identification of gaps in the knowledge base, comments and discussions, strategies and activities necessary to achieving improvements, conclusions and recommendations. The Background and Analysis Volume is required for: • All institutions and organizations directly involved in the planning and implementation of the NUWSSP • Ensuring the availability of adequate and correct background information for developing the NUWSSP • Stakeholders’ effective and informed participation during the process of developing the NUWSSP • Having records of background data, circumstances and reasoning that resulted in the NUWSSP • Institutions, organisations and individuals in need of comprehensive and detailed information on urban water supply and sanitation in Zambia • Future updating and modification of NUWSSP The same names and numbering of chapters, sections, tables and figures have been used in the two volumes to facilitate making cross references. This causes some apparent gaps in the numbering of tables and figures in the Main Volume. Table Of Contents National Urban Water Supply and Sanitation Programme 5 TABLE OF CONTENTS 1. BACKGROUND 1.1 Introduction 1.1.1 Overview: Urban Water Supply and Sanitation 1.1.2 National Development Planning Framework 1.1.3 Programme Development Process 1.1.4 Scope of the National Urban Water Supply and Sanitation Programme 1.2 Location and Administration 1.3 Demographic and Socio-Economic Conditions 1.4 Economic Conditions 2. STATUS OF THE URBAN WATER SUPPLY & SANITATION SECTOR 2.1. Sector Policies and Legal Framework 2.1.1 National Water Sector Policy 2.1.2 The relevance of the NWP to Urban Water Supply and Sanitation 2.1.3 Related National Policies and Strategies 2.1.4 Legal Framework for WSS and Solid Waste 2.2 Sector Institutions 2.2.1 Water Service Providers 2.2.2 Policy, regulatory and coordination institutions 2.3 Sector Position 2.3.1 Water Resources 2.3.2 Access to Safe Water Supply 2.3.2.1 Definition of Access to Safe Water Supply 2.3.2.2 Safe Water Supply Coverage 2.3.3 Access to Sanitation 2.3.4 Access to Solid Waste Services 2.3.5 Drainage of storm water and greywater 2.3.6 Operation and Maintenance 2.3.6.1 O&M Water Supply 2.3.6.2 O&M Sewerage 2.4 Cross Cutting Issues 2.4.1 Gender Strategy 2.4.2 HIV and AIDS Strategy 2.4.3 Environmental Considerations 2.4.4 Good Government Strategy 2.4.5 Climate Change 2.5 Donor Involvement, Co-ordination and Financial Arrangements 2.6 Sector Financing 2.6.1 Historic Investments and Budgets 2.6.2 The National Development Plan 2.6.3 National Estimates 2.6.4 Estimates by the CUs 2.7 Key Sector Issues Table Of Contents National Urban Water Supply and Sanitation Programme 6 3. OVERALL VISION AND STRATEGIC APPROACH 3.1 Holistic and integrated approach 3.2 Vision 2030 3.3 The National Water Policy (draft January 2007) 3.4 Millennium Development Goals 3.5 Decentralisation 3.6 Sector-wide Approach 3.7 Project selection strategy . 4. WATER SUPPLY DEVELOPMENT PROGRAMME 4.1 Policy, Objectives and Strategy 4.1.1 Policy 4.1.2 Objectives 4.1.3 Strategy 4.2 Water Resource Management 4.3 Water Supply System Development Standards 4.3.1 Population projection 4.3.1.1 Country and Provincial Populations 4.3.1.2 Town and Project Area Populations 4.3.2 Water consumption 4.3.2.1 Domestic 4.3.2.2 Education Institutions 4.3.2.3 Health Institutions 4.3.2.4 Water demand for hotels and recreational facilities 4.3.2.5 Office, Industrial, Commercial, and Administrative Water Uses 4.3.2.6 Peak day demand 4.3.2.7 Fire-fighting requirements 4.3.2.8 Water quality standards 4.4 Water Supply Distribution Standards 4.4.1 Individual Connections 4.4.2 Communal Taps 4.4.3 Public Taps 4.4.4 Point Supply 4.5 Service Delivery Standards 4.6 Operational Benchmarks 4.7 Water Supply Coverage and Access Definitions 4.7.1 Water Supply User Coverage 4.7.2 Installed Water Supply Coverage 4.7.3 Sustainable Safe Water Supply Coverage 4.8 Planned Water Supply Development 4.8.1 Framework for development 4.8.2 On-going activities 4.8.3 Overview of Activity Framework and Time Schedule for Water Supply 5. SANITATION DEVELOPMENT PROGRAMME 5.1 Policy, Objectives and Strategy 5.1.1 Policy 5.1.2 Objectives Table Of Contents National Urban Water Supply and Sanitation Programme 7 5.1.3 Strategy 5.2 Sanitation System Development Standards 5.2.1 Population projection 5.2.2 Waste Water Quantity 5.2.3 Waste Water Quality 5.3 Sanitation Standards 5.3.1 Off-site sanitation 5.3.2 On-site sanitation 5.3.3 Faecal Sludge Management 5.3.4 Service Levels 5.4 Service Delivery Standards 5.5 Operational Benchmarks 5.6 Sanitation Coverage and Access Definitions 5.6.1 Sanitation User Coverage 5.6.2 Installed Sanitation Coverage 5.6.3 Sustainable Safe Sanitation Coverage 5.7 Planned Sanitation Development 5.7.1 Framework for development 5.7.2 On-going activities 5.7.3 Overview of Activity Framework and Time Schedule for Sanitation 6. SOLID WASTE DEVELOPMENT PROGRAMME 6.1 Policy, Objectives and Strategy 6.1.1 Policy 6.1.2 Objectives 6.1.3 Strategy 6.2 Solid Waste Development Standards 6.2.1 Population Projection 6.2.2 Solid Waste Quantities 6.2.2.1 Waste Factor 6.2.2.2 Estimated Waste Generation 6.2.2.3 Implication for a typical town 6.2.2.4 Future Waste Generation 6.3 Solid Waste Management 6.4 Planned Solid Waste Development 6.4.1 Framework for Development 6.4.2 On-going activity 6.4.3 Overview of Activity Framework and Time Schedule for Solid Waste Management 7. DRAINAGE DEVELOPMENT PROGRAMME 7.1 Sector context 7.1.1 Stormwater drainage 7.1.2 Greywater drainage 7.1.3 Environmental health situation 7.2 Policy, Objectives and Strategy 7.2.1 Policy 7.2.2 Objectives 7.2.3 Strategy 7.3 Development Standards Table Of Contents National Urban Water Supply and Sanitation Programme 8 7.3.1 Stormwater 7.3.2 Greywater 7.3.3 Service levels 7.3.4 Maintenance levels 7.4 Planned Drainage Development 7.4.1 Framework for development 7.4.2 Overview of Activity Framework and Time Schedule for Drainage 8. POLICY DEVELOPMENT PROGRAMME 8.1 Context 8.2 Objective 8.3 Strategy 8.4 Planned policy development 8.4.1 Output and activities 8.4.2 On-going activities 8.4.3 Overview of Activity Framework and Time Schedule for Policy Development . 9. CAPACITY DEVELOPMENT PROGRAMME 9.1 Sector Context 9.2 Objectives 9.3 Strategy 9.4 Planned capacity development 9.4.1 Output and activities 9.4.2 On-going activities 9.4.3 Overview of Activity Framework and Time Schedule for Capacity Development 10. INFORMATION MANAGEMENT DEVELOPMENT PROGRAMME 10.1 Context 10.2 Objectives 10.3 Strategy 10.4 Planned information management development 10.4.1 Output and activities 10.4.2 On-going information management activities 10.4.3 Overview of Activity Framework and Time Schedule for IM Development 11. RESEARCH AND DEVELOPMENT PROGRAMME 11.1 Context 11.2 Objectives 11.3 Strategy 11.4 Planned policy development 11.4.1 Output and activities 11.4.2 On-going research activities 11.4.3 Overview of Activity Framework and Time Schedule for R&D Table Of Contents National Urban Water Supply and Sanitation Programme 9 12. COST, FINANCING AND PROJECT SELECTION 12.1 Context 12.2 Objectives 12.3 Strategy 12.4 Programme Investment Planning 12.4.1 Cost estimates 12.4.2 Costing Methodology 12.4.2.1 Overview of the ZUWSSM 12.4.2.2 Assumptions for using the ZUWSS model 12.4.2.3 Assumptions regarding drainage 12.4.2.4 Assumptions regarding solid waste management 12.4.2.5 Assumptions regarding programme and project management and soft-ware Activities 12.4.2.6 Assumptions regarding O&M and regulation 12.4.3 Public Investment Needs 12.4.3.1 Water Supply and Sanitation 12.4.3.2 Solid Waste management and Drainage 12.4.3.3 Summary Public NUWSSP Investment Needs 12.4.3.4 Updating of Investment Plans 12.4.4. Operational costs 12.4.4.1 Operational costs for Water Supply and Sanitation 12.4.5 Investment Needs by Households and Non-Domestic Consumers 12.5 Programme Financing 12.5.1 Financing by users through Service Providers 12.5.2 Financing by the Government 12.5.3 Financing by Co-operating Partners 12.5.4 Financing by the Commercial and Private sectors 12.5.5 Financing Plans 12.6 Sensitivity and Viability Analysis 12.6.1 The Zambia Urban Water Supply and Sanitation Model (ZUWSSM) 12.6.2 Parameters affecting the capital investment costs 12.6.3 Parameters affecting the operational costs 12.6.4 Analysis of financial viability with regard to expenditures by the Service Providers 12.6.5 Viability criteria 12.6.6 Conclusion regarding the financial viability 12.7 Identification and selection of projects and activities for financial support. 12.7.1 Guiding principles 12.7.2 Project selection windows 12.7.2.1 The Planning and Performance Fund (PPF) 12.7.2.2 The Project Implementation Fund (PIF) 12.8 Overview of Activity Framework and Time Schedule for Investment Planning and Financing 13. MANAGEMENT AND ORGANISATION 13.1 Context, Strategy and Organisational Framework 13.1.1 Context 13.1.2 Strategy 13.1.3 Framework for Organisation and Management 13.2 Steering Committee for Water Supply and Sanitation 13.2.1 NUWSSP Steering Committee 13.2.2 NUWSSP Technical Committee Table Of Contents National Urban Water Supply and Sanitation Programme 10 13.3 Advisory Groups 13.3.1 Water Sector Advisory Group and Donor Co-ordination 13.3.2 Water Sector and Sanitation Sub Sector Advisory Group 13.4 Government Line Ministries 13.4.1 Ministry of Local Government and Housing (MLGH) 13.4.1.1 The Urban Water Supply and Sanitation Section 13.4.1.2 Devolution Trust Fund (DTF) 13.4.2 Other Ministries 13.5 Local Government Levels 13.5.1 Provincial Level 13.5.2 District Level 13.5.2.1 Commercial Utility (CU) for provision of WSS services 13.5.2.2 Solid Waste Management Companies 13.5.2.3 Community Based Organisations (CBOs) 13.5.2.4 Private Sector 13.6 Regulatory Institutions 13.6.1 National Water and Sanitation Council (NWASCO) 13.6.1.1 Technical Advisory Committee 13.6.1.2 Water Watch Groups 13.6.2 Ministry of Health (MoH) 13.6.3 Environmental Council of Zambia (ECZ) 13.6.4 Water Resources Management Authority 13.7 Overview of Activity Framework and Time Schedule for Management & Organisation 14. FINANCIAL MANAGEMENT 14.1 Principles 14.2 Objectives 14.3 Funding Options 14.3.1 Overview of existing and potential FMs for the Water Sector in Zambia 14.3.2 Funding Modalities 14.4 Financial Management Strategy 14.5 Expenditure/Procurement 14.6 Accounting 14.7 Auditing 14.8 Overview of Activity Framework and Time Schedule for Financial Management 15. MONITORING, REPORTING, REVIEWS AND EVALUATION 15.1 Monitoring 15.2 Indicators 15.3 Reporting 15.3.1 Physical progress Reporting 15.3.2 Financial Progress Reporting 15.4 Reviews 15.5 Overview of Activity Framework and Time Schedule for Monitoring, Reporting, Reviews and Evaluation Table Of Contents National Urban Water Supply and Sanitation Programme 11 16. COMMUNICATION STRATEGY FRAMEWORK 16.1 Sector context 16.2 Objectives 16.3 Target Stakeholders 16.4 Activities 16.5 Overview of Activity Framework and Time Schedule for Communication Strategy 17. NUWSSP IMPLEMENTATION FRAMEWORK 17.1 Preliminary Activities 17.2 Establishment of NUWSSP management unit 17.3 Establishment of internal working modalities 17.4 Establishment of external working modalities 17.5 Rolling-out of the NUWSSP 17.6 Overview of Activity Framework and Time Schedule for Implementation of the NUWSSP 18. ASSUMPTIONS AND RISKS 19. REFERENCES (BACKGROUND AND ANALYSIS VOLUME ONLY) List of Abbreviations and Acronyms National Urban Water Supply and Sanitation Programme 12 LIST OF ABBREVIATIONS AND ACRONYMS ABP Area Based Programme ADC Area Development Committee AfDB African Development Bank AG bn Auditor General Billion CDPPDS Capacity Development Programme for Provision of Decentralised Services Capex Capital Expenditure CBO Community Based Organisation CP Cooperating Partner CSO Central Statistical Office CU Commercial Utility DANIDA Danish International Development Agency DCI Irish Aid DHID Department of Housing and Infrastructure Development (replaced DISS) DHMB District Health Management Board DISS Department of Infrastructure Support and Services (replaced by DHID) DIP Decentralisation Implementation Plan DTB District Tender Board DTF Devolution Trust Fund DWA Department of Water Affairs D-WASHE District Water, Sanitation and Health Education ECZ Environmental Council of Zambia FNDP Fifth National Development Plan GDP Gross Domestic Product GRZ Government of the Republic of Zambia GTZ Gesellschaft fur Technische Zusammenarbeit HIPC Heavily Indebted Poor Country IFM Investment Financing Mechanism IMS Information Management System IPCC Intergovernmental Panel on Climate Change JASR Joint Annual Sector Review JASZ Joint Assistance Strategy Zambia List of Abbreviations and Acronyms National Urban Water Supply and Sanitation Programme 13 JICA Japan International Cooperation Agency KfW Kreditanstalt für Wiederaufbau (German Development Bank) LA Local Authority LFA Logical Framework Approach M&E Monitoring & Evaluation MCDSS Ministry of Community Development and Social Services MDGs Millennium Development Goals MEWD Ministry of Energy and Water Development MIPFU Municipal Investment Planning and Financing Unit MLGH Ministry of Local Government and Housing MoE Ministry of Education MoFNP Ministry of Finance and National Planning MoH Ministry of Health MoTENR Ministry of Tourism Environment and Natural Resources MoU Memorandum of Understanding MTEF Medium Term Expenditure Framework NDP National Development Plan NGO Non-Governmental Organisation NISIR National Institute for Scientific and Industrial Research NRWSSP National Rural Water Supply and Sanitation Programme NUWSSP National Urban Water Supply and Sanitation Programme NWSSSC National Water Supply and Sanitation Steering Committee NWASCO National Water Supply and Sanitation Council O&M Operation & Maintenance Opex Operational Expenditure PEMFA Public Expenditure and Financial Accountability Reforms PRSP Poverty Reduction Strategy Paper PSC Programme Steering Committee PSD Private Sector Development PSMP Public Service Management Project PSRP Public Service Reform Programme PTI Part Time Inspector PUU Peri Urban Unit PUWSS Peri-Urban Water Supply and Sanitation RDE Royal Danish Embassy R&M Research and Development RWSP Rural Water Supply Project List of Abbreviations and Acronyms National Urban Water Supply and Sanitation Programme 14 RWSS Rural Water Supply and Sanitation RWSSP Rural Water Supply and Sanitation Project SWMC Solid Waste Management Company SWAp Sector Wide Approach TA Technical Assistance TC Technical Committee UNICEF United Nations Children’s Fund UNZA University of Zambia US$ United States Dollars: Exchange rate used: 1 US$ = 4000 ZK UWSS Urban Water Supply and Sanitation UWSSS Urban Water Supply and Sanitation Section V- WASHE Village Water, Sanitation and Health Education WASHE Water, Sanitation and Health Education WS Water Supply WSAG WSC Water Sector Advisory Group Water and Sewerage Company WSP Water and Sanitation Programme WSS Water Supply and Sanitation ZBS Zambian Bureau of Standards ZK Zambian Kwacha ZPPA Zambia Public Procurement Authority ZS Zambian Standard Executive Summary National Urban Water Supply and Sanitation Programme 15 EXECUTIVE SUMMARY INTRODUCTION The Government of the Republic of Zambia (GRZ) has decided to develop a holistic and integrated National Urban Water Supply and Sanitation Programme (NUWSSP) to cover the period 2011 to 2030 for improved livelihood and health of the urban population in Zambia. The NUWSSP consists of a coherent set of institutional and sector support activities aimed at developing and sustaining water supply, sanitation, solid waste management and drainage infrastructure and services in the urban areas of Zambia. SECTOR POSITION Zambia has one of the highest proportions of urban populations in Sub-Saharan Africa, with about 5 million of a total of 13.3 million people living in urban areas of the country. The peri-urban (informal housing) areas in all of the Zambian towns and cities have grown considerably in recent years and constitute about 25 % of the population in small towns and up to 60 % in large towns and cities. Considerable progress has been made in the operation of UWSS systems since the start of the sector reforms in the mid 1990’s, in particular after the establishment of the Commercial Utilities. However, inadequate provision of investment funds has severely hampered further improvements. Most of the water supply and sewerage infrastructure in the urban areas of Zambia were constructed 50 – 60 years ago and have since been inadequately maintained and developed resulting in dilapidation of existing infrastructure and inadequate UWSS systems in new areas. Between 66 % and 86 %, depending on the definition of coverage, of the population has access to piped water supply and between 35 % and 85 % to a sanitation facility in core urban and peri-urban areas. Even if there is access the quality of service is often inadequate. Wastes generated from all the sectors of the economy are currently not well managed. It is estimated that only about a tenth of the urban areas in Zambia are serviced as regards solid waste collection. Deficient or non-existent drainage systems for stormwater and greywater contribute substantially to the unhealthy living conditions and incidents of malaria and other water related diseases in densely populated urban areas. SECTOR INSTITUTIONS The Ministry of Local Government and Housing (MLGH) has the overall mandate to coordinate urban water supply and sanitation (UWSS) to all users through Local Authorities (LAs). MLGH is the principal channel through which GRZ disburses funds supporting rehabilitation and development of UWSS. LAs have established 11 Commercial Utilities (CUs), most of them between 2000 and 2009, to manage the UWSS systems in all 76 cities and towns while solid waste management and drainage remain the direct responsibility of the LAs. Executive Summary National Urban Water Supply and Sanitation Programme 16 The National Water and Sanitation Council (NWASCO) are responsible for consumer protection and economic regulation of UWSS, the Ministry of Health responsible for water quality regulation, the Ministry of Energy and Water Resources (MEWD) for water resources and the Environment Council of Zambia (ECZ) for environmental protection. SECTOR INVESTMENT The Fifth National Development Plan (FNDP) for the period 2009 to 2010 envisaged total investments in UWSS of ZKW 1,208.8 billion (US$ 242 million) constituting 3.1 % of the FNDP ‘core costs’. The sector is heavily reliant on CPs for investments as their contribution was assumed to be 93 % against GRZ’s 7 %. The Sixth National Development Plan is currently being finalised. Over the period 1997- to 2007 the UWSS authorized national budget provision constituted 2.4 % of the total national budget but the actual UWSS expenditure was only 0.3 % of the total. OVERALL VISION AND STRATEGIC APPROACH The NUWSSP aims at improved livelihood and public health for the urban population in Zambia. The approach is holistic and integrated and it hence encompasses the provision of water supply and sanitation in a broad sense including off and on-site facilities as well as solid waste management and drainage which all are indispensable components for creating a robust sustainable service system. The NUWSSP is based on several policy documents and strategic approaches. The National Long Term Vision 2030 (Vision 2030) is for Zambia to become “A Prosperous Middle Income Nation by 2030”. Among the concrete targets are: 80 percent access to clean water supply by 2015 and 100 percent by 2030; 68 percent access to sanitation by 2015 and 90 percent by 2030; rehabilitation and reconstruction of sewage treatment facilities in all major town and cities; 80 percent of waste collected and transported by 2030. The National Water Policy, (NWP 2010) states the following principles: water is a basic human need; there shall be equitable access to water; water has an economic value; women shall be empowered and fully participates in the use of water. The Millennium Development Goals (MDG) aims to”Halve, by 2015, the proportion of people without sustainable access to safe drinking water and basic sanitation” (compared with the base year 1990) The National Decentralisation Policy aims at decentralising government responsibilities and functions to lower level government through devolution. NUWSSP shall represent a move towards a sector-wide approach (SWAp). The Service Providers shall identify development or other activities requiring financial support under the NUWSSP; shall prepare and submit proposals for financial support to a NUWSSP management organisation; and transparent and objective criteria shall be used to evaluate and prioritise proposals. Executive Summary National Urban Water Supply and Sanitation Programme 17 PROGRAMME COMPONENTS The NUWSSP has eight components, namely: WATER SUPPLY DEVELOPMENT Water supply investments will consist of emergency measures, the reduction of the considerable backlog of rehabilitation of existing infrastructure and equipment followed by expansion of services to peri-urban and new core urban development areas. In the beginning emphasis will be put on the reduction of non-revenue water through systematic survey and analysis, repair of leakage, replacement of pipelines, and removal of illegal connections and installation of water meters eventually for all connections. Master planning, mapping of water supply systems and feasibility studies will be conducted. Financial sustainability will be secured through demand management, progressive tariffs and improved collection efficiency. Sustainability will be secured through protection and development of water sources. The management efficiency and level and quality of services will be enhanced through e.g. Water Watch Group and Part Time Inspector involvement, regulation by incentives, capacity building staff improvements and increased involvement of the private sector in management, construction and maintenance. SANITATION DEVELOPMENT Sanitation investment will start with emergency measures and rehabilitation of existing urban sewerage systems, wastewater treatment works and faecal sludge management facilities and with improved sanitation facilities in peri-urban areas followed by coverage increase in existing and new development areas. A detailed inventory of all existing sanitation facilities, mapping of sewerage systems and master plans will be done. Financial sustainability will be secured through sanitation surcharges on progressive water tariffs. The management efficiency and level and quality of services will be enhanced through e.g. user participation and training, regulation by incentives, capacity building, staff improvements and increased involvement of NGOs and the private sector in management, construction and maintenance. SOLID WASTE MANAGEMENT DEVELOPMENT Activities will comprise an inventory of and clean-up of illegal dump sites and the establishment of proper landfill sites by Local Authorities. Executive Summary National Urban Water Supply and Sanitation Programme 18 Municipal SWM plans including safe system for collection and destruction of hazardous waste from clinics/hospitals and industry will be developed. The level and quality of service will be enhanced through improved management, capacity building, and awareness creation, the establishment of SWM units and commercial utilities and increased involvement of the private sector. DRAINAGE DEVELOPMENT Drainage investment will commence with emergency measures to alleviate areas worst prone to flooding by construction and rehabilitation of drains. Development of drainage master plans and co- ordination with Town Planning to prevent settlement in flood-prone areas will have high priority followed by pilot projects and rolling-out of full scale drainage development projects. The level and quality of services will be enhanced through e.g. awareness creation and training, budgeting and revenue collection through a joint tariff system with water supply and sanitation, maintenance improvements through systematic measures to be taken before, during and after rains and increased involvement of residents and the private sector in management, construction and maintenance. POLICY DEVELOPMENT The WSS policy and legal framework will be reviewed, supplemented and changed as required. A Water Supply and Sanitation Policy and regulations will be developed following the adoption of the new National Water Policy (2010). CAPACITY DEVELOPMENT The institutional capacity will be developed at all levels with the main focus on Service Providers. HRD assessments will be made and plans developed for all stakeholders. Guidelines, EIC and advocacy material will be developed to facilitate the work of the Service Providers. INFORMATION MANAGEMENT DEVELOPMENT UWSS information will be developed for use by service providers, regulators and all ministries. It shall be based on agreed standards and definitions of key parameters e.g. service levels and coverage and include Geographical Information System (GIS). RESEARCH AND DEVELOPMENT A UWSS research programme comprising technology, management and socio-economy will be developed in co-operation with exiting universities and institutions in Zambia. Executive Summary National Urban Water Supply and Sanitation Programme 19 MANAGEMENT AND ORGANISATION Projects and activities under the Programme will be executed by Local Authorities, Commercial Utilities, Solid Waste Management Companies, Regulators and Educational Institutions. MLGH will be the Programme Executing Agency. The Urban Water Supply and Sanitation Section (UWSSS) of the MLGH will be strengthened and will be responsible for the day-to-day management of the programme. The National Water Supply and Sanitation Steering committee (NWSSSC) will guide the implementation of the Programme and the Water Sector Advisory Group (WSAG) will advise on implementation issues. INVESTMENT NEEDS The investment needs have been computed using traditional methods as well as an advanced model, ZUWSSM, developed specially for the NUWSSP. The model differentiates between replaced and new infrastructure. See summary table and figure below. SUMMARY NUWSSP INVESTMENT NEEDS IN US$ MILLION Besides the public investment needs, households and non-domestic consumers will also be required to make investments amounting to an additional 25 % of the public investments mainly for sanitation e.g. internal piping, service connections, latrines, septic tanks and contributions to cover part of the public infrastructure development costs. Executive Summary National Urban Water Supply and Sanitation Programme 20 INVESTMENT NEEDS OF SERVICE PROVIDERS, HOUSEHOLDS AND NON-DOMESTIC CONSUMERS AS A PERCENTAGE OF TOTAL INVESTMENTS IN UWSS FINANCIAL VIABILITY Financial viability of UWSS systems can be achieved within a band of various scenarios with moderate water rates for all consumers and special protection of low-income consumers. Within the viability band the internal financing of investments through user charges varies from 34% to 59%, the grants from 0 % to 59% and the loans from 4% to 32% as averages over the planning period 2011 to 2030. The need for external funding is high in the beginning, reducing towards the end of the planning period when internally generated funding can cover more of the investments. FINANCIAL MANAGEMENT The funding modalities from external financial sources to be accommodated under the NUWSSP are: National revenues – Government will provide funding to the sector through its normal budget process in line with its medium term expenditure framework (MTEF). General and Sector Budget Support - This funding modality will be formalised by Government and those CPs willing to provide funding through this approach. Capex Service Provider, Households, Non- Domestic Consumers 0% 20% 40% 60% 80% 100% 1 3 5 7 9 11 13 15 17 19 21 Year C ap ex U S $ m il li o n Sanitation NDC Water NDC Sanitation Hhs Water Hhs Sanitation SP Water SP Executive Summary National Urban Water Supply and Sanitation Programme 21 Pooled Funding - Government will establish and maintain a basket fund for the sector. CPs will be encouraged to provide their support through this approach. Parts of the programme that are to be supported by the pooled fund will be negotiated annually under the annual programme-planning process. It is expected that substantial parts of sector development components of the NUWSSP will be supported by pooled funding arrangements. Project Funding – The programme will also be supported through projects which will from part of the activities of the NUWSSP. For a transitional period NUWSSP will continue to be supported by Area Based Projects (ABPs). The CP-assisted ABPs, mostly formulated before the NUWSSP, are largely consistent with the NUWSSP’s objectives and strategies. CPs that may not or cannot align themselves with pooled funding modalities or budget support may continue to support the sector and the NUWSSP through activity based funding as long as the approaches and strategies of the NUWSSP are followed and the input is coordinated by the management of the NUWSSP. CPs may enter into bilateral agreements in support of the NUWSSP. These agreements, must as far as possible be in line with SWAp or a Joint Government/CP agreement on the NUWSSP. It is the intention that the commitments shall gradually change from Project Funding to Pooled Funding. FINANCING OF DEVELOPMENT By 2009/2010 four of the eleven commercial water and sanitation companies covered their direct operational costs and will be in a position to start partly covering their investment costs. All commercial utilities shall cover at least the direct operational costs ten years from their establishment. Thereafter they shall cover an increasing proportion of the investment costs aiming at covering at least half of the investment costs by year 2030. The CPs will be expected to provide the bulk of the development funds for the NUWSSP within the NUWSSP period, while the Government will supplement the development funds provided by the CPs. The financing plans will be prepared after dialogue between the Government and the CPs. Commercial and private sector financiers will be encouraged to engage directly with Service Providers for the financing of NUWSSP development. FINANCING COMMITMENTS The financing plans will be prepared after dialogue between the Government and the CPS. It is the intention that the commitments gradually change from ear-marked to non-ear-marked contributions to the NUWSSP. Executive Summary National Urban Water Supply and Sanitation Programme 22 MONITORING AND REPORTING Regular checking, documentation and reporting of progress will be integrated in the regular operations of the sector institutions. A single unified monitoring system will be used for the NUWSSP. COMMUNICATION STRATEGY FRAMEWORK A Communication Plan for the NUWSSP has been developed as a guide to the dissemination of the Programme. The Plan is to provide information, raise awareness and build support for implementation of the NUWSSP at all levels of the society. It will also increase the efficiency and effectiveness of the NUWSSP through education and sharing of information between stakeholders, improve co-operation and understanding between customers and Service Providers through the development of a customer- centred culture in service delivery and to enhance the efficiency and effectiveness among Service Providers through internal communication between departments, branches and all staff in the organisation. PROGRAMME IMPLEMENTATION FRAMEWORK Preliminary activities and establishment of the NUWSSP management e.g. preparation and signing of MoU, pledging of financial support, dissemination of information to all stakeholders, arrangement of office space and start of recruiting TA personnel to the Urban Water Supply and Sanitation Section is planned to take place in the first 6 months after launching the Programme. In the first 12 months period internal and external NUWSSP working modalities will be established after which period the NUWSSP will be rolled out. ASSUMPTIONS AND RISKS The NUWSSP has been designed based on several assumptions and risks. The main assumptions are the CPs are willing to align with and pledge substantial financial support to the NUWSSP and that the Government will establish adequate technical management and a WSS account forthwith. The risk is that this will not happen. Background National Urban Water Supply and Sanitation Programme 23 Dilapidated Infrastructure resulting in reduced access to water supply and sanitation services CHAPTER ONE BACKGROUND 1.1 INTRODUCTION 1.1.1 OVERVIEW: URBAN WATER SUPPLY AND SANITATION Zambia has one of the highest urban populations in Sub-Saharan Africa, with about 5 million people out of the total population of 11.5 million living in urban areas. The rate of urbanization has exceeded the rate of infrastructure development and provision of water supply and sanitation services. Most of the water supply and sewerage infrastructure in the urban areas of Zambia were constructed in the 1960’s and 1970’s and have since been inadequately maintained resulting in dilapidation. The peri-urban (informal housing) areas in all of the Zambian towns and cities have grown considerably in recent years, and most have poor water supply and sanitation. Wastes generated from all the sectors of the economy are currently not well managed. It is estimated that only about a tenth of the urban areas in Zambia are serviced as regards solid waste collection. Background National Urban Water Supply and Sanitation Programme 24 Deficient or non-existent drainage systems for ‘storm water and grey water contribute substantially to the unhealthy living conditions and incidents of malaria in densely populated urban areas. In order to address this situation, the Government of the Republic of Zambia has developed the National Urban Water Supply and Sanitation Programme (NUWSSP) which will provide a coherent set of institutional and sector support activities aimed at facilitating provision of water supply and sanitation services to the urban population in Zambia. The NUWSSP will thus serve as a single reference document for implementers in Government; the Private Sector; Non- Governmental Organisations; Development and Cooperating Partners and the general public on urban water supply and sanitation related interventions to support the socio-economic growth of Zambia. The NUWSSP is outlined in 19 Chapters. Chapter 1gives the general administrative, demographic and socio- economic background. Chapter 2 sets the national policy framework in which the plan shall be developed and describes the status of the urban water supply and sanitation sector. The overall vision and strategic approach are presented in Chapter 3. Chapters 4, 5, 6 and 7 outline the detailed development programmes for urban water supply, sanitation, solid waste management and drainage respectively. The policy, capacity, information management and R&D development programmes are presented in Chapters 8, 9, 10 and 11. Chapter 12 is dedicated to the presentation of the investment and financing plans. The management and financing mechanisms are presented in Chapters 13 and 14 respectively, while Chapter 15 deals with monitoring, reporting, reviews and evaluation. Chapter 16 focuses on the communication strategy and the implementation of the programme is described in Chapter 17. The risks that may affect implementation and mitigation measures are presented in Chapter 18. The long list of consulted reference documents is shown in Chapter 19 of the Background and Analysis Volume. 1.1.2 NATIONAL DEVELOPMENT PLANNING FRAMEWORK The NUWSSP is a planning instrument which is linked into the overall planning framework through the National Development Plan and the National Long-term Vision. A single and overall framework, which encompasses short, medium and long term strategic planning, has been defined in Zambia. Figure 1.1 illustrates the relationships between the planning instruments. Background National Urban Water Supply and Sanitation Programme 25 FIGURE 1.1: NATIONAL DEVELOPMENT PLANNING FRAMEWORK (GRZ, 2007, IWRM) 1.1.3 PROGRAMME DEVELOPMENT PROCESS The development of the NUWSSP began in 2007. The formulation process was governed regularly by the NUWSSP Task Team comprising representatives from Government ministries and institutions, commercial utilities, non-governmental organisations and co-operating partners. The formulation of the NUWSSP has, to a large extent, been based on the findings and recommendations found in a multitude of existing studies and reports and the legislation on water supply and sanitation in Zambia. In addition, special studies have been conducted Its formulation has also drawn upon various policies, programmes and plans. Keys among these are: i. Vision 2030 ii. The Fifth National Development Plan iii. Proposed Strategy and Institutional Framework for Water Supply and Sanitation Sector (1994) iv. The National Water Policy (1994 and draft revision 2007) v. The Integrated Water Resources Management and Water Efficiency Implementation Plan (draft 2007) vi. National Rural Water Supply and Sanitation Programme vii. The National Water Resources Master Plan Background National Urban Water Supply and Sanitation Programme 26 1.1.4 SCOPE AND PURPOSE OF THE NUWSSP The NUWSSP is a holistic and integrated programme that aims at improved livelihood and public health for the urban population in Zambia. Hence, it encompasses provision of water supply and sanitation in a broad sense including off and on-site facilities as well as solid waste management and drainage which all are indispensable components for creating a robust sustainable service system. Furthermore, the NUWSSP encompasses service provision in all urban settlements comprising high, medium and low cost housing areas, industrial and commercial as well as formal and informal peri-urban areas. 1.2 LOCATION AND ADMINISTRATION Zambia is divided, for administrative purposes, into 72 districts in 9 provinces as shown in Figure 1.3 and 1.4. FIGURE 1.3 PROVINCES IN ZAMBIA Background National Urban Water Supply and Sanitation Programme 27 FIGURE 1.4 DISTRICTS IN ZAMBIA 1.3 DEMOGRAPHIC AND SOCIO-ECONOMIC CONDITIONS The census of population in 2000 revealed that Zambia’s population was 9,885,591 with an average annual inter-census (1990-2000) growth rate of 2.4% (CSO, 2000). The urban growth rate of was 1.5% over the same period. Background National Urban Water Supply and Sanitation Programme 28 TABLE 1.1 POPULATION DATA AND PROJECTIONS FROM VARIOUS SOURCES SOURCE AREA CATEGORY 2000 2005 2010 2015 2020 2025 2030 I CSO 2003 Pop. projection report (with AIDS) Zambia Low projection 9,792 11,449 13,274 15,246 17,436 19,923 22,764 Medium projection 9,792 11,441 13,273 15,303 17,626 20,347 23,489 High projection 9,792 11,519 13,518 15,742 18,284 21,321 24,863 Urban Low projection 3,401 3,923 4,361 4,695 4,961 5,179 5,405 Medium projection 3,401 3,928 4,387 4,776 5,121 5,478 5,860 High projection 3,401 3,944 4,506 5,014 5,514 6,077 6,696 CSO 2004 Living Condn. Mong. survey Urban Total 4,297 ii) Low cost residential 3,032 Medium cost residential. 803 High cost residential 461 Nwasco 2005 and 2010 Urban Total 4,900 5,424 iii) 6,100 Note: i) own extrapolation ii) 2004 iii) 2009/2010 CSO gives lower urban population figures than NWASCO. This can be explained by the different ways the population figures have been obtained. Some Peri-Urban areas are classified as “rural” in the CSO Census in spite of the fact that they may have all the urban characteristics (e.g. high population densities). The NWASCO figures build on the reports from the Service Providers. The rate of urbanization has not been accompanied by appropriate infrastructure development and has resulted in the mushrooming of unplanned informal settlements that are largely underserved in terms of economic and social infrastructure. These areas are commonly known as “peri-urban areas” and they have become a major feature of Zambia’s urban landscape. Over the last 20 years peri-urban areas have absorbed the bulk of Zambia’s population growth. The percentage of the population living in peri-urban areas range from about 25% in smaller towns up to about 70% in the big cities. Lusaka City has 33 peri- urban areas accounting for at least 60% of the city’s population. INCOME POVERTY Poverty is pervasive and majority of the population in Zambia live in income deficit and suffer from other deprivations such as low access to and poor quality of social services. The areas of extreme poverty are characterised by high prevalence of material deprivation in terms of food and nutrition, health, education and literacy, safe water and sanitation, and clothing and shelter. Background National Urban Water Supply and Sanitation Programme 29 According to the Living Conditions Monitoring Survey (LCMS) IV of 2004, as much as 68 percent of the population in Zambia fell below the national poverty line, earning less than K111, 747 per month. The poverty levels fell slightly in 2004 compared to 1998 when poverty stood at 73 percent. Extreme poverty (covering people earning less than K78, 223 per month) fell from 58 percent in 1998 to 53 percent in 2004. The urban poverty levels are shown in Table 1.3. TABLE 1.3 POVERTY IN DIFFERENT STRATA OF URBAN DWELLERS STRATUM POVERTY STATUS TOTAL POPULATION TOTAL POOR EXTREMELY POOR MODERATELY POOR NON POOR Urban Low Cost 58 39 19 42 3,014,561 Urban Medium Cost 46 26 20 54 795,563 Urban High Cost 30 18 12 70 455,165 Urban Total 53 34 19 47 4,265,289 Adapted from CSO, 2005, Living Conditions Monitoring Survey Report 2004 NON-INCOME POVERTY There are a number of non-income or social dimensions of poverty that are also important for household welfare. Significant improvements have also been made in school completion rates. In 2000, the completion rate was 63.6 percentwhich increased to 72 percent in 2004. Adult literacy stands at only 55.3 percent and has remained unchanged since 1990. Health indicators have also shown some improvement since the early 1990s. Both rural and urban infant mortality fell considerably between 1990 and 2000 and is projected to decline further. Furthermore, according to recent estimates, the adult prevalence of HIV/AIDS has fallen from 20 percent in 1998 to 16 percent in 2002. Health statistics in Zambia indicate that malaria is the leading cause of morbidity and mortality for all age groups. However, diarrhoea is ranked among the top common causes of out-patient attendances for all age groups. Diarrhoea is a disease indicative of poor sanitation, unhygienic environment, and poor water supplies. Life expectancy in Zambia has fallen from 54.4 years in 1990, 50 years in 2000 and 36 years in 2006 (World Bank 2007). 1.4 ECONOMIC CONDITIONS At independence in 1964, Zambia, with a per capita income in excess of US $750 (nominal), inherited a strong economy, which was primarily based on mining. At this time Zambia was classified as a medium income country by the United Nations. Nonetheless, the country had poor socio-economic infrastructure and low human capital. Dilapidated Inftrastructure resulting in reduced access to water supply and sanitation services Background National Urban Water Supply and Sanitation Programme 30 Over the last two decades, Zambia’s economic performance has declined, in real terms, with per capita income falling to less than half (US$300, nominal) in 2000. However, the economy has stabilised since 2001 and begun to grow. Thus the real GDP has grown from 3.6 percent in 2000 to 5.7 percent in 2007. The per capita income in 2007 was estimated at US$ 864 (nominal) or 1,400 (PPP). TABLE 1.4 MACRO-ECONOMIC INDICATORS 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 Real GDP growth rate 2.2 3.6 4.9 3.0 5.1 5.4 5.2 6.2 5.7 5.7 6.3 Inflation(%) 20.6 30.1 18.7 26.7 17.2 17.5 15.9 8.2 8.9 16.6 9.9 Exchange rate (US$1 = ZKW) 2,386 4,109 3,607 3,931 4,662 4,671 3,425 4,132 3,775 3,746 5,046 Source: MFNP, 2004-2010 In 2005 Zambia reached the completion point under the Heavily Indebted Poor Countries (HIPC) Initiative resulting in debt cancellation. In the same year, Zambia also became eligible for debt relief under the G8 initiative which proposed to cancel 100 percent of all concessional debts owed to the International Monetary Fund, the African Development Bank and the World Bank. Following the debt relief provided, Zambia’s foreign debt came down from ZK29.82 trillion at the end of 2004 to ZK2.1 trillion in 2005. This is a very important development and it is anticipated that more financial resources will now be available for development, including social sectors such as water and sanitation. Status of The Urban Water Supply and Sanitation Sector National Urban Water Supply and Sanitation Programme 31 Water Sector Reforms – Kapiri Mposhi Dam constructed for Lukanga Water & Sewerage Company, one of the Companies formed after commercialisation of all the urban water supply and sanitation services. CHAPTER TWO STATUS OF THE URBAN WATER SUPPLY AND SANITATION SECTOR 2.1 SECTOR POLICIES AND LEGAL FRAMEWORK 2.1.1 NATIONAL WATER SECTOR POLICY In the late 1980s, GRZ began policy and institutional reform of the water sector which culminated in the development and adoption of the National Water Policy of 1994. The National Water Policy provides the overall policy framework for the water sector. It covers water resources management, urban water supply and sanitation, rural water supply and sanitation, water quality, and water tariffs. THE NATIONAL WATER POLICY 1994 IS GUIDED BY SEVEN KEY SECTOR PRINCIPLES, NAMELY: 1) Separation of water resources management from water supply and sanitation. 2) Separation of regulatory and executive functions. Status of The Urban Water Supply and Sanitation Sector National Urban Water Supply and Sanitation Programme 32 3) Devolution of authority [from central government] to local authorities and private enterprises. 4) Achievement of full cost recovery for the water supply and sanitation services through user charges in the long run. 5) Human resources development leading to more effective institutions. 6) The use of technologies more appropriate to local conditions. 7) Increased government priority and budget spending to the sector. These water sector principles have guided the sector reforms since 1994 and have been the basis of the policy measures and strategies with respect to the key water sub-sectors, namely, water resources management, urban water supply and sanitation, and rural water supply and sanitation. Ten years after the adoption of the NWP 1994 there was a felt need to revise the national water policy and the process started at a workshop in September 2004. The new National Water Policy was drafted under the auspices of MEWD was adopted by the Government in February 2010. The NWP 2010 recognises that the following (of the seven key sector principles listed above) have been largely achieved during the reorganisation of the sector: i. partial separation of regulatory and executive functions within the water supply and sanitation sector; ii. devolution of authority to Local Authorities and commercial enterprises; and iii. Achievement of partial cost recovery for the water supply and sanitation services (capital recovery, operation and maintenance) through user charges in the long run. 2.1.2 THE RELEVANCE OF THE NATIONAL WATER POLICY TO URBAN WATER SUPPLY AND SANITATION The National Water Policy 1994 was very specific and detailed with regard to urban water supply and sanitation. It laid the foundation for the sector reforms and its main principles are largely valid and applicable even in 2010. The new National Water Policy (2010) deals mainly with the overriding principles of water resources management and is very general about the uses of water. The Policy (2010) recognises the following guiding principles: i. Water is a basic human need; ii. Government shall be the trustee of the nation’s water resources and will ensure that water is allocated equitably, protected, used, developed, conserved, managed and controlled in a sustainable and equitable manner, in the public interest while promoting environmental and social values and protecting Zambia’s territorial sovereignty; iii. Water resources shall be managed in an integrated manner; iv. There shall be equitable access to water; Status of The Urban Water Supply and Sanitation Sector National Urban Water Supply and Sanitation Programme 33 v. Water has a social value and all domestic and non-commercial use of water will not be required to obtain a water permit; vi. Water has an economic value and the cost of facilitating its use has a significant administrative cost element and this will be reflected in the fees for water permits for the use of water resources for economic purposes; vii. There shall be equity in accessing water resources and, in particular, women shall be empowered and fully participate in issues and decisions relating to sustainable development of water resources and, specifically, in the use of water. viii. Efforts to create wealth shall be reflected in all decisions made in relation to the use of water; ix. Location of water resources on land shall not itself confer preferential rights to use it; x. The basic management unit shall be the catchment in recognition of the unity of the hydrological cycle, AND xi. Zambia’s water resources shall be managed to promote sustainable development and protect its territorial sovereignty. Regarding water supply and sanitation only the following is stated specifically: (a) Policy statement To promote sustainable water resources management and development with a view to facilitating an equitable provision of adequate quantity and quality of water for water supply and sanitation in a timely manner. (b) Measures Support the provision of adequate, safe, and cost effective water supply and sanitation services with due regard to environmental protection. The requirement for considering the protection of the environment is expressed as follows: (a) Policy statement To provide a management framework for Zambia’s water resources so as to ensure that they are managed on a sustainable basis and retain their integrity to support the needs of the current and future generation. (b) Measures Ensure sustainable management of water resources; Increase public awareness on the conservation and protection of water resources and the environment; Prevent and control pollution of ground and surface waters; Maintain and protect the natural quality of water resources in the country; Collect, process, maintain and DHID disseminate data and information on water quality and aquatic ecosystems as a basis for integrated and informed decision-making. Status of The Urban Water Supply and Sanitation Sector National Urban Water Supply and Sanitation Programme 34 The NWP (2010) addresses the issue of climate change and states that the following among other measures shall be implemented: Conducting public awareness campaigns to ensure that the public is enlightened on climate change issues, including adaptation measures; Supply of clean and safe water to communities to prevent water borne diseases that come with floods/droughts. 2.1.3 RELATED NATIONAL POLICIES AND STRATEGIES For more than a decade, Government has been implementing the Public Service Reform Programme (PSRP) aimed at improving efficiency and effectiveness in delivery of services by the public sector. The PSRP embarked on streamlining the functions, structures, establishments, and operations of ministries/institutions so as to improve efficiency and effectiveness, and accountability. One of the key components of PRSP was decentralisation and strengthening of Local Government. The National Decentralisation Policy, developed in 2002 and launched formally in August 2004, aims at decentralising government responsibilities and functions to lower level government through “devolution”. The Decentralisation Policy reaffirms the local authorities as the institutions responsible for water supply and sanitation. More importantly, it acknowledges the need for the Government to “decentralise with matching resources, some of its functions to the district”, thus empowering the local authorities to discharge their responsibility with respect to UWSS. Between 2002 and 2004, Zambia implemented the Poverty Reduction Strategy Paper (PRSP) aimed at addressing poverty through a multi-sectoral and integrated approach for sustainable economic growth (GRZ, 2002). Provision of urban and peri-urban water supply and sanitation was identified as one of the interventions for dealing with poverty in urban areas Based on the National Water Policy framework, a number of strategies relevant to the UWSS sub-sector have been developed and include: Strategy and Institutional Framework for the Water and Sanitation Sector (1995) which specifies the institutional framework, development standards and arrangements for provision of WSS by local authorities; National Environmental Sanitation Strategy (1998) aimed at raising the profile of sanitation in provision of basic social services, as well as outlining the strategies for provision of sanitation services), the Community Water Supply and Sanitation Strategy (2000) primarily focused rural areas but also targeted at Peri-Urban areas; and Mainstreaming Gender in Water Supply and Sanitation Sector (2000). To varying degrees these strategies have an impact on the implementation of service delivery of water supply and sanitation to Zambia’s urban areas. The National Policy on Environment (final draft 2006) states that all programmes related to water should be implemented in such a matter that mitigate environmental degradation and consideration should be given to safe disposal of the resultant waste water. The approach should be pollution minimization and prevention. The NPE stresses the strategy to capacitate MLGH (DHID) with adequate resources to rehabilitate and extend sewerage systems and other forms of sanitation and the local authorities to develop and manage solid waste systems. NPE also lays out the strategy for developing master plans including for solid waste and contingency plans for droughts and floods. Status of The Urban Water Supply and Sanitation Sector National Urban Water Supply and Sanitation Programme 35 In order to address the solid waste situation, the National Solid Waste Management Strategy for Zambia was formulated in 2004 by the Environmental Council of Zambia (ECZ). Further, the Ministry of Local Government and Housing, recognizing the need to address the situation, instituted studies how the solid waste management could be improved through a Strategy for Solid Waste Management through Private Sector Participation (PSP), in 2005. A significant strategy with respect to UWSS is WASHE (Water, Sanitation and Health Education) adopted in May 1996. Its objective is to promote integrated development of water, sanitation and hygiene education so as to improve the health impact of water and sanitation interventions and to promote community management in order to ensure sustainability of services through better financial support and operation and maintenance. The WASHE strategy, implemented through the Local Authorities, brings together different local stakeholders drawn from district level. 2.1.4 LEGAL FRAMEWORK FOR WSS AND SOLID WASTE The legal framework for the water and sanitation sector is anchored by two main pieces of legislation: the Local Government Act No. 22 of 1991, and the Water Supply and Sanitation Act No. 28 of 1997. The main tenets of the two acts are outlined below: a) Local Government Act No. 22 of 1991 gives the local authorities prime responsibility for the provision of water supply and sanitation services to all areas within the local authority boundary, including rural areas. The local authorities are also empowered to make by-laws, set standards and guidelines for provision of services. According to this Act the local authorities operate under the control of the minister responsible for local government (presently Minister of Local Government and Housing). b) Water Supply and Sanitation Act No. 28 of 1997 specifies how Local Authorities may provide water supply and sanitation services and establishes the National Water Supply and Sanitation Council (NWASCO) as the regulator for the UWSS sector. There are four options for Local Authorities to provide services: 1) by continuing providing services themselves through a section within the Council; 2) through the establishment of a commercial utilities (CU) as a company; 3) entrustment of the management of provision of WSS to a private operator while the assets can be managed by the LA or an Asset Holding Company and 4) by selling off up to 49 % of its equity to a private company and then together to form a commercial entity. Service providers will be licensed and regulated by NWASCO c) Statutory Instrument No. 65: establishes a Devolution Trust Fund (DTF) to assist Commercial Utilities established by local authorities under Act No. 28. d) The Town and Country Planning Act, Cap. 283: regulates physical planning and development throughout the country. Under this Act the Local Authorities have delegated powers as planning authorities with power to enforce planning control on any physical development in their respective Local Authority area. Another legislation related to the control of urban development is the Housing (Statutory and Improvement Areas) Act. This provides the legal framework for the regularization of unplanned settlements not covered by the regular planning process as set out in the Town and Country Planning Act. Status of The Urban Water Supply and Sanitation Sector National Urban Water Supply and Sanitation Programme 36 The Water Act, Cap. 198 (enacted in 1948) is concerned with the development and management of surface water resources. The Act excludes groundwater. A revision of the Water Act is scheduled to be presented to Parliament soon. The proposed new act will have provisions for regulating groundwater (currently unregulated), and this will have an impact on development and management of groundwater for water supply and sanitation. The Environmental Protection and Pollution Control Act of 1990 deals with protection of the environment and control of pollution; and the Public Health Act of 1995, which has provisions for the management of sanitation and prevention of pollution to water supplies by the local authority. 2.2 SECTOR INSTITUTIONS Figure 2.1 provides an overview of the organisation of the water supply and sanitation sector. It is clear that the sector has many players with distinct although at times overlapping roles. As a result the WSS sector appears “complex”. Organisations in the WSS sector can be grouped into three categories: (i) water service providers; (ii) policy, regulatory and coordination institutions; and, (iii) institutions with an indirect role (mainly sector ministries) FIGURE 2.1: ORGANISATION OF THE URBAN WATER SUPPLY OF SANITATION SECTOR 2.2.1 WATER SERVICE PROVIDERS Different organisations are involved in water supply and sanitation to urban, peri-urban and rural communities. The principal providers are local authorities and commercial utilities as mandated in the WSS Act of 1997. See Table 2.1 Status of The Urban Water Supply and Sanitation Sector National Urban Water Supply and Sanitation Programme 37 TABLE 2.1 CUS BY PROVINCE PROVINCE NUMBER OF CUS NAME OF CUS NUMBER OF TOWNS SERVED CENTRAL 1 Lukanga Water and Sewerage Company Limited 6 COPPERBELT 3 Kafubu Water and Sewerage Company Limited 3 Mulonga Water and Sewerage Company Limited 3 Nkana Water and Sewerage Company Limited 3 EASTERN 1 Eastern Water and Sewerage Company Limited 8 LUAPULA 1 Luapula Water and Sewerage Company Limited 7 LUSAKA 1 Lusaka Water and Sewerage Company 4 NORTHERN 1 Chambeshi Water and Sewerage Company Limited 12 NORTH WESTERN 1 Northwestern Water and Sewerage Company Limited 7 SOUTHERN 1 Southern Water and Sewerage Company Limited 17 WESTERN 1 Western Water and Sewerage Company Limited 6 TOTAL 11 76 In addition there are 12 water trusts in Lusaka supplying water to the unplanned settlements. These water trusts play an important role. The daily production of 5,390 m3 by the water trusts can be compared with the production of 28,600 m3and the billed volume of 13,400 m3 by LWSC for the peri-urban areas. There are also independent water and sanitation providers covering about 1.4 % of the urban population. These schemes are also regulated by NWASCO. Status of The Urban Water Supply and Sanitation Sector National Urban Water Supply and Sanitation Programme 38 FIGURE 2.2 LICENSED WATER SUPPLY AND SANITATION PROVIDERS. 2.2.2 POLICY, REGULATORY AND COORDINATION INSTITUTIONS The Ministry of Local Government and Housing (MLGH) has the overall mandate to coordinate WSS to all users through local authorities. The Department of Housing and Infrastructure Development (DHID) co- ordinates investments in the sector and oversees the execution of loan and grant investments extended to CUs by funding institutions. MLGH is the principal channel through which GRZ disburses funds supporting rehabilitation and capital investments in municipal WSS. With respect to UWSS, regulation is principally done through NWASCO which licenses all water schemes with 500 users or more. NWASCO monitors and enforces standards for UWSS schemes and is answerable to the Minister in MEWD. The Department of Water Affairs is responsible for policy formulation and monitoring of developments within the sector. An overview of key institutions is given in Table 2.3. Status of The Urban Water Supply and Sanitation Sector National Urban Water Supply and Sanitation Programme 39 TABLE 2.3: KEY INSTITUTIONS IN THE WATER AND SANITATION SECTOR ORGANISATION DESCRIPTION OF KEY ROLES WATER SERVICE PROVIDERS LOCAL AUTHORITIES In municipalities not covered by commercial utilities, provide water supply and sanitation to urban and peri-urban communities. COMMERCIAL UTILITIES The WSS Act empowers local authorities to form CUs under the Companies Act. CUs operate along business lines for the purpose of water supply and sanitation provision. There are 11 CUs in Zambia with the formation of Luapula WSC. Chipata Water has been enlarged to cover all urban Centres in Eastern Province and has become Eastern Water and Sewerage Company. INDEPENDENT PROVIDERS Some companies have private WSS schemes for their employees in areas not covered by local authorities or commercial utilities. COMMUNITY DRIVEN DEVELOPMENT SCHEMES Community demand driven schemes in peri-urban and rural areas supported by donors, the Zambia Social Investment Fund (ZAMSIF), Micro Projects Unit (MPU), the Rural Investment Fund (RIF) and NGOs. POLICY, REGULATING, FACILITATING AND COORDINATING INSTITUTIONS MINISTRY OF ENERGY AND WATER DEVELOPMENT The Department of Water Affairs (DWA) provides overall coordination of the water sector and is responsible for policy formulation and for monitoring developments in the sector. DWA was originally responsible for many smaller water supply schemes and has seconded staff, in certain localities, to assist local authorities that have taken over these schemes. DWA drills boreholes in rural areas using GRZ and donor funds before handing them over to V-WASHEs through D-WASHEs. MINISTRY OF LOCAL GOVERNMENT AND HOUSING The Department of Infrastructure and Support Services (DHID) has responsibility for the co-ordination and monitoring of investments in municipal and commercial utilities infrastructure including water and sanitation. This ministry also coordinates the activities of the Water and Sanitation and Health Education (WASHE) programme. WASHES Committees representing organisations actively involved in rural water supply and sanitation. Called D- WASHEs at district level. The concept was promoted in Western Province under a Norwegian funded RWSS programme but adopted as a national concept in 1996. NATIONAL WATER SUPPLY AND SANITATION COUNCIL Regulates service providers to improve delivery, efficiency and sustainability. Created under the WSS Act (28) of 1997, it came into being in June 2000. Service providers covering more than 500 users required a Nwasco license. WATER BOARD Issues water rights to providers extracting water from surface water. Under the present Water Act, extraction of groundwater is not covered. MINISTRY OF ENVIRONMENT AND NATURAL RESOURCES Through the Environmental Council of Zambia is responsible for establishing environmental standards including the aspects of effluent discharge and erosion caused by uncontrolled storm water drainage. INSTITUTIONS WITH AN INDIRECT ROLE MINISTRY COMMUNITY DEVELOPMENT AND SOCIAL WELFARE Has responsibility of monitoring and assessing rural communities in the development of water and sanitation projects particularly through the D-WASHE programme MINISTRY OF HEALTH Has responsibility for health and hygiene promotion among water users MINISTRY OF EDUCATION Responsible for the implementation and management of rural water supply and sanitation in schools. Source: Water supply and sanitation sector finance and resource flow assessment, April 2004 Status of The Urban Water Supply and Sanitation Sector National Urban Water Supply and Sanitation Programme 40 2.3 SECTOR POSITION 2.3.1 WATER RESOURCES In general Zambia has plentiful surface and groundwater resources. The total available surface water resources far exceed the total consumptive demand (domestic and industrial, irrigation, livestock, etc) even in a drought year. The annual available surface water is estimated at 237 million m3/day. Even in a drought year Zambia consumes only 5% of the available surface water (National Water Resources Master Plan, 1995) The country has an estimated total potential groundwater abstraction of 157 million m3/day. Parts of Southern and Eastern Provinces, and some parts of Northern and Copperbelt Provinces have low yielding aquifers, but overall there in no scarcity of groundwater. Groundwater quality is sometimes affected especially with high iron content. The total urban requirement for 2015 is estimated at 2,402,000 m3/day, up from the present (2005) theoretical need of 1,766 m3/day (NWRMP, 1995) and the actual production of approximately 926,000 m3/day (deduced from NWASCO 2009/2010). Table 2.7 shows the estimated water demand for 2005 and 2015. TABLE 2.7 WATER DEMAND FOR DOMESTIC/INDUSTRIAL USE AND ADDITIONAL REQUIREMENTS (Unit: 1000 m 3 /day) Base Scenario-Industrialisation (high population projection) LARGE URBAN AREAS SMALL URBAN AREAS TOTAL Demand/2005 Domestic use 663 199 862 Industrial use 447 129 576 Losses 278 49 327 TOTAL 1,388 378 1,766 Demand/2015 Domestic use 940 322 1,262 Industrial use 552 145 697 Losses 373 70 443 TOTAL 1,865 537 2,402 Present Capacity 809 137 946 Shortage in 2005 (%) -579 42 -241 64 -820 46 Shortage in 2015 (%) -1,056 57 -400 74 -1,456 61 Table adapted from National Water Resources Master Plan (1995) Status of The Urban Water Supply and Sanitation Sector National Urban Water Supply and Sanitation Programme 41 2.3.2 ACCESS TO SAFE WATER SUPPLY 2.3.2.1 DEFINITION OF ACCESS TO SAFE WATER SUPPLY In this section, an attempt is made to explain the current levels of access to water supply and sanitation in Zambia’s urban areas. Reported water supply coverage does not contain all the critical parameters such as access (water available from source all day), amount (quantity per capita), safety (physical, chemical and bacteriological quality) and convenience (distance to source, time required to draw specified amount). The term coverage means different things in different contexts and there is a need for clear definitions and harmonization. 2.3.2.2 SAFE WATER SUPPLY COVERAGE The 2000 census conducted by CSO indicates that 49% of Zambians had access to safe water supply in that year, with the figure being 86.1% for urban areas. The latest official figures from the CSO are summarized in Table 2.8 and 2.9. This assessment indicates that coverage for water remained at 86 % in urban areas. TABLE 2.8: SUMMARY OF ACCESS TO SAFE WATER SUPPLY IN ZAMBIA 1990-2005 according to CSO 1990 2000 2005 POPULATION (‘000) COVERAGE (%) POPULATION (‘000) COVERAGE (%) POPULATION (‘000) COVERAGE (%) Zambia 7,759 73 9,886 49.1 11,563,212 53 Urban 2,949 85 3,433 86.1 4,025,010 86 Rural 4,810 58 6,452 29.5 7,538,202 37 CSO, 2000. Zambia in Figures; CSO, 2004. Selected Socio-economic Indicators; CSO, 2004. Population Projections Report. TABLE 2.9: DISTRIBUTION OF HOUSEHOLDS BY MAIN SOURCE OF WATER IN URBAN AREAS, 2004 Water source (Dry season), percent River Lake Unpro- tected well Protect- ed well Bore- hole Public tap Own tap Other tap No of house- holds Low Cost 2.9 14.3 3.7 6.8 35.7 24.3 11.7 593,484 Medium Cos. 0.8 5.6 1.3 6.8 11.7 65.7 8.2 143,394 High Cost 2.5 9.2 0.9 5 5.2 71 6.1 95,697 Total 2.5 12.3 3 6.6 28.5 36.2 10.5 822,575 Adapted from CSO, 2005, Living Conditions Monitoring Survey Report 2004 The coverage based on reports from CUs/LAs and compiled by NWASCO gives different results as shown in Table 2.10. Residence Stratum Status of The Urban Water Supply and Sanitation Sector National Urban Water Supply and Sanitation Programme 42 TABLE 2.10. WATER SERVICE COVERAGE ACCORDING TO NWASCO COMMERCIAL UTILITY/LOCAL AUTHORITY TOTAL POPULATION IN SERVICE AREA WATER SERVICE COVERAGE % NKANA WSC 685,420 88 LUSAKA WSC 1,831,408 70 KAFUBU WSC 633,656 86 SOUTHERN WSC 328,882 89 MULONGA WSC 436,249 89 LUKANGA WSC 365,869 66 WESTERN WSC 176,477 58 NORTH WESTERN WSC 223,817 69 CHAMBESHI WSC 275,474 63 EASTERN WSC 217,632 58 LUAPULA WSC 173,206 19 TOTAL 5,348,090 PRIVATE PROVIDERS 75,632 90 TOTAL 5,423,722 SERVED POPULATION 4,013,554 AVERAGE (WEIGHTED) 74 Adapted from NWASCO Urban and Peri-Urban Water Supply and Sanitation Report 2009/201 TABLE 2.11. COVERAGE LEVELS FOR WATER SUPPLY IN PERI-URBAN AND LOW-COST AREAS PROVINCE: % COVERAGE PERI-URBAN LOW-COST NORTHERN 6 38 LUAPULA 1 21 NORTH-WESTERN 33 49 COPPERBELT 19 29 CENTRAL 7 4 EASTERN 31 55 LUSAKA 57 28 WESTERN 16 34 SOUTHERN 32 63 AVERAGE 36 32 Source: Aquatis Information System By using the information in table 2.11 above and assuming an arbitrary chosen 80 % coverage level in High- Cost and Medium-Cost areas the aggregate coverage in urban areas in Zambia can be estimated at 44 %. This coverage figure represents the service coverage roughly as defined in the Baseline Study considering the quality of services. If the coverage is defined as the population using piped water, without considering the quality of the services, the coverage can be estimated at 66 % by using the data from the Aquatis Information System. Status of The Urban Water Supply and Sanitation Sector National Urban Water Supply and Sanitation Programme 43 2.3.3 ACCESS TO SANITATION On-site sanitation systems predominate over water-borne, sewerage connected sanitation in urban areas. On-site sanitation water-born systems comprise un-sewered family and public toilets, aqua privies and septic tanks. Tables 2.12 -2.16. Central Statistical Office (CSO) calculates coverage by asking people what the main type of toilet is used by members of a household (e.g. Flush toilet, pit latrine, buckets). Beyond definitional problems, CSO data is also a subject to errors of underestimation because “basic sanitation facilities” are not counted. There are different criteria behind CSO and sector data which leads to disparities in the coverage figures. TABLE 2.12: SUMMARY OF ACCESS TO SANITATION, 1990-2005 ACCORDING TO CSO 1990* 2000* 2005 POPULATION (‘000) COVERAGE (%) POPULATION (‘000) COVERAGE (%) POPULATION (‘000) COVERAGE (%) Zambia 7,759 23 9,886 13 11,563 23 Urban 2,949 54 3,433 33 4,025 41 Rural 4,810 5 6,452 4 7,538 13 * Coverage figures based on CSO definition of sanitary facility (i.e. Flush toilet or VIP latrine) The Baseline Study used broader definition of improved on-site sanitation as shown in Box 2.3 below. This definition drastically increases the coverage figures as can be seen in Table 2.13. Box 2.3 THE FOLLOWING TECHNOLOGY OPTIONS ARE CONSIDERED AS IMPROVED: Connection to an individual septic tank; Pour flush latrine; Ventilated improved pit latrine (VIP) Urine-diversion latrine Compost latrine Improved single-pit latrine (provided with structurally safe squatting plate and superstructure) Adapted from GLW, 2006, Assessment of required investments Status of The Urban Water Supply and Sanitation Sector National Urban Water Supply and Sanitation Programme 44 TABLE 2.13 SUMMARY OF ACCESS TO SANITATION IN PERI-URBAN AND LOW-COST AREAS ACCORDING TO BASELINE STUDY PROVINCE POPULATION WITH ACCESS TO A SANITATION FACILITY PERI-URBAN AREA % LOW-COST AREA % NORTHERN 94 99 LUAPULA 91 98 NORTH-WESTERN 92 95 COPPERBELT 80 94 CENTRAL 82 99 EASTERN 77 80 LUSAKA 84 95 WESTERN 73 96 SOUTHERN 52 82 ZAMBIA 80 93 Source: Aquatis Information System Note: The table includes all types of facilities – the study did not differentiate between improved and other facilities. By using the information in table 2.13 above and assuming 100 % coverage level in High-Cost and Medium- Cost areas the aggregate coverage in urban areas in Zambia can be estimated at 85 %. This coverage figure represents the service coverage all technology off-site and on-site options and the percentage of unsuitable facilities is not known. TABLE 2.14. DISTRIBUTION OF HOUSEHOLDS BY MAIN TYPE OF TOILET FACILITY IN URBAN AREAS, 2004 ACCORDING TO CSO OWN FLUSH TOILET COMMU- NAL FLUSH TOILET OWN PIT TOILET COMMU- NAL PIT TOILET OTHER NONE Low Cost 23.5 1.6 54.2 15.8 6.5 0.4 593,484 Medium Cost 61,6 2.0 30.9 3.3 1.8 0.2 143,394 High Cost 70.0 3.8 18.9 1.7 5.3 0.3 85,697 Urban Total 33.3 1.9 46.6 12.2 5.6 0.4 822,575 Adapted from CSO, 2005, Living Conditions Monitoring Survey Report 2004 RESIDENCE STRATUM TYPE OF TOILET FACILITIES, PERCENT NUMBER OF HOUSEHOLDS Status of The Urban Water Supply and Sanitation Sector National Urban Water Supply and Sanitation Programme 45 TABLE 2.15: SANITATION COVERAGE (BY SEWER NETWORK) COMMERCIAL UTILITY/LOCAL AUTHORITY TOTAL POPULATION IN SERVICE AREA SANITATION SERVICE COVERAGE, % NKANA WSC 685,420 52 LUSAKA WSC 1,831,408 19 KAFUBU WSC 633,656 59 SOUTHERN WSC 328,882 58 MULONGA WSC 436,249 71 LUKANGA WSC 365,869 27 WESTERN WSC 176,477 16 NORTH WESTERN WSC 223,817 22 CHAMBESHI WSC 275,474 32 EASTERN WSC 217,632 22 LUAPULA WSC 173,206 0 TOTAL/AVERAGE 5,348,090 35 Adapted from NWASCO Urban and Peri-Urban Water Supply and Sanitation Report 2009/2010 The Sanitation Pre-Feasibility Strategy Study for the NUWSSP (MLGH/ASCO, 2008) indicates that none of the towns have well-functioning reticulation and treatment works, 17 towns have partially functioning reticulation and treatment works, 23 towns have dilapidated reticulation and treatment works and 38 towns have no sewer network or treatment at all. FAECAL SLUDGE MANAGEMENT Faecal sludge management activities are present in Lusaka City and the Copperbelt Province where mechanized sewage treatment plants are in use allowing disposal of excreta from septic tanks. In the remaining parts of the country, most towns use stabilization pond systems to treat their sewage which are frequently not appropriate for disposal of faecal sludge. Even where faecal sludge management services are available, faecal sludge haulage and disposal is not effectively monitored. This suggests that most of faecal sludge collected from on-site sanitation systems in Zambia is likely discharged untreated into lanes, drainage ditches, open urban spaces, streams, etc, thereby posing great risks to water resources and public health. 2.3.4 ACCESS TO SOLID WASTE SERVICES Waste generated from all the sectors of the economy are currently not well management. It is estimated that about 10% on average of urban areas in Zambia are serviced by solid waste collection systems. Status of The Urban Water Supply and Sanitation Sector National Urban Water Supply and Sanitation Programme 46 The most common method used for disposing garbage in urban areas is pitting and dumping as can be seen in Table 2.16. TABLE 2.16. DISTRIBUTION OF HOUSEHOLDS BY TYPE OF GARBAGE DISPOSAL IN URBAN AREAS, 2004 REFUSE COLLECTED PIT DUMPING BURNING OTHER Low Cost 8.5 62.7 27.8 0.9 0.1 593,484 Medium Cost 12.2 71.3 16.0 0.3 0.2 143,394 High Cost 17.4 70.1 11.5 0.9 0.0 85,697 Urban Total 10.1 64.9 24.1 0.8 0.1 822,575 Adapted from CSO, 2005, Living Conditions Monitoring Survey Report 2004 2.3.5 DRAINAGE OF STORM WATER AND GREYWATER Deficient or non-existent drainage systems for storm water and greywater contribute substantially to the unhealthy living conditions in densely populated urban areas in all seasons. Due to a lack of statistical data the situation is not well known and has therefore not been addressed systematically. In the rainy season the unsafe conditions are exacerbated in particular in peri-urban areas as large areas are flooded, pit latrines collapse and wells become polluted. 2.3.6 OPERATION AND MAINTENANCE The operation and maintenance of the UWSS facilities is the responsibility of Commercial Utilities for approx. 92 %, Local Authorities for approx. 7 % and Private Providers for slightly over 1 % of the urban population. 2.3.6.1 O&M – WATER SUPPLY Table 2.17 to 2.20 below give an overview of the situation and challenges with regard to the operation and maintenance of water supply facilities. RESIDENCE STRATUM NUMBER OF HOUSEHOLDS Type of garbage disposal, percent Status of The Urban Water Supply and Sanitation Sector National Urban Water Supply and Sanitation Programme 47 TABLE 2.17 OVERVIEW OF KEY PERFORMANCE INDICATORS 2007/2008 COMMERCIAL UTILITY/ WSC WATER PRODUCTION MILLION M 3 /YEAR NO. OF CONNECTIONS PRODUCTION LITRE/CON- NECTION /DAY PER CAPITA PRODUCTION L/C/D 1) NUMBER OF TOWNS SERVED NO. OF EMPLOYEES NKANA 56.6 43,805 3,540 226 3 347 LUSAKA 95.0 73,240 3,554 142 4 777 KAFUBU 55.9 48,365 3,167 242 3 356 SOUTHERN 19.4 29,529 1,800 162 17 266 MULONGA 59.0 41,600 3,886 371 3 307 LUKANGA 22.0 1,360 4,197 165 6 187 WESTERN 7.6 9,775 2,130 118 6 109 NORTH WESTERN 3.6 6,882 1,433 44 7 91 CHAMBESHI 11.0 12,344 2,441 109 11 182 EASTERN 5.2 9,903 1,439 65 8 97 LUAPULA 2.8 3,993 1,921 44 7 56 TOTAL/AVERA GE 338 293,796 3,152 173 76 2,589 Adapted from NWASCO Urban and Peri-Urban Water Supply and Sanitation Report 2009/2010 1) Calculated as an average on total population in the service areas (i.e. incl. all without connection and those using standpipes/kiosks) TABLE 2.18 OVERVIEW OF KEY PERFORMANCE INDICATORS 2007/2008 COMMERCIAL UTILITY/ LA UNACCOUNTED FOR WATER % METERING RATIO % HOURS OF SUPPLY COLLECTION EFFICIENCY % O&M COVERAGE COLLECTION % NKANA WSC 42 58 16 77 106 LUSAKA WSC 48 52 17 80 92 KAFUBU WSC 45 45 16 73 104 SOUTHERN WSC 39 76 19 96 106 MULONGA WSC 42 55 17 93 136 LUKANGA WSC 48 77 19 84 71 WESTERN WSC 52 13 10 96 90 NORTH WESTERN WSC 34 100 23 103 85 CHAMBESHI WSC 46 38 16 79 69 EASTERN WSC 30 67 21 91 72 LUAPULA WSC 62 0 4 51 21 AVERAGE 44 (w) 55 (w) 16 (s) 86 (w) 106 (w) Adapted from NWASCO Urban and Peri-Urban Water Supply and Sanitation Report 2009/2010 (w), (s) weighted and simple averages respectively Status of The Urban Water Supply and Sanitation Sector National Urban Water Supply and Sanitation Programme 48 WATER CONSUMPTION Actual consumption figures in the Copperbelt is reported as 135 lcd in Low Cost, at 281 in Medium Cost and at 593 – 1,050 lcd in High Cost areas. (MLGH, 2001, Consumer assessment survey for water and sanitation in council townships). An analysis of the situation in Mongu and Mansa has given the consumption figures of 433 lcd and 747 lcd respectively for the population with house connections. (MLGH, 2004, Identification and preparation study of support to water supply and sanitation in peri-urban and low-cost areas, draft Report). Daily per capita consumptions at kiosks and public taps have been measured in seven towns chosen from five different provinces. The consumption varied from 3 to 16 lcd with an average of 10 lcd. (Source: GKW Consult, water consumption measurements, 1995-2003). TABLE 2.19: COST AND TARIFFS (HOUSE CONNECTIONS) 2009/2010 COMMERCIAL UTILITY COST OF OPERATION ZK BN. PROD. COSTS ZK/M 3 AVERAGE TARIFF ZK/M 3 WATER BILL OF 6 M 3 CHARGED WATER BILL OF 30 M 3 CHARGED WATER BILL OF 60 M 3 CHARGED NKANA WSC 46.5 822 1,795 7,800 48,700 107,700 LUSAKA WSC 96.4 1,015 2,085 10,800 58,800 124,800 KAFUBU WSC 36.7 657 2,442 10,818 67,860 146,520 SOUTHERN WSC 17.5 902 2,047 8,400 54,600 132,600 MULONGA WSC 39.7 673 1,727 8,242 47,280 103,620 LUKANGA WSC 11.1 505 1,967 7,200 51,000 126,000 WESTERN WSC 4.7 618 1,400 6,480 38,718 87,318 NORTH WESTERN WSC 9.7 2,694 4,086 12,300 97,640 241,790 CHAMBESHI WSC 5.8 527 2,200 8,400 54,000 144,000 EASTERN WSC 7.7 1481 2,359 10,140 71,600 164,600 LUAPULA WSC 3.7 1321 1,420 CU TOTAL 279.5 AVERAGE BILL 9,058 (s) 59,020(s) 137,895(s) AVERAGE ZK/M 3 827 (s) 2,139 (s) 1 1,510(s) 1,967(s) 2,298(s) Adapted from NWASCO Urban and Peri-Urban Water Supply and Sanitation Report 2009/2010 1) The UFW and collection efficiency are considered when setting the tariffs Status of The Urban Water Supply and Sanitation Sector National Urban Water Supply and Sanitation Programme 49 TABLE 2.20: TARIFFS (PUBLIC AND COMMUNAL CONNECTIONS) 2006/2007 NWASCO APPROVED UNDER CUS (ZMK) NOT NWASCO APPROVED AND OUTSIDE CU (ZMK) KIOSK (METERED) PER 20 LITRE BUCKET COMMUNAL (UN- METERED) FIXED CHARGE PER MONTH SINGLE TAP (UN-METERED) FIXED CHARGE PER MONTH WATER TRUST (METERED) PER 20 LITRE BUCKET NKANA 20 - - LUSAKA 8,000 50 KAFUBU 20 7,500 - SOUTHERN 20 6,000 – 9,000 12,000 – 21,000 for various districts - LUKANGA 20 50,000 - MULONGA 20 - 1,000 - WESTERN 18 12,000 - NORTH WESTERN 40 - - CHAMBESHI 20 - 4,000 to 10,500 for various districts - CHIPATA 26 - - TARIFFS Tariffs generally are suggested by the CUs/LAs and approved by NWASCO. Households in peri-urban areas using public taps pay substantially more per cubic meter than households with house connections: a study in Lusaka reported that people in peri-urban areas using public taps pay up to five times the rate paid by households in conventional areas. (Brockenhurst and Senke: Lusaka Water and Sewerage Company - Social Assessment, May 2004) From tables 2.19 and 2.20 above it can be concluded that the tariffs for using house connections are approximately 1,400 ZKW per cubic metre varying from 1,140 to 1,650 depending on the consumption level and for using kiosks it varies from 900 to 2,500 ZKW per cubic metre. Tariffs at un-metered simple taps are difficult to estimate but are likely to be lower - naturally depending on the consumption. WATER QUALITY The quality of the distributed water is not satisfactory and has to be improved by all providers. Monitoring in accordance with the Water Quality Guidelines (2005) is still to be implemented fully. However, the public health inspectors of Ministry of Health monitor the water quality periodically. (NWASCO, 2006) 2.3.6.2 O&M - SEWERAGE Data submitted by CUs and by NWASCO on sanitation is generally scanty and not disaggregated from the water supply. This reflects the low importance assigned to sanitation by the Service Providers. Information on effluent quality is scanty even where wastewater works are at least partly functioning like in Lusaka. Industrial wastewater containing metals and chemicals often receive no treatment. Overloading of COMMERCIAL UTILITY (CU) Status of The Urban Water Supply and Sanitation Sector National Urban Water Supply and Sanitation Programme 50 works receiving domestic wastewater, deficient facilities and poor operation and maintenance result in effluents whose pollution contents are far above the targets set by ECZ. The summary status of the sewerage systems is shown in Table 2.22. TABLE 2.22: SUMMARY OF STATUS OF SEWERAGE INFRASTRUCTURE NO STATUS OF SEWERAGE INFRASTRUCTURE TOWNS TOTAL POPULATION (2000) 1 Well-functioning reticulation and treatment Works None Nil Partially functioning reticulation and Treatment Works 17 1,379,540 Dilapidated reticulation and Treatment Works 23 1,835,390 No reticulation or Treatment 38 212,819 1 Note that only a small fraction of the population is connected to the sewerage system Source: ASCO, 2008, Sanitation Pre-Feasibility Strategy Study for the NUWSSP based on Aquatis database (2005), interviews with CUs and LAs and visits to towns (2008) and ASCO library 2.4 CROSS CUTTING ISSUES 2.4.1 GENDER STRATEGY Government recognises the importance of equal participation of both men and women in the development process and that this can only be achieved if gender issues are an integral dimension of the design, budgeting, implementation, monitoring and evaluation processes so that all can participate and benefit equally. In order to achieve this, Government adopted the national gender policy in 2000 and launched the strategic plan of action (2004 - 2008) in 2004. The outcome of the above mentioned reforms are critical in the water and sanitation service delivery and will guide the programme to ensure that gender equality is achieved in other spheres of life. 2.4.2 HIV AND AIDS STRATEGY HIV/AIDS is one of the worst crises facing Zambia today. According to UNAIDS (2002) in Zambia there are 1,250,000 people living with HIV/AIDS, of which approximately 1,000,000 are adults (15-49 years) and about 250,000 children (1-14 years). Heightened illness and deaths arising from HIV/AIDS have dire consequences on household income and enormous consequences for the Zambian economy. HIV/AIDS affect the delivery and quality of water supply services in three key areas. Firstly HIV/AIDS patients require a higher service level, a higher quantity of water to ensure the hygienic standards and minimize the risks of infections with water borne diseases; this impacts water demand and cost of providing services. Secondly, caregivers (these are mostly women and children - for drawing water) have to spend disproportionate amount of time in health support, which ultimately deprives the caregivers of Status of The Urban Water Supply and Sanitation Sector National Urban Water Supply and Sanitation Programme 51 gainful or productive use of their time. Lastly loss of educated and trained workers due to increased sicknesses and premature retirement negatively impact labour productivity whether in an employment situation or otherwise. 2.4.3 ENVIRONMENTAL CONSIDERATIONS Environmental degradation has reached alarming proportions in many parts of the country. The country’s forests are under tremendous pressure, with wood harvesting for fuel and timber and the clearance for agriculture and human settlement being some of the primary causes. In the last decade, environmental degradation, especially deforestation, has become particularly severe and threatens sustainable economic growth and sustainability of the water resource. Deforestation also degrades water catchments thus reducing base flows during the dry season and lowering water tables which impacts on surface water sources, and yields of wells and boreholes. In addition there are problems with untreated wastewater and greywater from urban and peri-urban areas polluting water courses and groundwater aquifers. Poor environmental sanitation contributes to the prevalence of malaria and diarrhoea. 2.4.4 GOOD GOVERNANCE STRATEGY It is stated in the FNDP that: “the concept of ‘governance’ cuts across the entire spectrum of both Government and non-Government delivery systems. It is essential that the Government provides good systems of governance which will create the conditions for markets to function; facilitate the efficient and effective delivery of basic services; ensure civil society participates in decision-making processes; and, ultimately, maximise the welfare of Zambian communities and individuals.” Furthermore, “bad governance imposes a particular burden on the poor and throws them deeper into poverty and that poverty constrains the poor from participating in the development process, leading to weak governance of institutions”. 2.4.5 CLIMATE CHANGE Africa is one of the most vulnerable continents to climate change and climate variability and its major economic sectors are vulnerable to current climate sensitivity, with potential huge economic impacts. This vulnerability is exacerbated by existing developmental challenges such as endemic poverty, complex governance and institutional dimensions; limited access to capital, including markets, infrastructure and technology; ecosystem degradation; and complex disasters and conflicts. Farmers have developed several adaptation options to cope with current climate variability, but such adaptations may not be sufficient for future changes of climate. Changes in a variety of ecosystems are already being detected, particularly in southern African ecosystems, at a faster rate than anticipated .9.1 Zambia lies in a zone that has experienced an increase of mean temperature of 1 – 2 oC between 1974 and 2004, (IPPC, 2007, Working Group II Report "Impacts, Adaptation and Vulnerability") and is situated where the temperature may increase by 3 – 4 oC by the end of the century. This may affect urban water supply and sanitation through changed economic development, socio- economic conditions, water resources, rainfall patterns and public health. Status of The Urban Water Supply and Sanitation Sector National Urban Water Supply and Sanitation Programme 52 2.4.6 DONOR INVOLVEMENT, CO-ORDINATION AND FINANCIAL ARRANGEMENTS The cooperating development partners (CPs) supporting the water sector have established an informal forum aimed at enhancing cooperation and coordination of policies, strategies and approaches in support of WSS development. The forum has facilitated closer cooperation among the CPs including the move towards a SWAp. Issues of aid coordination and harmonization, as well as joint financing support are under active discussion in the forum. The principle of Lead Partner for the sector is in operation and the lead CP is the focal point of CPs’ policy dialogue with Government. Presently the Lead Partner for the WSS sector is Danida and Germany for water resources management. The Lead CP is elected by the CPs for a two year period. A joint Government-CP coordination mechanism for WSS is developing though not yet fully established. However budget cycles, financial systems, monitoring, and reporting are still done on a programme by programme basis. The Government together with the CPs is developing the Joint Assistance Strategy Zambia (JASZ) as a framework for a coordinated approach to support the country’s development including the water sector. Until then, aid coordination and harmonisation are done on an ad hoc basis. An overview of donor involvement in the water sector as a whole in Zambia is shown in Table 2.24. Status of The Urban Water Supply and Sanitation Sector National Urban Water Supply and Sanitation Programme 53 TABLE 2.24. OVERALL DONOR INVOLVEMENT IN THE WATER SECTOR IN ZAMBIA DONOR TYPE OF SUPPORT WORLD BANK Formerly supported the water sector reform process, the Bank is in the process of formulating a Water Sector Reform Project planned to comprise support for sector wide policy making capacity in MEWD and MLGH. Specific support to Lusaka Water and Sewerage Company is under formulation. AFRICA DEVELOPMENT BANK Supporting the Central Province Rural Water Supply and Sanitation Project. Outputs include construction or rehabilitation of boreholes; sanitation support; health education; catchment protection; community mobilisation and training; and institutional support. GERMANY/GTZ Primarily provided support to the water sector reform process. Has continued to supply advisory services to NWASCO and DTF under MEWD. Also supports urban, Peri urban through commercial utilities and rural water supply and sanitation. Continues to support the Water Resources Action Program. GERMANY/KFW Supports Rural Water Supply Projects in Eastern and North Western Provinces. Physical targets include borehole construction and rehabilitation, establishment of O&M systems at local and district levels, and capacity building of WASHE committees. IRELAND/ DCI Supported the water sector reform process and currently funding the Water Resources Action Program. Continues to provide support to Northern Province Rural Water Supply and Sanitation Programme. Support is comprised of construction and rehabilitation of RWS infrastructure; provision of household, school, and health centre sanitation; health and hygiene education; capacity building of WASHE committees at all levels. UNICEF Primarily provided support to the water sector reform process particularly in promulgating the WASHE concept. Continues to provide support to Community WASHE and the School Sanitation and Hygiene Education projects in schools and communities in selected districts of Southern and Eastern provinces. JICA Supporting Groundwater Development and Sanitation Improvement in Northern Province, construction of boreholes; hygiene and health promotion; community management. Establishing maintenance systems in two districts of Southern and Central provinces. EU - WATER INITIATIVE FOR AFRICA Seeks to improve coordination and make efficient use of donor support both at national and international levels, latter being important for river basin issues. Ref: GRZ / Government of Denmark, 2005. Water Sector Programme Support, Sector Programme Support Document, Final, October 2005 Status of The Urban Water Supply and Sanitation Sector National Urban Water Supply and Sanitation Programme 54 TABLE 2.25 SHOWS EXTERNAL SUPPORT SPECIFICALLY FOR UWSS. TABLE 2.25 CORPORATING PARTNERS INVOLVEMENTS IN SUPPORT TO UWSS PROVINCE CU OR COMMUNITIES WITHIN LICENSED AREA MAJOR EXTERNAL SUPPORT DURING PAST FIVE YEARS MINOR EXTERNAL SUPPORT DURING PAST FIVE YEARS NGOS AND OTHERS INVOLVEMENT LUSAKA Lusaka WSC WB/ JICA WB/ JICA CARE COPPERBELT Nkana WSC ADB/ WB* DCI, Danida COPPERBELT Mulonga WSC - Danida COPPERBELT Kafubu WSC - GTZ, Danida CARE SOUTHERN Southern WSC KfW KfW WESTERN Western WSC Danida Danida NORTH WESTERN North Western WSC KfW KfW NORTHERN Chambeshi WSC DCI DCI EASTERN Eastern WSC KfW KfW CENTRAL Lukanga WSC ADB ADB LUAPULA Luapula WSC Danida/ BADEA ZAMSIF * World Bank support to mine townships on the Copperbelt through AHC – MSS which was phase out and absorbed by Nkana Water and Sewerage Company in 2006 2.6 SECTOR FINANCING 2.6.1 HISTORIC INVESTMENTS AND BUDGETS The official total national and the urban water supply and sanitation budgets and expenditures 1997 to 2007 are shown in Table 2.26 to 2.29. Status of The Urban Water Supply and Sanitation Sector National Urban Water Supply and Sanitation Programme 55 TABLE 2.26 GRAND TOTAL AND URBAN WATER SUPPLIES AND SANITATION BUDGET YEAR TOTAL COUNTRY AND UWSS ZAMBIA GRAND TOTAL AUTHORIZED PROVISION (US$) UWSS TOTAL AUTHORIZED PROVISION (US$) UWSS AUTHORISED PROVISION AGAINST GRAND TOTAL AUTHORISED PROVISION 1997 406,240,513 8,601,681 2.12% 1998 492,458,898 11,557,250 2.35% 1999 625,374,062 12,416,550 1.99% 2000 817,638,431 8,891,222 1.09% 2001 1,356,406,755 56,147,605 4.14% 2002 1,531,603,336 33,152,285 2.16% 2003 1,949,799,275 38,692,833 1.98% 2004 2,293,489,555 60,609,895 2.64% 2005 2,695,347,852 107,175,813 3.98% 2006 2,711,333,418 25,316,683 0.93% 2007 3,172,281,840 67,063,431 2.11% Ten year totals 18,051,973,934 429,625,248 2.38% US$1.00 = ZMK 4,000 (Adapted from MNFP Budget Reports 1997 to 2007) TABLE 2.27 GRAND TOTAL AND URBAN WATER SUPPLY AND SANITATION EXPENDITURES YEAR TOTAL COUNTRY URBAN WATER SUPPLY AND SANITATION GRAND TOTAL ACTUAL EXPENDITURE (US$) WSS TOTAL ACTUAL EXPENDITURE (US$) % TOTAL ACTUAL EXPENDITURE AGAINST GRAND TOTAL ACTUAL EXPENDITURE 1997 282,097,687 12,425 0.00% 1998 279,109,963 828,877 0.30% 1999 282,097,554 595,227 0.21% 2000 464,792,643 1,628,790 0.35% 2001 669,099,585 8,670,549 1.30% 2002 817,314,560 2,331,365 0.29% 2003 1,188,763,558 1,950,556 0.16% 2004 1,497,025,305 1,931,988 0.13% 2005 1,816,713,612 2,121,179 0.12% 2006 1,932,364,822 1,522,277 0.08% 2007 2,449,677,850 14,355,483 0.59% Ten year totals 11,679,057,139 35,948,717 0.31% US$1.00 = ZMK 4,000 (Adapted from MNFP Budget Reports 1997 to 2007) Status of The Urban Water Supply and Sanitation Sector National Urban Water Supply and Sanitation Programme 56 2.6.2 THE NATIONAL DEVELOPMENT PLAN The primary source of information on the planned investments in UWSS has been the 5 Fifth National Development Plan 2006-2010 (FNDP). Figures from the plan have been abstracted and are shown in Table 2.30. The Sixth National Development Plan (SNDP) for the period 2011-2015 is under preparation. TABLE 2.30 PROVISIONS FOR WSS IN THE FIFTH NATIONAL DEVELOPMENT PLAN (FNDP) 2006-2010 TOTAL REQ'D GRZ CPS % CPS ZK BN ZK BN ZK BN Rural water & sanitation 292.6 25.2 267.4 91% Urban water supply & sanitation 247.6 26.2 221.4 89% Peri-urban water supply & sanitation 644.3 16.2 628.1 97% National solid waste management 23.9 11.5 12.4 52% Sub-total 1,208.4 79.1 1,129.3 93% O&M of water schemes 19.4 19.4 Total water and sanitation 1,227.8 98.5 1,129.3 92% Total 'core costs' in terms of FNDP 38,645.4 25,177.3 13,468.1 35% Total national expenditure 62,623.2 48,442.8 11,198.3 18% Notes: 1. CP stands for ‘Cooperating Partners’, the international support to the various programmes (donors) 2. The ‘Core costs’ in terms of the FNDP are those which are focused on development programmes. 2.6.3 NATIONAL ESTIMATES FNDP provisions should be carried forward in the Medium Term Expenditure Framework (MTEF) and the National Estimates. A comparison between the FNDP figures, the National Estimates and the requirement under this Programme is shown in Table 2.31. Historically there has been limited commitment to this budget and departments could not be sure they would receive the funds indicated. However, efforts to improve the national budgeting arrangements and improve commitment to the ‘estimates’ are bearing some fruit. TABLE 2.31 COMPARISONS BETWEEN FNDP FIGURES AND THE NATIONAL ESTIMATES FNDP AVERAGE EXPENDITURE ON UWSS PER YEAR 187.0 ZK bn 2008 national estimates for UWSS i - Operating expenditure (ministration, campaigns, retrenchment ) 4.9 ZK bn - Rehabilitation and development WSS 315.4 ZK bn - Solid waste management 8.9 ZK bn - Drainage 0.8 ZK bn Total 330.0 ZK bn i) Adapted from MLGH 2008 budget head 20 and 29 Status of The Urban Water Supply and Sanitation Sector National Urban Water Supply and Sanitation Programme 57 2.6.4 ESTIMATES BY THE CUS The CUs have recently (2010) submitted to MLGH estimates of their investment needs. The aggregated amount is approximately ZKW 1,200 billion per year. For further details see Chapter 12. 2.7.1 KEY SECTOR ISSUES From the foregoing background data and analysis, the following are the key UWSS sub-sector issues and challenges: Box 2.6: Key Sector issues 1. The majority of Zambia’s urban population has access to safe drinking water supply but the service level is low in particular in low-cost residential areas. 86 % benefit to some extent from improved water supply but only 44 % have access to what can be considered as basic service level. 2. Low levels of access to adequate sanitation estimated at only 41% of the urban population. Only 35 % live in areas with sewer systems, while the majority only has access to unimproved pit latrines. This situation is due, to a large degree, to lack of emphasis on sanitations by all sector players. 3. Lack of sector investment plans, whether at scheme or national levels have hampered the development. It has resulted in only very limited extension of services and in extremely inequitable service provision over the last decades. 4. Deficient operation and maintenance systems due to inadequate financial and personnel resources leading to the deterioration of infrastructure, high water losses and low service levels. 5. Low financial sustainability of UWSS at local level. Local level financial resources are, in most cases, unable to cover any preventive maintenance and development costs. 6. Inadequate technical, financial, and institutional capacities at local authorities level to support planning, implementation and maintenance of urban WSS facilities. Overall Vision and Strategic Approach National Urban Water Supply and Sanitation Programme 58 Typical Town the NUWSSP aims to improve livelihood and public health through holistic and integrated provision of WSS - Overview of Kapiri Mposhi CHAPTER THREE OVERALL VISION AND STRATEGIC APPROACH 3.1 HOLISTIC AND INTEGRATED APPROACH The approach shall be holistic and integrated. The programme aims at improved livelihood and public health for the urban population in Zambia. Hence, it encompasses provision of water supply and sanitation in a broad sense including off and on-site facilities as well as solid waste management and drainage which all are indispensable components for creating a robust sustainable service system. 3.2 VISION 2030 The National Long Term Vision 2030 (Vision 2030) is for Zambia to become “A Prosperous Middle Income Nation by 2030”. Overall Vision and Strategic Approach National Urban Water Supply and Sanitation Programme 59 Among the many sector visions and targets set out in Vision 2030 the following concern water and sanitation in urban and peri-urban areas directly: Improved access to appropriate environmentally friendly sanitation by all Zambians Attainment of 80 percent access to clean water supply to all by 2015 and 100 percent by 2030. Attainment of 68 percent access to sanitation to all by 2015 and 90 percent by 2030. Fully integrated and sustainable water resource management. Rehabilitation, reconstruction of sewage treatment facilities in all major town and cities. 80 percent of waste collected and transported. 90 percent of polluting industrial facilities comply with environmental legislation 80 percent of unplanned settlements upgraded and the residents have access to clean drinking water and sanitation facilities. Reduce the under-five mortality rate from the current 168 to 50 per 1,000 live births by 2030. 3.3 THE NATIONAL WATER POLICY (2010) The vision of the NWP is: “to optimally harness water resources for the efficient and sustainable utilisation of this natural resource to enhance economic productivity and reduce poverty.” The Policy recognises and is based on the following guiding principles: i. Water is a basic human need; ii. Government shall be the trustee of the nation’s water resources and will ensure that water is allocated equitably, protected, used, developed, conserved, managed and controlled in a sustainable and equitable manner, in the public interest while promoting environmental and social values and protecting Zambia’s territorial sovereignty; iii. Water resources shall be managed in an integrated manner; iv. There shall be equitable access to water; v. Water has a social value and all domestic and non-commercial use of water will not be required to obtain a water permit; vi. Water has an economic value and the cost of facilitating its use has a significant administrative cost element and this will be reflected in the fees for water permits for the use of water resources for economic purposes; vii. There shall be equity in accessing water resources and, in particular, women shall be empowered and fully participate in issues and decisions relating to sustainable development of water resources and, specifically, in the use of water; viii. Efforts to create wealth shall be reflected in all decisions made in relation to the use of water; Overall Vision and Strategic Approach National Urban Water Supply and Sanitation Programme 60 ix. Location of water resources on land shall not itself confer preferential rights to use it; x. The basic management unit shall be the catchment in recognition of the unity of the hydrological cycle xi. Zambia’s water resources shall be managed to promote sustainable development and protect its territorial sovereignty. 3.4 MILLENNIUM DEVELOPMENT GOALS Goal 7 of the MDGs is to ensure environmental sustainability. Target 10 under Goal 7 is directly aimed at water supply and sanitation: “Halve, by 2015, the proportion of people without sustainable access to safe drinking water and basic sanitation” 3.5 DECENTRALISATION The National Decentralisation Policy, developed in 2002 and launched formally in August 2004, aims at decentralising government responsibilities and functions to lower level government through “devolution”. The Decentralisation Policy reaffirms the local authorities as the institutions responsible for water supply and sanitation. The formulation and implementation of NUWSSP will adhere to the principles of and benefit from the decentralisation which is envisaged to improve programme implementation and service delivery at the local level. 3.6 SECTOR-WIDE APPROACH NUWSSP shall represent a move towards a sector-wide approach (SWAp). It follows recognition of the disadvantages of implementing development activities through discrete projects, and the problems associated with co-ordinating a sector that is heavily dependent on external support. Previous activities were generally donor-driven, and were often piecemeal, with approaches varying depending on the actors involved. This caused duplication, inappropriate sequencing, and led to inefficiencies in the government system, thus reducing the benefits of investments and decreasing the sustainability of the water and sanitation services provided. The SWAp concept involves a change in the way the sector operates, and in the relationship between government and its development partners. There are two key elements to SWAp: the replacement of current project based approaches with comprehensive sector-wide programmes; and a move to co-ordinated funding of water and sanitation provision through government budgets. SWAp will require strong leadership from the government, and a high level of trust by its development partners. The development partners need to support the NUWSSP actively and flexibly. They should adapt their sector policies to the NUWSSP and support its implementation. SWAp can be summarised as “pooling of resources to support a single sector policy and expenditure programme, under government leadership, by adopting common approaches across the sector and progressing towards relying on government procedures to disburse and account for funds.” Progress in Overall Vision and Strategic Approach National Urban Water Supply and Sanitation Programme 61 these areas will reduce the administrative load on the Zambian administration and diminish the transaction costs of aid. 3.7 PROJECT SELECTION STRATEGY The following strategic approach will be used for selecting projects and activities for implementation under NUWSSP: The Service Provider shall identify development or any other activities requiring financial support under the NUWSSP. The Service Provider shall prepare and submit proposals for financial support to a NUWSSP management organisation. Proposals can cover one or several of the following activities and be phased as appropriate: Capacity building (HRD and/or organisational development) Investigations Master plan/Feasibility/Preliminary Design studies Detailed Design and Tender Documents Civil, Mechanical and Electric Works Project Management Any other activity in line with the NUWSSP Proposals prepared by the Service Providers shall be complete and of high professional quality so that they can be evaluated, prioritised and approved without further investigations. Only proposals with detailed cost estimates shall be considered. Transparent and objective criteria shall be used to evaluate and prioritise proposals. Water Supply Development Programme National Urban Water Supply and Sanitation Programme 62 Typical Water Supply Development – Contracted Chongwe Water Treatment Plant, Lusaka Water CHAPTER FOUR WATER SUPPLY DEVELOPMENT PROGRAMME Development of urban water supply during the period 2011 to 2030 is planned in accordance with the principles outlined in this chapter. 4.1 POLICY, OBJECTIVES AND STRATEGY An overview of the relevant policy documents and the legislation has been given in Chapter 2 and 3. Consolidation of policies, legislation, present status and key sector issues with regard to urban water supply and sanitation result in the following synthesis: 4.1.1 POLICY To enable all urban residents, commerce, institutions and industry to have access to water and utilise it in an efficient and sustainable manner for wealth creation, well-being and improved livelihood by 2030. Water Supply Development Programme National Urban Water Supply and Sanitation Programme 63 4.1.2 OBJECTIVES To provide adequate, safe and cost-effective water supply services to all areas by 2030 with due regard to environmental protection. To charge a reasonable amount for use of water ensuring that it supports the effective management of water so that its utilisation is sustainable and equitable. To manage water resources and water supply facilities so as to reduce the incidence of water and vector-borne diseases and parasitic infestations. To promote legal and institutional framework capacity enhancement. To implement measures which enhance mainstreaming of cross-cutting issues. 4.1.3 STRATEGY Development and provision of sustainable water service to more people in coreurban and peri-urban areas through: Policy Measures Promotion of a holistic approach to improve the health, wellbeing and livelihood of the urban population through the co-ordination of water supply, sanitation, solid waste management and drainage development activities. Support to the national UWSS development that focuses on enhancing institutional capacities, policy, and legal frameworks, information management for planning and development at national, provincial, and district levels. Promotion of the generation of revenue by adequate pricing of water on the concept of cost recovery for the effective management and development of water supply infrastructure. Commercialisation, private sector participation and independent regulation. Undertaking, supporting and promoting joint revenue collection for water, sanitation and drainage. Promotion of effective water quality monitoring programmes based on enforceable water quality guidelines and standards. Development of sector investment plans at scheme and national levels to promote financial sustainability, extension of services and equitable service provision. Harmonising coverage concepts, and minimum and desired service levels. Upgrading of 80 percent of unplanned urban settlements by 2030 to facilitate provision of adequate water supply there. Water Supply Development Programme National Urban Water Supply and Sanitation Programme 64 Planning Measures Improved co-ordination between Service Providers and Planning Authorities regarding residential and commercial land development. Mapping water supply system through topographical survey and inventory of pipelines and other facilities. Developing water supply master plans for districts and towns. Developing contingency master plans for droughts and floods. Conducting adequate feasibility studies before undertaking works. Protection of underground and surface water sources. Support to investment programmes that aim at increasing access to safe, adequate water supply to 80 percent of the urban and peri urban populations by 2015. Management Measures Expansion of the system of regulation by incentives to boost CU management performance. Promotion of community ownership and participation. Education of key stakeholders on water supply and sanitation issues. Promotion of measures to improve the costumer/provider relation and the user influence through Water Watch Groups and Part Time Inspectors. Incorporation of provisions for environmental assessment, biological diversity impact assessment and management in all water development activities. Strengthening coordination and management of environmental health at all levels of care. Controlling the water demand through demand management. Progressive water tariffs and measures to improve the collection efficiency. Introducing penalties that will encourage the timely payment of the tariffs. Improvement of operation and maintenance systems by increasing financial and management resources. Promotion of the use of expertise to assist CUs and local authorities to improve management, planning, implementation and operation of urban WSS facilities. Infrastructure Development Measures Emergency measures to be undertaken between 2011 and 2015 in all existing urban systems to maintain coverage and improve the service level in already covered areas. Support to measures to reduce non-revenue water and increasing the metering ratio. Expansion of the coverage in all urban systems and provide at least minimum service level in all parts of the licensed service areas between 2011 and 2015. Water Supply Development Programme National Urban Water Supply and Sanitation Programme 65 Development of additional sources, transmission systems and water treatment facilities. Encouraging the development of new water-efficient technologies and industrial processes that bear on the cost of water and encourage water conservation and improved water quality. 4.2 WATER RESOURCE MANAGEMENT The water resource issues in Zambia are covered in “The Integrated Water Resource Management and Water Efficiency Implementation Plan” and in “The National Water Policy” The following strategy issues have special relevance to urban water supply and sanitation: Subject large water resources development projects such as dams, rain harvesting schemes, water intake points, river diversions, pumping stations, water well drilling, groundwater abstraction and use and inter-basin water transfer to an environmental impact assessment; Establish a comprehensive legal, institutional and regulatory framework for effective management of the country’s water resources in an equitable and sustainable manner with strong stakeholder participation by undertaking an integrated water resource management (IWRM) system approach; Establish a water resources management information system and monitoring network including information dissemination mechanism; Develop water allocation plans with the participation of local communities; 4.3 WATER SUPPLY SYSTEM DEVELOPMENT STANDARDS 4.3.1 POPULATION PROJECTION Population projections shall be derived from the Central Statistics Office projection using the populations enumerated during the 1980, 1990, 2000 and 2010 censuses and future censuses considering other complementary studies such as the Baseline Study (2004) and detailed project studies. 4.3.1.1 COUNTRY AND PROVINCIAL POPULATIONS Published country and provincial populations and the CSO projections (the most likely scenario medium with AIDS as adopted by the FNDP) are summarized in table 4.1. Water Supply Development Programme National Urban Water Supply and Sanitation Programme 66 TABLE 4.1 CSO PROJECTIONS UP TO 2030, SHOWING ALL ZAMBIA, ZAMBIA URBAN AND PROVINCIAL - URBAN POPULATIONS. PROJECTIONS BASED ON MEDIUM VARIANT WITH AIDS POPULATION 2000 2001 2002 2003 2004 2005 2006 2007 ALL ZAMBIA 9,791,981 10,089,492 10,409,441 10,744380 11,089,691 11,441,461 11,798,678 12,160,516 ZAMBIA URBAN 3,432,805 3,518,301 3,616,126 3,719,385 3,824,465 3,928,042 4,029,517 4,126,114 CENTRAL PROVINCE 238,449 244,545 251,550 258,993 266,645 274,294 281,910 289,306 COPPERBELT PROVINCE 1,254,935 1,292,149 1,331,803 1,372,225 1,412,864 1,453,135 1,492,924 1,531,661 EASTERN PROVINCE 115,457 118,447 121,759 125,300 129,022 132,806 136,704 140,698 LUAPULA PROVINCE 118,791 122,380 126,192 130,090 134,113 138,099 142,064 145,943 LUSAKA PROVINCE 1,120,428 1,148,520 1,179,875 1,212,061 1,244,187 1,275,314 1,305,210 1,333,082 NORTHERN PROVINCE 169,713 174,086 179,238 184,841 190,657 196,519 202,361 208,051 NORTH- WESTERN PROVINCE 76,892 79,285 81,894 84,624 87,343 90,066 92,764 95,395 SOUTHERN PROVINCE 252,702 259,264 266,641 274,382 282,250 290,040 297,690 305,025 WESTERN PROVINCE 84,576 86,013 87,901 90,017 92,222 94,396 96,499 98,432 Water Supply Development Programme National Urban Water Supply and Sanitation Programme 67 TABLE 4.1:1 CSO PROJECTIONS, SHOWING ALL ZAMBIA, ZAMBIA URBAN AND PROVINCIAL - URBAN POPULATIONS. PROJECTIONS BASED ON MEDIUM VARIANT WITH AIDS POPULATION 2008 2009 2010 2015 2020 2025 EXTRAPOLATED 2030 ALL ZAMBIA 12,525,791 12,896,830 13,272,553 15,302,680 17,626,252 20,347,348 23,488,520 ZAMBIA URBAN 4,217,295 4,303,864 4,386,736 4,770,054 5,120,667 5,477,886 5,860,025 CENTRAL PROVINCE 296,463 303,412 310,113 342,547 373,753 406,626 442,390 COPPERBELT PROVINCE 1,516,157 1,605,369 1,641,364 1,804,447 1,954,961 2,105,765 2,268,202 EASTERN PROVINCE 144,693 148,803 153,037 176,139 203,362 235,441 272,580 LUAPULA PROVINCE 149,718 153,488 157,109 174,113 190,326 207,250 225,679 LUSAKA PROVINCE 1,358,901 1,382,726 1,404,412 1,501,299 1,586,218 1,668,156 1,754,327 NORTHERN PROVINCE 213,568 218,941 224,148 249,956 275,783 303,870 334,818 NORTH- WESTERN PROVINCE 97,947 100,425 102,821 114,415 125,296 136,226 148,109 SOUTHERN PROVINCE 312,021 318,696 325,007 354,222 379,025 403,560 429,683 WESTERN PROVINCE 100,207 101,833 103,301 109,577 114,565 119,558 124,769 4.3.1.2 TOWN AND PROJECT AREA POPULATIONS Town and project area population projections shall be determined in the recommended steps as follows: 1. Obtain map/s of town/s or project area/s indicating district boundaries, ward boundaries, roads, and other key features from the Ministry of Lands or Local Authority. 2. Define or indicate on this map licensed area of operation. 3. Identify areas of overlap between rural and peri-urban areas using baseline study results. Clarify roles and assign responsibility for all areas as appropriate to the area characteristics. 4. At this stage a clear demarcation between rural and urban should be established. Water Supply Development Programme National Urban Water Supply and Sanitation Programme 68 5. Undertake representative field surveys to establish status of development, indicative developments (that will affect the immediate and medium term), area average house hold sizes and numbers (where possible), water uses and any other information considered important. 6. Using CSO latest report, in this instance 2000 report, the baseline study and the field results as a basis, estimate populations in each area. 7. These population projections obtained shall be used in the determination of water and sanitation requirements. 4.3.2 WATER CONSUMPTION The Zambia Standard ZS 361:1997, “Zambia Standard for Water Supply Systems – Consumption figures for design – Guidelines” published on 30th April, 1997. 4.3.2.1 DOMESTIC According to Zambia Bureau of Standards (ZBS), ZS 361:1997, domestic water demand is dependent upon the cost classification of housing. Housing categories in Zambia are generally classified as 'high cost', 'Medium cost', 'Low cost' and 'Informal Housing'. TABLE 4.2: UNIT CONSUMPTION FIGURES FOR HIGHLY DEVELOPED PROVINCES CATEGORY UNIT CONSUMPTION (L/C/D) ZBS ZS61:1997 LUSAKA WATER PHASE II PROJECT, 1998, BY GIBB CONSULTANTS COPPERBELT CONSUMER ASSESSMENT SURVEY FOR W &S IN COUNCIL TOWNSHIPS: PHASE 1 (2001) SUMMARY REPORT, WORLD BANK RECOMMENDED FOR NUWSSP High Cost Housing 280 280 593 (1,503*) 280 Medium Cost Housing 150 150 281 150 Low Cost Housing 100 100 135 100 Informal Housing 40 40 Not available 40 *Higher figure includes an extreme case. 1. High and Medium Cost Housing based on main house occupants excluding servant’s quarters. 2. For servants quarters, allow for 6 persons at 100 l/c/d, or 600 litres per dwelling per day. Water Supply Development Programme National Urban Water Supply and Sanitation Programme 69 TABLE 4.3: UNIT CONSUMPTION FIGURES FOR LOW DEVELOPED PROVINCES CATEGORY UNIT CONSUMPTION (L/C/D) ZAMBIA BUREAU OF STANDARDS ZS 361:1997 DESIGN CRITERIA FOR SOUTHERN PROVINCE BY GKW CONSULTANTS RECOMMENDED FOR NUWSSP High Cost Housing 280 190 190 Medium Cost Housing 150 135 135 Low Cost Housing 100 100 100 Informal Housing 40 30 30 1. High and Medium Cost Housing based on main house occupants excluding servant’s quarters. 2. For servants quarters, allow for 6 persons at 100 l/c/d, or 600 litres per dwelling per day. 4.3.2.2 EDUCATION INSTITUTIONS Unit consumption figures shall be based on ZS 361:1997. 4.3.2.3 HEALTH INSTITUTIONS Unit consumption figures shall be based on ZS 361:1997. 4.3.2.4 WATER DEMAND FOR HOTELS AND RECREATIONAL FACILITIES Unit consumption figures shall be based on ZS 361:1997. 4.3.2.5 OFFICE, INDUSTRIAL, COMMERCIAL, AND ADMINISTRATIVE WATER USES Unit consumption figures shall be based on ZS 361:1997. 4.3.2.6 PEAK DAY DEMAND Peak day demand by consumers shall normally be calculated as 1.1 times the average day demand. 4.3.2.7 FIRE-FIGHTING REQUIREMENTS The design of the system for fire fighting for individual towns should be done in consultation with the local fire fighting authorities. Water Supply Development Programme National Urban Water Supply and Sanitation Programme 70 4.3.2.8 WATER QUALITY STANDARDS Guidelines for Water Quality Standards of biological, physical and chemical quality applicable to water supplies have been developed by World Health Organisation (WHO). Zambia Bureau of Standards has also issued standards. The following criteria should be used: TABLE.4.8 WATER QUALITY STANDARDS PARAMETER CRITERIA LIMIT TASTE Unobjectionable to most consumers ODOUR Unobjectionable to most consumers COLOUR Unobjectionable to most consumers TOTAL HARDNESS Generally less than 500mgl PH Less than 8 prior to disinfection NITRATE 10mgl as N NITRITE 0.9mgl as N FLUORIDE 1.5mgl IRON 1.0mgl MANGANESE 0.2mgl FAECAL COLIFORMS 0 in any 100ml sample TOTAL COLIFORMS 10 in any 100ml sample Regarding other inorganic chemicals, organic chemicals and pesticides drinking water quality should comply with WHO guidelines. 4.4 WATER SUPPLY DISTRIBUTION STANDARDS In the long run, all consumers in the service area of a provider are to be serviced with an appropriate type of safe water supply (at least a water kiosk). Providers have to consider this obligation and have to take steps in order to fulfil this requirement. 4.4.1 INDIVIDUAL CONNECTIONS Individual connections (IC) will be provided for all residential houses, institutions, commercial establishments and industry after request by the proprietor when technically and economically feasible. ICs will be encouraged in all urban areas and all ICs shall be metered. Water Supply Development Programme National Urban Water Supply and Sanitation Programme 71 4.4.2 COMMUNAL TAPS Communal taps are installations where access is restricted to a defined user group, which shares the cost, but are not open to the public 4.4.3 PUBLIC TAPS A public tap can be defined as an outlet structure with one or more taps which is open to the public. Public taps differ in the way they are organised, managed and operated. Kiosk: it is accessible to all, in general users pay according to consumption and is operated by a vendor selling water on behalf of the service provider. Public stand pipe: it is accessible to all, in most cases water can be fetched free of charge or users pay a fixed contribution. 4.4.4 POINT SUPPLY Service providers for urban water supply will not cover hand pumps, which are not considered to be an appropriate technology for urban and peri-urban settings. Hand pumps found in such areas will be replaced by a network based system and are not to be considered for coverage. 4.5 SERVICE DELIVERY STANDARDS The Water Supply and Sanitation Act No. 28 of 1997 (5.12 vi – A) requires providers to ensure efficient, affordable and sustainable water supply and sanitation services within the service areas. This implies that the providers must guarantee a certain and defined level of services to the customer for a specified price therefore ensuring value for money. The Regulator has developed service indicators with time-bound benchmarks to be adhered to by the licensed providers (NWASCO, Guidelines on Required Minimum Service Level, December 2000). 4.6 OPERATIONAL BENCHMARKS The Regulator has developed additional benchmarks that will help the providers and the Regulator assess the status and efficiency of the operation and encourage gradual improvement of performance (NWASCO, Urban and Peri-Urban Water Supply and Sanitation Sector Report 2005/2006). 4.7 WATER SUPPLY COVERAGE AND ACCESS DEFINITIONS 4.7.1 WATER SUPPLY USER COVERAGE This concept is used by CSO in statistics on sources of drinking water and for determining total access to drinking water from improved sources. Protected wells, boreholes, public taps, own taps and other taps are considered as improved sources whereas rivers, lakes and other sources are not. Water Supply Development Programme National Urban Water Supply and Sanitation Programme 72 This definition gives a very high access ratio e.g. 86 % of the urban population in 2005. 4.7.2 INSTALLED WATER SUPPLY COVERAGE ‘Installed Water Supply Coverage’ is the method used by the Regulator and Providers today. It gives a lower cover ratio than the CSO method as people using institutional, own supply and other peoples’ house connections are not included. On the other hand it will give a higher ratio than the Sustainable Safe Water Supply Coverage as qualitative and quantitative aspects are not considered. 4.7.3 SUSTAINABLE SAFE WATER SUPPLY COVERAGE ‘Sustainable Safe Water Supply Coverage’ is the method that gives the lowest coverage ratio as strict conditions will all have to be fulfilled and the supply has to be sustainable and safe from all technical, social-economic, financial, qualitative and quantitative perspectives. 4.8 PLANNED WATER SUPPLY DEVELOPMENT 4.8.1 FRAMEWORK FOR DEVELOPMENT Major activities for the physical and managerial urban water supply development are shown in Table 4.11. Water Supply Development Programme National Urban Water Supply and Sanitation Programme 73 TABLE 4.11 DEVELOPMENT FRAMEWORK PHYSICAL AND MANAGERIAL URBAN WATER SUPPLY DEVELOPMENT ACTIVITY NO. MAJOR ACTIVITIES MAIN IMPLEMENTATION PERIOD 1 Emergency measures and rehabilitation of all existing core urban water supply systems. 2011-2015 2 Reduction of non-revenue water through systematic survey and analyses, installation of sector meters, 100 % consumer meters and repair of leakages in all supply systems 2011-2015 3 Mapping WSS system areas through topographical survey and inventory of pipelines and other WSS facilities 2012-2020 4 Preparation of District Master Water Plans 2012-2020 5 Coverage increase of the water supply distribution into all peri-urban areas with at least communal and public taps. Minimum supply service to 80 % of the population by 2015. 2011-2020 6 Maintaining Installed coverage through rehabilitation and upgrading of distribution systems and service quality in already covered areas. 2011-2020 7 Further upgrading of water supply services in earlier unplanned but later planned and upgraded peri-urban areas constituting 80 % of all these areas. 2015-2030 8 Coverage increase in expanded and new developed urban areas. 2015-2030 9 Development of additional sources, transmission systems and water treatment facilities. 2015-2030 10 Securing of the financial sustainability through demand management, progressive tariffs covering all O&M and expansion costs, effective procurement and energy use and improved collection efficiency. 2011-2015 11 Protection of underground and surface water sources. 2011-2020 12 Improvement of service level and quality through e.g. Water Watch Groups involvement, PTIs, regulation by incentives, capacity building, staff changes and the use of the private sector. 2011-2020 13 Fully operationalize the recently established CUs in Luapula and Eastern. 2011-2015 4.8.2 ON-GOING ACTIVITIES Main on-going activities are shown in Table 4.12. It should be noted that several projects comprise both water supply and sanitation although the water supply components dominate completely both activity- wise and cost-wise. Water Supply Development Programme National Urban Water Supply and Sanitation Programme 74 TABLE 4.12 ON-GOING ACTIVITIES IN URBAN WATER SUPPLY AND SANITATION PROJECT AREA FINANCIER START OF PROJECT CONTRACT/PROJECT COSTS MILLION USD * Rehabilitation and extension of WSS Southern Province, Central and Northern Region KfW/GRZ June 2005 13.6 Eight Centres WSS Central Province AfDB/GRZ Nov 2006 28.2 Performance Improvement Northern Province DCI 1.2 Support to Peri- Urban and Low- Cost Housing WSS WesternProvince, WWSC Danida/GRZ Jan 2006 8.4 Support to Peri- Urban and Low- Cost Housing through DTF All Danida/GTZ/GRZ 2007 2.0 Design and Supervision for WS in 6 small towns Northern, Luapula and Copperbelt Province. BADEA 6.8 PSRP. Retrenchment Copperbelt Province GRZ 2007 4.2 Formation of WS utilities Eastern and Luapula Provinces KfW/Danida 2007 1.0 Zambia UWSS infrastructure maintenance Lusaka, Ndola, Kitwe China 8.6 Water sector performance improvement programme Lusaka WB 2008 7.3 Operation and maintenance programmes Focus on areas with absence of CUs GRZ 2007 7.9 Lusaka Master Plan Lusaka JICA 2007 4.4 Total 93.6 * Exchange rates used: 1 USD= ZK 4000 = Euro 0.66 = DKK 4.7 = Yuan 7.0Adapted from MLGH, Urban Water Supply and Sanitation Section, Annual Report 2007 and Study on comprehensive Urban Development Plan for the City of Lusaka, Interim Report, July 2008, MLGH/LCC/JICA Water Supply Development Programme National Urban Water Supply and Sanitation Programme 75 4.8.3 OVERVIEW OF ACTIVITY FRAMEWORK AND TIME SCHEDULE FOR WATER SUPPLY TABLE 4.13: OVERVIEW OF ACTIVITY FRAMEWORK AND TIME SCHEDULE FOR WATER SUPPLY ACTIVITY B Y W H O M 2 0 1 1 2 0 1 5 2 0 3 0 Fully operationalize the latest established CUs in Luapula and Eastern. U W SS S/ LA Reduction of non-revenue water through systematic survey and analyses, installation of sector meters and meters for all consumer connections. C U Emergency measures and rehabilitation of all existing core urban water supply systems. C U Mapping WSS system areas through topographical survey and inventory of pipelines and other WSS facilities C U /L A Coverage increase of the water supply distribution into all peri-urban areas with at least communal and public taps. C U Maintaining physical coverage through rehabilitation and upgrading of distribution systems and service quality in already covered areas. C U Upgrading of water supply services in earlier unplanned but later upgraded peri- urban areas C U Water Supply Development Programme National Urban Water Supply and Sanitation Programme 76 ACTIVITY B Y W H O M 2 0 1 1 2 0 1 5 2 0 3 0 Coverage increase in expanded and new developed urban areas. C U Development of additional sources, transmission systems and water treatment facilities. C U Securing of the financial sustainability through improved management C U Protection of underground and surface water sources C U /L A Enhancing quality of service through improved management C U Preparation of District Master Water Plans C U /L A Legend Regularactivit y level Enhanced activity level Sanitation Development Programme National Urban Water Supply and Sanitation Programme 77 Manchinchi Sewerage Treatment Plant, Lusaka Water CHAPTER FIVE SANITATION DEVELOPMENT PROGRAMME Development of urban sanitation during the period 2011 to 2030 is planned in accordance with the principles outlined in this chapter. 5.1 POLICY, OBJECTIVES AND STRATEGY An overview of the relevant policy documents and the legislation has been given in Chapter 2 and 3. Consolidation of policies, legislation, present status and key sector issues with regard to urban sanitation result in the following synthesis: 5.1.1 POLICY To enable all urban residents, commerce, institutions and industry to have access to sanitation and utilise it in an efficient and sustainable manner for improved health, well-being and livelihood by 2030. Sanitation Development Programme National Urban Water Supply and Sanitation Programme 78 5.1.2 OBJECTIVES To provide adequate, safe and cost-effective sanitation services to 77 percent by 2015 and 90 percent by 2030 of the urban population with due regard to environmental protection. To charge a reasonable amount for the development and use of sanitation facilities ensuring that it supports the infrastructure development and the effective management of the sanitation systems so that its utilisation is sustainable and equitable. To implement all projects in a manner that mitigates environmental degradation. To always consider safe disposal of the resultant wastewater when planning water supply. To manage water and sanitation facilities so as to reduce the incidence of water and vector- borne diseases and parasitic infestations. To promote legal and institutional framework capacity enhancement. To implement measures which enhance mainstreaming of cross-cutting issues. 5.1.3 STRATEGY Development and provision of sustainable sanitation services to more people in coreurban and peri- urban areas through: Policy Measures Increased relative focus on enhanced sanitation coverage and service level in urban and peri- urban areas. Promotion of a holistic approach to improve the health, wellbeing and livelihood of the urban population through the co-ordination of water supply, sanitation, solid waste management and drainage development activities. Support to the national UWSS development that focuses on enhancing institutional capacities, policy, and legal frameworks, information management for planning and development at national, provincial, and district levels. Commercialisation, private sector participation and independent regulation. Undertaking, supporting and promoting joint revenue collection for water, sanitation and drainage. Promotion of effective effluent monitoring programmes based on enforceable water quality guidelines and standards. Development of sector investment plans at scheme and national levels to promote financial sustainability, extension of services and equitable service provision. Harmonising coverage concepts, and minimum and desired service levels. Promoting the establishment of new and strengthening of existing Water, Sanitation and Hygiene Education (WASHE) Committees at national, provincial, district, and sub-district levels; Integration of international environmental conventions in national laws and local programmes. Promoting the concept of the polluter pays principle in waste water pricing strategies. Sanitation Development Programme National Urban Water Supply and Sanitation Programme 79 Planning Measures Improved co-ordination between Service Providers and Planning Authorities regarding residential and commercial land development. Upgrading of 80 percent of unplanned urban settlements by 2030 to facilitate provision of adequate sanitation there. Mapping sanitation system through topographical survey of sewers and other facilities. Detailed inventory of the state of repair and functioning of existing sanitation facilities and faecal sludge management in all towns. Developing sanitation master plans for districts and towns. Developing sanitation contingency master plans for droughts and floods. Conducting adequate feasibility studies before undertaking works. Protection of effluent receiving water courses and groundwater from pollution. Support to investment programmes that aim at increasing access to safe, adequate sanitation to 77 percent of the urban and peri urban populations by 2015. Development of sector investment plans at scheme and national levels to promote financial sustainability, extension of services and equitable service provision. Perform a field survey to investigate the percentage of existing acceptable improved pit latrines by 2012. Management Measures The generation of revenue by adequate pricing of sanitation services on the concept of cost recovery for the effective management and development of sanitation infrastructure. Introducing penalties that will encourage the timely payment of the tariffs. Incorporation of provisions for environmental assessment, biological diversity impact assessment and management in all economic and development activities; Maintaining of a representation of ecosystems for the benefit of current and future generations. Promoting effective water pollution monitoring and prevention programmes based on enforceable water quality guidelines and standards. Promotion of community ownership and participation, community contributions, definition of basic service levels, and regulation of service provision in peri-urban areas. Improvement of operation and maintenance of sanitation systems by increasing financial and personnel resources. Promotion of the use of expertise to assist CUs and local authorities to improve management, planning, implementation and operation of urban sanitation facilities. Infrastructure Development Measures Emergency measures to rehabilitate existing sewerage infrastructure before 2015. Encouraging the development of appropriate sanitation technologies and industrial processes that bear on waste water reduction and improved waste water quality. Sanitation Development Programme National Urban Water Supply and Sanitation Programme 80 Ensuring that 90 percent of polluting industrial facilities comply with environmental legislation by 2030. Improving water borne sanitation systems and sludge disposal using appropriate technology as well as proper design, selection and disposal sites and transport. Ensuring that all hospitals, clinics, public places and residential areas have appropriate sanitation and waste and effluent disposal systems. Expansion of coverage with improved sanitation to 77 % by 2015. 5.2 SANITATION SYSTEM DEVELOPMENT STANDARDS 5.2.1 POPULATION PROJECTIONS Population projections shall be derived from the Central Statistics Office projections using the populations enumerated during the 1980, 1990 and 2000 censuses and future censuses considering other complementary studies such as the Baseline Study (2004) and detailed project studies. For further guidance see 4.3.1 – 4.3.3. 5.2.2 WASTE WATER QUANTITY For water consumption quantities refer to 4.3.2.1 – 4.3.2.6. Waste water quantities can be assumed to be a percentage of the consumed water as follows: Public standpipes and communal taps: 0 % Individual connections, low income: 75 % Individual connection, high income: 60 % Non-domestic connections: 90 % 5.2.3 WASTE WATER QUALITY The requirements on effluent and waste water discharged into aquatic environments are stipulated in the Statutory Instrument No. 72 of 1993 which refer to The Environmental Protection and Pollution Control Act, 1990 and The Water Pollution Control (Effluent and Waste Water) Regulations,1993. The above regulations give limits for 58 water quality parameters. The most commonly applied parameters are shown in Table 5.1. Sanitation Development Programme National Urban Water Supply and Sanitation Programme 81 TABLE 5.1 COMMONLY APPLIED EFFLUENT QUALITY PARAMETERS AND LIMITS PARAMETER UNIT VALUE BOD mg/l 50 COD mg/l 90 COLOUR Hazen units 20 TURBIDITY NTU 15 TOTAL SUSPENDED SOLIDS mg/l 100 SETTLE ABLE MATTER mg/l 0.5 TOTAL COLIFORMS No./100 ml 25,000 FAECAL COLIFORMS No./100 ml 5,000 Adapted from Statutory Instrument No.72, third schedule 5.3 SANITATION STANDARDS According to the Water Supply and Sanitation Act (1997) the service providers are obliged to deal with all sanitation. 5.3.1 OFF-SITE SANITATION Off-site sanitation refers to sanitation systems in which excreta are collected from individual houses, commerce, institutions, industry and public toilet facilities and carried away disposal and treatment through pipes. Two main types are used: Sewer networks with a treatment plant; Sewer networks with a communal septic tank, which has to be emptied when full. 5.3.2 ON-SITE SANITATION On-site sanitation facilities are sanitation systems which collect and dispose of the waste at the same place where the toilet is installed. On-site sanitation facilities are associated with individual household latrines, but also include facilities shared by several households living together on the same plot or in the immediate neighbourhood. THE FOLLOWING TECHNOLOGY OPTIONS ARE CONSIDERED AS APPROPRIATE: Connection to an individual septic tank; Pour flush latrine Ventilated improved pit latrine (VIP); Ecosan (Urine-diversion latrine); Compost latrine; Improved single-pit latrine (provided with structurally safe squatting plate and superstructure) Sanitation Development Programme National Urban Water Supply and Sanitation Programme 82 5.3.3 FAECAL SLUDGE MANAGEMENT Safe collection, transport, treatment and disposal of faecal sludge from all septic tanks and those latrines from which the owner wants to remove the sludge shall be an integral and mandatory part of the sanitation system in each town. 5.3.4 SERVICE LEVELS Definitions of service levels for sanitation are shown in Table 5.2 below. TABLE 5.2 SANITATION SERVICE LEVEL URBAN AND PERI-URBAN AREAS PERI-URBAN AREAS HIGH COST HOUSING MEDIUM COST HOUSING LOW COST HOUSING 1. ON-SITE SANITATION Service Level 1 -MINIMUM Septic tank and percolation Septic tank and percolation Ventilated improved (VIP) pit Improved traditional or communal latrine Service Level 2 -MEDIUM Septic tank and percolation Septic tank and percolation Septic tank and percolation Ventilated improved (VIP) pit Service Level 3 -MAXIMUM Septic tank and percolation Septic tank and percolation Septic tank and percolation Compost or Ecosan latrine 2. OFF-SITE SANITATION Service Level 1 -MINIMUM Sewer connection Communal septic tank Communal septic tank Not generally available Service Level 2 -MEDIUM Sewer connection Sewer connection Communal septic tank Service Level 3 -MAXIMUM Sewer connection Sewer connection Sewer connection 5.4 SERVICE DELIVERY STANDARDS The Water Supply and Sanitation Act No. 28 of 1997 (5.12 vi – A) requires providers to ensure efficient, affordable and sustainable water supply and sanitation services within the service areas. This implies that the providers must guarantee a certain and defined level of services to the customer for a specified price ensuring therefore value for money. The Regulator has developed service indicators with time-bound benchmarks to be adhered to by the licensed providers (NWASCO, Guidelines on Required Minimum Service Level, December 2000). 1. ON-SITE SANITATION Sanitation Development Programme National Urban Water Supply and Sanitation Programme 83 5.5 OPERATIONAL BENCHMARKS (See Sections 4.6.) 5.6 SANITATION COVERAGE AND ACCESS DEFINITIONS 5.6.1 SANITATION USER COVERAGE The concept of ‘access to toilet facilities’ is used by CSO in their Living Condition Monitoring Report. Own flush toilet, Communal flush toilet, Own pit, Communal pit and other are enumerated. There is no definition of the concept improved sanitation The above definitions result in a very high access ratio e.g. 99.6 % of the urban population in 2004. 5.6.2 INSTALLED SANITATION COVERAGE ‘Installed Sanitation Coverage’ is the method used by the Regulator and Providers today but their reports deal only with the category of sanitation based on sewer networks. The reported coverage include sewerage connections which are not functioning adequately due to e.g. clogged sewers or flush toilets which can not be used because lack of water. As the Providers are obliged to deal with sanitation for all licensed areas they should on all sanitation facilities in all urban areas. This method gives a lower coverage ratio than the CSO method as people using institutional, public and other peoples’ sanitation facilities are not included. On the other hand it will give a higher ratio than the Sustainable Sanitation Coverage as qualitative and quantitative aspects are not considered. 5.6.3 SUSTAINABLE SAFE SANITATION COVERAGE ‘Sustainable Safe Sanitation Coverage’ is the method that gives the lowest coverage ratio as strict conditions will all have to be fulfilled and the sanitation has to be sustainable and safe from all technical, social-economic, financial, qualitative and quantitative perspectives. Sanitation Development Programme National Urban Water Supply and Sanitation Programme 84 5.7 PLANNED SANITATION DEVELOPMENT 5.7.1 FRAMEWORK FOR DEVELOPMENT TABLE 5.4 DEVELOPMENT FRAMEWORKS PHYSICAL AND MANAGERIAL URBAN SANITATION DEVELOPMENT ACTIVITY NO. MAJOR ACTIVITIES MAIN IMPLEMENTATION PERIOD 1 Detailed inventory of the state of repair and functioning of existing sanitation facilities and faecal sludge management in all towns 2011-2015 2 Mapping WSS system areas through topographical survey of pipelines and other WSS facilities 2012-2020 3 Emergency measures and rehabilitation of all existing urban sewerage systems, wastewater treatment works and faecal sludge management facilities. 2011-2013 4 Coverage increase of sanitation facilities in all peri-urban areas with at least improved sanitation. Minimum service level to 80 % of the population by 2015. 2011-2015 5 Maintaining Installed Sanitation Coverage through rehabilitation and upgrading of sanitation systems and service quality in already covered areas. 2011-2015 6 Upgrading all areas to sanitation service level 1 by 2015, level 2 by 2020 and level 3 by 2030. 2011-2030 7 Coverage increase in expanded and new developed urban areas. 2015-2030 8 Development of additional wastewater treatment and faecal sludge management facilities. 2015-2030 9 Securing of the financial sustainability through sanitation surcharges on progressive water tariffs covering all O&M and expansion costs. 2011-2015 10 Institutionalisation of wastewater and effluent quality monitoring programme and organisation. 2012-2015 11 Improvement of service level and quality through e.g. User Groups participation, regulation by incentives, capacity building, staff changes and the use of the private sector. 2011-2015 12 Preparation of District Master Sewerage and Sanitation Plans 2012- 2020 13 Implementation of Ecosan and Compost sanitation pilot projects 2012-2015 Sanitation Development Programme National Urban Water Supply and Sanitation Programme 85 5.7.2 ON-GOING ACTIVITIES Main ongoing activities are shown in Table 5.3. It should be noted that several projects comprise both water supply and sanitation and that the water supply components normally dominate completely both activity-wise and cost-wise. TABLE 5.5 ON-GOING ACTIVITIES IN URBAN SANITATION PROJECT AREA FINANCIER START OF PROJECT Rehabilitation and extension of WSS Southern Province, Central and Northern Region KfW/GRZ June 2005 Eight Centres WSS Central Province, Nampundwe, Serenje AfDB/GRZ Nov 2006 Support to Peri-Urban and Low-Cost Housing WSS Western Province (WWSC) Danida//GRZ Jan 2006 PSRP. Retrenchment Copperbelt Province GRZ 2007 Formation of WS utilities Eastern and Luapula Provinces KfW/Danida 2007 Water sector performance improvement programme Lusaka WB 2008 Operation and maintenance programmes Focus on areas with absence of CUs GRZ 2007 Lusaka Master Plan Lusaka JICA 2007 Adapted from MLGH, Urban Water Supply and Sanitation Section, Annual Report 2007 and Study on comprehensive Urban Development Plan for the City of Lusaka, Interim Report, July 2008, MLGH/LCC/JICA. Sanitation Development Programme National Urban Water Supply and Sanitation Programme 86 5.7.3 OVERVIEW OF ACTIVITY FRAMEWORK AND TIME SCHEDULE FOR SANITATION TABLE 5.4. OVERVIEW OF ACTIVITY FRAMEWORK AND TIME SCHEDULE FOR SANITATION ACTIVITY B Y W H O M 2 0 1 1 2 0 1 5 2 0 3 0 Inventory and topographical survey of sewerage systems and sanitation facilities C U Emergency measures and rehabilitation of all existing core urban sewerage systems and treatment works. C U Coverage increase in all peri- urban areas with improved sanitation. C U Maintaining Installed coverage through rehabilitation and upgrading of sewerage systems and service quality in already covered areas. C U Pilot projects testing new on-site sanitation solutions C U Upgrading of sewerage services in earlier unplanned but now planned and upgraded peri- urban areas C U Coverage increase in expanded and new developed urban areas. C U Development of additional sewerage treatment facilities. C U Developing faecal sludge removal, treatment and management systems C U Institutionalisation of wastewater quality monitoring programme and organisation. C U /E C Z Enhancing level and quality of service through improved management and O&M C U Preparation of District Master Sewerage and Sanitation Plans C U /L A Legend Regular Enhanced activity level Solid Waste Development Programme National Urban Water Supply and Sanitation Programme 87 Skip Loader, a solid waste transportation vehicle, Copperbelt Solid Waste Management Company CHAPTER SIX SOLID WASTE DEVELOPMENT PROGRAMME 6.1 POLICY, OBJECTIVES AND STRATEGY An overview of the relevant policy documents and the legislation has been given in Chapter 2 and 3. Consolidation of policies, legislation, present status and key sector issues with regard to urban solid waste management result in the following synthesis: 6.1.1 POLICY To enable all urban residents, commerce, institutions and industry to have a solid waste collection and transportation system and utilise it in an efficient and sustainable manner for improved health, well-being and livelihood by 2030. Solid Waste Development Programme National Urban Water Supply and Sanitation Programme 88 6.1.2 OBJECTIVES To provide adequate and cost-effective solid waste collection, transportation, treatment and deposition with due regard to environmental protection. To ensure that 80 percent of the waste is collected and transported by 2030. To charge a reasonable amount for solid waste management services ensuring that charges support effective management in a sustainable and equitable manner. To keep the residential areas clean so as to reduce the incidence of diseases and parasitic infestations. To prevent blockage of sewers and drains by waste. To promote legal and institutional framework capacity enhancement. To implement measures which enhance mainstreaming of cross-cutting issues. 6.1.3 STRATEGY Development and provision of sustainable solid waste management services to more people in urban areas through: Reviewing current SWM achievements regarding implementation of the strategies outlined in the National Solid Waste Management Strategy (NSWMS) and the Private Sector Participation in Solid Waste Management. Application of the strategic concepts expounded in the NSWMS regarding minimization of waste generation, storage, improved co-ordination among stakeholders, levies and incentives, re-use and recycling, database and establishment of classification system. Development and adoption of a Waste Framework Law to harmonize various acts and to clarify roles and responsibilities. Development of Specific Regulations for solid waste generation. Creation of an environment for recycling and re-use. Capacitating local authorities to develop and manage municipal waste systems including land fill sites. Developing solid waste master plans. Formation of commercial utilities or independent solid waste management units under the jurisdiction of Local Authorities depending on the specific situations. Mobilisation of funds for assisting management of disposal sites. Mobilisation of resources for capacity building of Local Authorities. Undertaking, supporting and promoting joint revenue collection for water, sanitation and solid waste management by CUs. Solid Waste Development Programme National Urban Water Supply and Sanitation Programme 89 6.2 SOLID WASTE DEVELOPMENT STANDARDS 6.2.1 POPULATION PROJECTION Population projections shall be derived from the Central Statistics Office projections using the populations enumerated during the 1980, 1990 and 2000 censuses and future censuses, and also considering other complementary studies such as the Baseline Study (2004) and detailed project studies. For further guidance see Sections 4.3.1 – 4.3.3. 6.2.2 SOLID WASTE QUANTITIES 6.2.2.1 WASTE FACTORS There is limited reliable information available on waste generation in Zambia but the waste factors in Table 6.5 can be used to estimate waste generation. TABLE 6.5 WASTE FACTORS ASSUMED FOR USE IN NUWSSP AREAS WASTE FACTORS (RANGE) KG/CAPITA/DAY WASTE FACTORS (BEST ESTIMATE) KG/CAPITA/DAY Conventional urban areas, including high, medium and low-density housing 0.35 – 0.6 0.45 Peri-urban areas 0.2 – 0.5 0.35 Rural areas 0.1 – 0.4 0.25 Solid Waste Development Programme National Urban Water Supply and Sanitation Programme 90 6.2.2.2 ESTIMATED WASTE GENERATION Planning can be based on Table 6.7 that provides estimates for selected cities and towns. TABLE 6.7 ESTIMATED WASTE GENERATION FROM SELECTED MUNICIPALITIES IN PROVINCES IN ZAMBIA (2004) CITIES AND SAMPLE MUNICIPALITIES IN THE PROVINCES ESTIMATED POPULATION (2004) WASTE GENERATION TONNES/ YEAR WASTE GENERATION TONNES/ YEAR WASTE GENERATION TONNES/ YEAR (X1000) CONVENTIONAL URBAN AREAS PERI-URBAN AREAS TOTAL CENTRAL: Chibombo 264, 21,703 16,880 38,583 Kabwe 187 15,335 11,928 27,263 COPPERBELT: Kitwe 411 33,720 26,227 59,946 Ndola 410 33,630 26,157 59,787 EASTERN: Chipata 402 33,002 25,669 58,671 LUAPULA: Mansa 197 16,142 12,555 28,698 LUSAKA: Lusaka 1,185 58,382 105,953 164,335 Kafue 164 13,452 10,463 23,915 NORTHERN: Kasama 187 15,335 11,928 27,263 NORTH-WESTERN: Solwezi 223 18,295 14,229 32,524 SOUTHERN: Choma 224 18,385 14,299 32,684 Mazabuka 222 18,205 14,160 32,365 Livingstone (1) 112 9,237 7,184 16,421 WESTERN: Kaoma 178 14,618 11,369 25,987 Mongu 177 14,528 11,300 25,828 (1) Waste from tourists and tourist hotels have not been included. 6.2.2.3 IMPLICATIONS FOR A TYPICAL TOWN In the short-term councils should aim to provide a basic minimum level of service with, for example, a few well-maintained tractor-trailer / basic truck type vehicles for conventional urban areas and skip lifting vehicles for markets and peri-urban areas. Solid Waste Development Programme National Urban Water Supply and Sanitation Programme 91 6.2.2.4 FUTURE WASTE GENERATION Following general trends of similar countries to Zambia, the solid waste generation in Zambian municipalities is expected to increase by about 30% by the year 2015, from approximately 600,000 tonnes/year to nearly 800,000 tonnes/year. The strategy for private sector participation should take into account the projected increases in waste generation. 6.3 SOLID WASTE MANAGEMENT Regulation, Policy and Guidance The management of solid waste shall be regulated by the Environmental Council of Zambia. The Ministry of Local Government shall provide Policy direction, guidelines and procedures in the solid waste management sector. Establishment of Solid Waste Management Units or Companies Two options for the Solid Waste Management exist; one in which Local Authorities form a separate Unit and the other where they form a SWM Company. 6.4 PLANNED SOLID WASTE DEVELOPMENT 6.4.1 FRAMEWORK FOR DEVELOPMENT Major activities for the urban solid waste management development are shown in Table 6.8. Solid Waste Development Programme National Urban Water Supply and Sanitation Programme 92 TABLE 6.8 SOLID WASTE MANAGEMENT DEVELOPMENT ACTIVITY NO. COMPONENT MAJOR ACTIVITY IMPLEMENTATION PERIOD 1.0 Component 1 - Strengthen the Financial and Cost Recovery Framework Activity 1.1 - Identify the existing costs of SWM services at Local Authorities 2011 - 2012 Activity 1.2 - Improve financial systems related to SWM at Local Authorities 2011 - 2013 Activity 1.3 - Plan and implement systems for charging SWM fees 2012 - 2015 Activity 1.4 - Increase grant allocation to Local Authorities on SWM 2012 - 2014 Activity 1.5 - TA project on wider financial improvements at Local Authorities 2012 - 2014 2.0 Component 2 - Strengthen the Institutional Framework Activity 2.1 – Assign responsibility for strategy implementation 2011 Activity 2.2 - Restructure local roles in relation to monitoring and enforcement 2012 - 2014 3.0 Component 3 - Planning of affordable and sustainable SWM systems Activity 3.1 – Develop and implement SWM Plans by Local Authorities 2013 - 2015 Activity 3.2 – Plan longer-term system of waste collection by Local Authorities 2012 - 2020 Activity 3.3 – Clean-up of illegal dump sites 2011 – 2015 Activity 3.4 – Plan sanitary landfill sites in longer-term 2015 – 2030 Activity 3.5 – Plan recycling initiatives in longer-term 2013 – 2030 4.0 Component 4 - Strengthen the Capacity of MLGH and Local Authorities Activity 4.1 –Framework for Strengthening long-term capacity on SWM 2012 – 2014 Activity 4.2 - TA on capacity building at MLGH/Local Authorities in SWM 2012 – 2015 5.0 Component 5 - Legal and Other Instruments Activity 5.1 – Development and Implementation of Waste Framework Law 2012 – 2015 Activity 5.2 – Use of Guidelines on SWM for Local Authorities 2013 on wards 6.0 Component 6 - Strengthening Monitoring and Enforcement Activity 6.1 – Strengthen Resources/ Systems for Monitoring and Enforcement 2012 – 2015 7.0 Component 7 - Strengthening Private Sector Capacity Activity 7.1 – Amend national policy in areas that will encourage PSP in SWM 2012 – 2015 Activity 7.2 –Initiatives at local level to build capacity of small operators 2012 – 2020 8.0 Component 8 - Raising Stakeholder Awareness Activity 8.1 – Involve local communities in planning SWM at Local Authorities 2013 – 2020 Activity 8.2 –National strategy, etc, on raising awareness/ education on SWM 2011 - 2030 9.0 Component 9 - Pilot Projects Activity 9.1 – Annual plan for pilot projects 2012 – 2030 Solid Waste Development Programme National Urban Water Supply and Sanitation Programme 93 6.4.3.1 OVERVIEW OF ACTIVITY FRAMEWORK & TIME SCHEDULE FOR SOLID WASTE MANAGEMENT TABLE 6.9: OVERVIEW OF ACTIVITY FRAMEWORK AND TIME SCHEDULE FOR SWM ACTIVITY B Y W H O M 2 0 1 1 2 0 1 5 2 0 3 0 Develop local SWM plans by Local Authorities LA Establish SWM Units or Companies LA /U W SS S Clean-up of illegal dump sites LA Plan and establish landfill sites LA Plan and establish safe system for collection and destruction of hazardous waste from clinics/hospitals and industry LA Enhance level and quality of service through improved management and O&M LA /S W M C Improve financial systems related to SWM LA /S W M C Stakeholder awareness creation and communication activities LA /S W M C Legend Regular activity level Enhanced activity level Drainage Development Programme National Urban Water Supply and Sanitation Programme 94 Typical drainage challenge aimed to be addressed in NUWSSP CHAPTER SEVEN DRAINAGE DEVELOPMENT PROGRAMME 7.1 SECTOR CONTEXT 7.1.1 STORMWATER DRAINAGE Stormwater infrastructure and management in urban areas varies depending on the level of investment in roads: drainage systems tend to be constructed in tandem with road drainage. In peri-urban areas, where population densities are high and the layout of habitation is not formally planned, dwellings and other buildings have generally been built without any integrated plan and the pressure on available land often means that drainage requirements are neglected. 7.1.2 GREYWATER DRAINAGE Greywater is the sullage produced from domestic and commercial activities such as cooking, cleaning, washing clothes, bathing etc. It differs from ‘blackwater’, in that it does not contain human excreta and the level of pollutants is generally relatively small. Drainage Development Programme National Urban Water Supply and Sanitation Programme 95 Greywater comprises the largest fraction of wastewater flow from dwellings. In many domestic situations, greywater is discarded directly onto the ground or onto a convenient waste area, vegetation or roadside storm drain; basically whatever is convenient. Greywater from clinics and markets is potentially more polluting, with higher organic and chemical content. Such greywater may even be toxic or hazardous, for instance, containing pathological elements from clinics. 7.1.3 ENVIRONMENTAL HEALTH SITUATION Deficient or non-existent drainage systems for greywater and stormwater contributes substantially to the unhealthy living conditions in all seasons. 7.2 POLICY, OBJECTIVES AND STRATEGY An overview of the relevant policy documents and the legislation has been given in Chapter 2 and 3. Consolidation of policies, legislation, present status and key sector issues with regard to stormwater and greywater drainage result in the following synthesis: 7.2.1 POLICY To enable all urban residents, commerce, institutions and industry to have a sustainable stormwater and greywater drainage system for improved health, well-being and convenience by 2030. 7.2.2 OBJECTIVES To provide adequate and cost-effective stormwater and greywater drainage for protection of residential, commercial, institutional and industrial areas and the environment. To keep the core urban and peri-urban areas clean so as to reduce the incidence of diseases and parasitic infestations. To prevent the damaging of water supply and sanitation facilities and the pollution of drinking water and raw water resources by flooding and water-logging. 7.2.3 STRATEGY Development and provision of sustainable stormwater and greywater drainage in core urban and peri- urban areas through: Policy Promotion of a holistic approach to improve the health, wellbeing and livelihood of the urban population and the co-ordination between town planning and the planning of water supply, sanitation, solid waste management and drainage. Upgrading of 80 percent of unplanned urban settlements by 2030 to facilitate provision of adequate drainage there. Drainage Development Programme National Urban Water Supply and Sanitation Programme 96 Development and adoption of a Stormwater and Greywater Framework Law to harmonize various acts and to clarify roles and responsibilities. Development of Specific Regulations for drainage systems. Promoting the generation of revenue by adding a surcharge for ‘sanitation and drainage’ in the water tariffs. Planning Applying the Sustainable Drainage Systems (SUD) concept for planning and development of the drainage infrastructure by dealing with runoff close to where the rain falls, managing pollution at its source and protecting water resources. Development of investment plans for drainage at scheme and national levels to promote extension of equitable provision of drainage systems. Perform field surveys to investigate the location of areas prone to flooding and developing contingency plans for floods. Developing of drainage master plans in all towns comprising inventory of the existing drainage infrastructure, topographical survey showing road topography, catchment areas and watercourses, identification of trouble spots and areas prone to flooding, plan for undrained areas and rehabilitation of existing systems. Management To prevent blockage of drains through proper maintenance before, during and after the rainy season by improving management and increasing financial and personnel resources. Improvement of maintenance systems promotion of the use of expertise to assist Local Authorities to improve management, planning, implementation and maintenance of urban drainage systems. Promoting the establishment of new and strengthening of existing Water, Sanitation and Hygiene Education (WASHE) Committees at national, provincial, district, and sub-district levels; Strengthening coordination and management of environmental health at all levels of care and increasing extension services of the service provider through an Environmental Health Technologist. Capacitating local authorities to develop and manage municipal drainage systems Promotion of community participation, and definition of basic service levels, and regulation of service provision in peri-urban areas. Support to the national UWSS development that focuses on enhancing institutional capacities, policy, and legal frameworks, information management for planning and development at national, provincial, and district levels. Implementation development Rehabilitation of existing drainage systems in all town and cities. Develop and implement drainage pilot projects. Ensuring that all hospitals, clinics and public places have appropriate grey water disposal and storm water systems. Roll out full-scale drainage development projects in core urban and peri-urban areas Drainage Development Programme National Urban Water Supply and Sanitation Programme 97 7.3 DEVELOPMENT STANDARDS 7.3.1 STORMWATER The Sustainable Drainage Systems (SUD) concept should be applied for planning and development of the drainage infrastructure by dealing with runoff close to where the rain falls, managing pollution at its source and protecting water resources. 7.3.2 GREYWATER Greywater comprises the largest fraction of wastewater flow from dwellings. 7.3.3 SERVICE LEVELS Definitions of service levels for drainage are shown in Table 7.2, 7.3 and 7.4 below. TABLE 7.2 STORMWATER DRAINAGE SERVICE LEVEL URBAN AREAS PER-URBAN AREAS HIGH COST MEDIUM COST LOW COST 1. ROOF and PLOT DRAINAGE Service Level 1 -MINIMUM soak-a-way soak-a-way soak-a-way Re-use and ad hoc Service Level 2 -MEDIUM soak-a-way soak-a-way soak-a-way Re-use and soak-a-way Service Level 3 -MAXIMUM soak-a-way soak-a-way soak-a-way Re-use and soak-a-way 2. CATCHMENT DRAINAGE Service Level 1 -MINIMUM engineered basic engineered basic engineered basic engineered (+ SUDS) Service Level 2 -MEDIUM engineered + SUDS engineered + SUDS engineered + SUDS Service Level 3 -MAXIMUM engineered + SUDS engineered + SUDS engineered + SUDS Drainage Development Programme National Urban Water Supply and Sanitation Programme 98 TABLE 7.3 GREYWATER DRAINAGE SERVICE LEVELS – DOMESTIC URBAN AREAS PER-URBAN AREAS HIGH COST MEDIUM COST LOW COST 1. ON-SITE DISPOSAL Service Level 1 -MINIMUM septic tank soak-a-way soak-a-way Re-use and ad hoc Service Level 2 -MEDIUM septic tank septic tank soak-a-way Re-use and soak-a-way Service Level 3 -MAXIMUM septic tank septic tank septic tank Re-use and soak-a-way (septic tank for solitary houses with water connection) 2. OFF-SITE DISPOSAL Service Level 1 -MINIMUM sewer connection n/a n/a n/a Service Level 2 -MEDIUM sewer connection sewer connection n/a Service Level 3 -MAXIMUM sewer connection sewer connection sewer connection TABLE 7.4 GREYWATER DRAINAGE SERVICE LEVELS – PUBLIC FACILITIES URBAN AND PERI-URBAN AREAS CLINICS MARKETS SCHOOLS 1. ON-SITE DISPOSAL Service Level 1 -MINIMUM septic tank soak-a-way soak-a-way Service Level 2 -MEDIUM septic tank septic tank soak-a-way Service Level 3 -MAXIMUM septic tank septic tank septic tank 2. OFF-SITE DISPOSAL Service Level 1 -MINIMUM sewer connection n/a n/a Service Level 2 -MEDIUM sewer connection sewer connection n/a Service Level 3 -MAXIMUM sewer connection sewer connection sewer connection Drainage Development Programme National Urban Water Supply and Sanitation Programme 99 7.3.4 MAINTENANCE LEVELS Maintenance activities should be carried out before, during and after each rainy reason in accordance with a detailed work programme. 7.4 PLANNED DRAINAGE DEVELOPMENT 7.4.1 FRAMEWORK FOR DEVELOPMENT Major activities for the physical and managerial urban drainage development are shown in Table 7.5. TABLE 7.5 DEVELOPMENT FRAMEWORK FOR DRAINAGE PHYSICAL AND MANAGERIAL URBAN DRAINAGE DEVELOPMENT ACTIVITY NO. MAJOR ACTIVITIES MAIN IMPLEMENTATION PERIOD 1 Develop Master Drainage Plans for towns showing topography and primary draining system 2012-2020 2 Improve the effectiveness of existing drainage systems through systematic programmes for maintenance before, during and after rains 2011-2030 3 Priority activities to alleviate areas worst prone to flooding by construction and rehabilitation of drains; construction of drainage features e.g. diversion channels, stormwater overflow and pumping facilities. 2011-2015 4 Systematic rehabilitation of all physical assets in existing serviced areas. 2012-2020 5 Introduction of SUDs approach to urban drainage design; study of SUDs potential; university research into SUDs systems; SUDs pilot projects; SUDs technology development etc. 2012-2015 6 Research study on condition, practice and re-use of storm and grey water for irrigation to include assessment of availability of water for agriculture; identification of geographical areas where re-use is feasible 2012-2020 7 Upgrading of serviced areas and expansions to additional urban areas where economically viable with priority in peri-urban areas where the problems are most severe. 2015-2030 8 Upgrading all areas to drainage service level 1 by 2015, level 2 by 2020 and level 3 by 2030. 2011-2030 9 Securing of the financial sustainability through the introduction of drainage surcharge on the water bills and fund transfer from Roads. 2012-2015 10 Improve management and budgeting related to drainage at Local Authorities 2011-2015 11 Town Planning introducing planning methodologies to prevent settlements in flood-prone areas and areas dedicated for major drains 2011-2015 12 Stakeholder awareness creation and communication activities 2011- 2030 Drainage Development Programme National Urban Water Supply and Sanitation Programme 100 7.4.2 OVERVIEW OF ACTIVITY FRAMEWORK AND TIME SCHEDULE FOR DRAINAGE TABLE 7.6: OVERVIEW OF ACTIVITY FRAMEWORK AND TIME SCHEDULE FOR DRAINAGE ACTIVITY B Y W H O M 2 0 1 1 2 0 1 5 2 0 3 0 Local Authorities develop Master Drainage Plans for towns showing topography and primary draining system LA /U W SS S Town Planning taking measures to prevent settlements in flood-prone areas and areas dedicated for major drains LA Maintenance of drainage systems through systematic programmes for activities before, during and after rains LA Application of the SUDs approach to urban drainage policy, regulation, design and implementation LA /U W SS S Emergency measures to alleviate areas worst prone to flooding by construction and rehabilitation of drains LA Research on conditions, practice and re-use of greywater ED .I N ST ./ U W SS S Pre-feasibility studies and pilot projects regarding stormwater and greywater drainage LA Improve management, budgeting and revenue collection related to drainage at Local Authorities LA /N W A SC O Stakeholder awareness creation and communication activities LA /U W SS S Legend Regular activity level Enhanced activity level Policy Development Programme National Urban Water Supply and Sanitation Programme 101 MLGH-NWASCO CEO's forum 14-15 July 2010 part of NUWSSP development CHAPTER EIGHT POLICY DEVELOPMENT PROGRAMME 8.1 CONTEXT The sector policies and legal framework as described in section 2.1 contain policy measures with respect to UWSS. Though generally sound in terms of basic principles, there are a number of shortcomings, including: definitions of roles and responsibilities for UWSS; inadequate provisions for sector coordination; community ownership of facilities is unclear; community contributions are not explicit, leaving room for differences from project to project; no explicit definition of basic service levels for UWSS; and the policy is also silent regarding investment support for individual or household sanitation facilities, customer capital contributions, cost coverage of capital and operation & maintenance costs, cross subsidisation between customer categories and depreciation principles. 8.2 OBJECTIVE To develop a comprehensive Water Supply and Sanitation Policy and Legal Framework that facilitates effective development and management of the WSS sector in Zambia. Policy Development Programme National Urban Water Supply and Sanitation Programme 102 8.3 STRATEGY A consultative approach will be adopted to elaborate a comprehensive WSS policy and legislation, jointly for urban and rural WSS including components addressing urban water supply and sanitation. Particular focus will be placed on elaborating policy on sanitation and definitions of roles and responsibilities for UWSS. National and international consultants will be engaged to facilitate a consultative process involving a broad range of stakeholders at national and district levels, including NGOs and the private sector. 8.4 PLANNED POLICY DEVELOPMENT 8.4.1 OUTPUT AND ACTIVITIES A comprehensive Water Supply and Sanitation Policy and Legal Framework with clear definition of responsibilities for UWSS, sector coordination and regulation, and participation by communities and CBOs. Following the adoption of the NWP policy, the formulation of the legal revisions to the current legislation for the UWSS sector will follow. 8.4.2 ON-GOING ACTIVITIES The revised National Water Policy (NWP) undertaken under the auspices of MEWD was recently (2010) approved by the Government. The revised NWP focuses on water resource issues and is very general in terms of UWSS related issues. Detailed policies and regulations will therefore have to be developed and adopted for water supply and sanitation. Policy Development Programme National Urban Water Supply and Sanitation Programme 103 8.4.3 OVERVIEW OF ACTIVITY FRAMEWORK AND TIME SCHEDULE FOR POLICY DEVELOPMENT TABLE 8.1: OVERVIEW OF ACTIVITY FRAMEWORK AND TIME SCHEDULE FOR POLICY DEVELOPMENT ACTIVITY B Y W H O M 2 0 1 1 2 0 1 5 2 0 3 0 Policy review study to identify need and develop proposals for changes, complementary additions and clarifications of policies, regulations and legislation pertaining to UWSS U W SS S Formal adoption of revised Water Policy and other policies, regulations and laws pertaining to UWSS M LG H /G R Z Follow up and development of policies, regulations and legislation pertaining to UWSS U W SS S/ N W A SC O Legend Regular activity level Enhanced activity level Capacity Development Programme National Urban Water Supply and Sanitation Programme 104 Typical Capacity Building Measures - CU Participants during NRW Training conducted by WASAZA went visiting to Lusaka Water, 2010 CHAPTER NINE CAPACITY DEVELOPMENT PROGRAMME 9.1 SECTOR CONTEXT It is generally recognised that the capacity to plan and implement programmes and projects in the sector, as in other sectors, is weak and needs to be addressed. Capacity constraints are experienced both at central government level and at district level. The private sector is critical for the potential to improve water supply and sanitation systems as expected. However, the sector faces competition for qualified staff from a growing mining industry and from other countries in the region. 9.2 OBJECTIVES To improve the quality, efficiency, cost-effectiveness and delivery of urban water supply and sanitation services To develop the capacity required for the implementation of the NUWSSP. Capacity Development Programme National Urban Water Supply and Sanitation Programme 105 9.3 STRATEGY The FNDP structural policies include enhancement of the efficiency of the public service delivery system through the Public Service Reform Programme (PSRP). The PSRP focuses on three main areas as described below. Public Expenditure Management and Financial Accountability Reforms (PEMFA) Public Service Management (PSM) Project Decentralisation The DIP has not yet been approved officially by the Cabinet. 9.4 PLANNED CAPACITY DEVELOPMENT 9.4.1 OUTPUT AND ACTIVITIES The focus will be on facilitation and support of the Service Providers and in the environment they operate. OUTPUT ACTIVITIES 1. Improved operational capability of Service Providers to give water supply and sanitations services Develop and implement HRD plan based on training needs assessment for the CUs and LAs Train peri-urban WSS units in the CUs Assess current management and O&M routines and implement improvements Train water quality and surveillance staff Assess needs and establishment of Thematic Capacity Building Network for Service Providers Develop capacity to facilitate construction of on-site sanitation Develop capacity to use participatory methods in WSS projects Capacity Development Programme National Urban Water Supply and Sanitation Programme 106 OUTPUT ACTIVITIES 2. Improved capability of Government Institutions support the Service Providers Assess organisational, management and training needs at the UWSSS at MLGH for the purpose of handling policy reform process and co-ordination of project support. Assess organisational, management and training needs at NWASCO and implement improvements Assess organisational, management and training needs at DTF and implement improvements Inform and train stakeholder regarding the Financing Mechanism for NUWSSP Develop standard forms for contracts between Financiers and Service Providers Develop guidelines and criteria for project selection and financing Develop guidelines for procurement of consultancy services for Service Providers Develop Water Supply, Sanitation, SWM and Drainage planning and design guidelines for Peri-Urban and Urban Areas for Service Providers Develop Water Supply, Sanitation, SWM and Drainage standard specifications for Service Providers Roll out fully to all CUs the regulation by Incentive Performance Mechanism for Service Providers Develop communication, information and advocacy materials for Government and Service Providers 3. Improved capability of Educational Institutions to offer training and education required by the WSS sector Curricula development in WSS subjects at diploma, graduate and post- graduate levels at the University of Zambia, Copperbelt University and the Natural Resources Development College. Financial assistance to UNZA and NRDC to enhance the quantity and quality of the WSS education Support of faculty exchanges between universities and colleges in Zambia and other countries. On-the-job training of students studying WSS subjects. 4. Improved capability of the Private Sector and NGOs to give service to the WSS sector Develop and implement HRD plan based on training needs assessment for consultants active in the WSS sector Develop and implement HRD plan based on training needs assessment for contractors and artisans active in the WSS sector Develop and implement HRD plan based on training needs assessment for NGOs active in the WSS sector 9.4.2 ON-GOING ACTIVITIES Through the Capacity Development Programme for Provision of Decentralised Services (CDPPDS), JICA is supporting several components of the DIP. This includes capacity building of District Councils regarding organisational structure and staffing; development planning/budgeting as well as monitoring and evaluation; financial management and audit capacity; and of Central Government to train, monitor and supervise Councils. JICA is also supporting MLGH targeting CU middle management staff concerning P-U WSS. Capacity Development Programme National Urban Water Supply and Sanitation Programme 107 Danida supports capacity building through its Water Sector Programme Support (2006 – 2011). In the Peri- Urban and Low-cost housing component direct UWSS capacity building support is provided to MLGH through assistance to DHID, the CUs, donor coordination and HRD. Capacity building support is also specifically given to NWASCO, DTF, Western Water and Sewerage Company and to Luapula Province. Indirect support to UWSS is also given through the Rural Water Supply and Sanitation and the Integrated Water Resources Management components of the Danida project. 9.4.3 OVERVIEW OF ACTIVITY FRAMEWORK AND TIME SCHEDULE FOR CAPACITY DEVELOPMENT TABLE 9.1: OVERVIEW OF ACTIVITY FRAMEWORK AND TIME SCHEDULE FOR CAPACITY DEVELOPMENT TA R G ET ACTIVITY B Y W H O M 2 0 1 1 2 0 1 5 2 0 3 0 Se rv ic e P ro vi d e rs Develop and implement HRD plan for Service Providers comprising management, O&M, facilitation, participatory methods and surveillance C U Assess the needs and establish for a Thematic Capacity Building Network for Service Providers U W SS S/ C U Recurrent HRD for Service Providers C U G o ve rn m e n t In st it u ti o n s Develop and implement organisational and HRD needs for the MLGH, UWSSS, NWASCO and DTF U W SS S Inform and train UWSS stakeholder regarding the functioning of the Financial Mechanism U W SS S Develop criteria and guidelines for project selection, procurement of services, planning and design of WSS, drainage and SWM, U W SS S Develop EIC and advocacy materials for Government and Service Providers U W SS S Stakeholder awareness creation and communication activities U W SS S Capacity Development Programme National Urban Water Supply and Sanitation Programme 108 TA R G ET ACTIVITY B Y W H O M 2 0 1 1 2 0 1 5 2 0 3 0 Ed u ca ti o n al In st it u ti o n s Development of curricula in WSS subjects at universities and colleges, and student on-the-job training U W SS S/ E D .I N ST . Enhancement of quantity and quality of WSS education at universities and colleges ED .I N ST . Faculty exchange between Zambian and universities and colleges abroad ED .I N ST . P ri va te S e ct o r Develop and implement HRD plans for consultants, contractors, artisans and NGOs active in the UWSS sector U W SS S/ P R IV . S EC T. Legend Regular activity level Enhanced activity level Information Management Development Programme National Urban Water Supply and Sanitation Programme 109 NWASCO inspecting and verifying information reported by Lukanga Water and Sewerage Company on the NIS (NWASCO Information System) CHAPTER TEN INFORMATION MANAGEMENT DEVELOPMENT PROGRAMME 10.1 CONTEXT There is no coherent and reliable information system on all policy areas of the water and sanitation sector which is relevant to management and planning needs as well as to FNDP, SNDP and MDG reporting. The stake-holding institutions tend to focus their data collection on isolated issues not taking into account related information demands even within their own area of competence. There is very limited regular inter-institutional exchange of data for policy purposes. 10.2 OBJECTIVES Establishment of a harmonised and comprehensive information system on urban water supply and sanitation together with streamlined reporting procedures and encompassing all concerned ministries and organizations. Information Management Development Programme National Urban Water Supply and Sanitation Programme 110 Harmonisation of definitions in line with planning and development, regulation, FNDP, SNDP and MDG monitoring requirements. 10.3 STRATEGY Development of an Information system through: Establishment of common reporting standards and harmonised definitions by a joint task force. Integration of the standards and definitions into the work plan of the CSO. Observation at collection points and at district level of the common reporting standards and definitions. Development of the information collection, recording and transmitting capacities in a cross- sectional way. Institutionalisation of the present information flow among line ministries and the CSO. Delineation of roles and responsibilities between different ministries and local administrations. Inclusion of Geographical Information Systems (GIS) in the urban water supply and sanitation information systems. Disaggregation of data and reports on towns, systems and different settlement areas. Increased monitoring and evaluation of the information management activities done by CUs/LAs. Increased capacity development of IM organisations and staff. Setting up a decentralised comprehensive and standardised information system which integrates information from all concerned line ministries in MLGH. Information Management Development Programme National Urban Water Supply and Sanitation Programme 111 10.3.1.1 PLANNED INFORMATION MANAGEMENT DEVELOPMENT 10.4.1 OUTPUT AND ACTIVITIES TABLE 10.1: OUTPUTS AND ACTIVITIES OUTPUTS ACTIVITIES 1.Definitions of coverage and indicators agreed Agreement on indicators within the WSS sector conforming to international and regional indicators and National programmes. Drafting and presentation of definitions to CSO Workshop or meeting CSO to harmonise indicators Incorporating indicators in the WSS monitoring mechanisms. 2. Starting point for measurement (Where we are, including MDGs assessments) Information sharing on agreed indicators with all sector actors, including also commercial utilities. NWASCO and Commercial Utilities submit WSS status reports to MLGH for compilation DHID dissemination meeting with for establishing of WSS status Finalisation of WSS status report 3. WSS Information System developed Development of specifications of system by stakeholders in terms of compatibility/ linking/ interfacing requirements regarding other systems such as NWASCO, RWSSP Information system, WRM, CSO, Ministry of Health, etc. Selection of technical specifications that allows (1) easy updating, (2) data consistence (3) allows several user levels to be defined by the Sector Manager (MLGH) to provide security and only authorised personnel shall have access to features such as Add/ Edit/ Delete etc. (4) Allows updating of data obtained from areas without internet access (5) the weight factor, access is a heavy data base and might not be suitable (6) Allows extraction of information for different uses and flexibility to changing information requirements (which change from time to time) without much difficulty. (7) Relational data base allowing generation of reports covering a wide range of data fields (8) Allowing secure backup arrangements for employed in different locations and enables users 24 hours access. (9) Simple menu for easy to use and navigate, etc Project profile information development to consist of (1) project objectives (2) Target beneficiaries (3) Impact on MDGs and National goals (4) Total cost of project and (5) project time frame. This is to include planned projects for short term ( up to 2010), medium term ( up to 2015) and long term (up to 2030) These projects could be further categorised according to national, provincial, district and community levels. Service categorisation development consisting of (1) water supply (2) Sanitation with sub categories of on-site sanitation, off-site sanitation, faecal sludge, drainage and solid waste management Development of donor involvement categorisation Monitoring and Evaluation development consisting of (1) MDGs monitoring (2) National level monitoring (3) Operational monitoring such as NWASCO. Designing of information updating system such as (1) MDGs. National and Operational information done annually and (2) CUs/ LAs level updating done quarterly Creation of Information Centre. (1) This could be either at MLGH, NWASCO, other institutions or private sector. The information should managed by a body agreed upon by all stakeholders such NWASCO, MLGH, MEWD and MFNP (2) The information centre should share information as agreed and according to schedules (3) Access to special information shall be made available to key stakeholders according to procedures. This is information that is not public. 4. Implementation Pilot project using selected districts Monitor and evaluate for six months Make improvements and develop an action plan for implementation to the rest of the districts Monitor and evaluate every (1) six months and (2) annually Information Management Development Programme National Urban Water Supply and Sanitation Programme 112 10.4.2 ON-GOING INFORMATION MANAGEMENT ACTIVITIES A Rural Water and Sanitation Information Management System is being rolled out in districts and centrally by MLGH. The NWASCO Information System is in full operation since 2004 and yearly reports are compiled and widely circulated within the Government and to other actors in the UWSS sector. MoH also has a system in operation. 10.4.3 OVERVIEW OF ACTIVITY FRAMEWORK AND TIME SCHEDULE FOR INFORMATION MANAGEMENT TABLE 10.2: OVERVIEW OF ACTIVITY FRAMEWORK AND TIME SCHEDULE FOR INFORMATION MANAGEMENT ACTIVITY B Y W H O M 2 0 1 1 2 0 1 5 2 0 3 0 Selection and agreement among UWSS actors and CSO on indicators conforming to international and regional indicators and National programmes. U W SS S/ N W A SC O /C SO Collection, compilation and analysis of UWSS base data for tracking, planning and advocacy N W A SC O /C U Expanding and developing the NIS to comprise GIS, peri-urban areas and additional data on sanitation N W A SC O Development and implement a common UWSS IMS for NWASCO, MLGH, MEWD, MoH and other stakeholders by linking systems. U W SS S Recurrent UWSS IM activities by NWASCO, MLGH, MEWD, MoH, CSO and other stakeholders U W SS S/ N W A SC O Legend Regular activity level Enhanced activity level Research And Development Programme National Urban Water Supply and Sanitation Programme 113 University of Zambia, an Academic and Research Institution CHAPTER ELEVEN RESEARCH AND DEVELOPMENT PROGRAMME 11.1 CONTEXT Academic and research institutions’ participation in the water sector is mainly in the area of training personnel and in various research. The University of Zambia (UNZA) is the premier training institution for water and related professions at both the under and post-graduate levels offering Bachelors, Masters and PhD programmes. Departments at UNZA that offer direct water sector related courses are Civil and Environmental Department (Hydrology and Water Resources) and Geology (Hydrogeology). Other departments offer related disciplines that are applicable to water such as chemistry, irrigation in agriculture and biological sciences. 11.2 OBJECTIVES The objective of this component is to develop a sound scientific and socio-cultural framework for implementing UWSS in Zambia. Technical design standards, affordability, socially and culturally Research And Development Programme National Urban Water Supply and Sanitation Programme 114 appropriate options, as well as financial viability need to be evaluated before wide scale adoption of a particular technical solution in any given setting. 11.3 STRATEGY The overall strategy is to ensure the choice of technologies that are technically, financially, and socially acceptable to the community and sustainable in the long term. This calls for development of sound designs, models of operation, and approaches to management of facilities based on objective criteria borne out of sound research programmes. Detailed formulation of this component will be carried out later. 11.4 PLANNED POLICY DEVELOPMENT 11.4.1 OUTPUT AND ATIVITIES The component is expected to have a number of outcomes. Among these could be the establishment of a knowledge sharing and facilitating centre or facility to be the repository of urban and rural water supply and sanitation sector information as well as being the focal point for R&D in the sector. The facility could be instrumental in carrying out applied research in WSS technologies, financing options, socio-cultural issues pertaining to water supply and sanitation in Zambia. The research should comprise technical as well as management and socio-economical subjects. 11.4.2 ON-GOING RESEARCH ACTIVITIES At present the University of Zambia, School of Engineering, Civil and Environmental Engineering conduct research. 11.4.3 OVERVIEW OF ACTIVITY FRAMEWORK AND TIME SCHEDULE FOR RESEARCH TABLE 11.1: OVERVIEW OF ACTIVITY FRAMEWORK AND TIME SCHEDULE FOR RESEARCH ACTIVITY B Y W H O M 2 0 1 1 2 0 1 5 2 0 3 0 Development of a UWSS Research programme comprising technology, management and socio-economy ED . I N ST ./ U W SS S Implementation of the UWSS Research programme ED .I N ST . Legend Regular activity level Enhanced activity level Cost, Financing and Project Selection National Urban Water Supply and Sanitation Programme 115 Example of kiosk system project selected peri - urban areas in Siavonga, Southern Water CHAPTER TWELVE COST, FINANCING AND PROJECT SELECTION 12.1 CONTEXT When the NUWSSP preparation commenced in 2007 there were no updated national medium or long- term investment plan for urban water supply and sanitation in Zambia. Estimates had been done project wise and most commonly for emergency and short-term investments. The latest comprehensive study of investment needs (NIR/98-WA) was made in 1998 for Water Sector Reform Support Unit was based on a general model and assumptions that have subsequently been overtaken by events. The insufficient availability of capital for investment in urban water supply and sanitation has resulted in a situation where necessary expansion and replacement of facilities has become difficult or impossible and the revenues have barely covered the direct operating costs. Cost, Financing and Project Selection National Urban Water Supply and Sanitation Programme 116 12.2 OBJECTIVES To develop sector investment plans at scheme and national levels to promote financial sustainability, extension of services and equitable service provision. To develop sector investment plans to attract financial support from the Government, Co- operating Partners and other financiers. To reach medium and long-term agreements with financiers regarding the programme financing. To develop modalities for regular updating of investment and financing plans. 12.3 STRATEGY Investment estimates Provision of guidelines and models for medium and long-term investment planning at scheme and national level. Compilation of unit rates for all hardware and software components of water supply and sanitation systems. Providing support of the Service Providers for their preparation of the investment plans. Viability analyses of different levels of service with regard to provision of water supply and sanitation Promotion of a holistic approach to improve the health, wellbeing and livelihood of the urban population through joint investment planning of water supply, sanitation, solid waste management and drainage. Including all costs from programme management through capacity building and infrastructure development in the investment plans. Include costs for the use of expertise to assist CUs and local authorities to improve management, planning, implementation and operation of urban WSS facilities Mandating the NUWSSP management the task of regular review and updating of investment and financing plans. Financing Close dialogue between the Government and Co-operating Partners regarding financing of different components of the programme. Commercial and private sector financiers will be actively encouraged to enter into loan agreements directly with the Service Providers. Implement tariffs and a system for investment cost sharing based on the principle of fairness and equity which entail allocating costs among consumers according to the burden they impose on a delivery system. Charging minimum tariffs to persons who are unable to afford the full cost. Cost, Financing and Project Selection National Urban Water Supply and Sanitation Programme 117 For consumptive uses of water such as domestic and non-domestic use, the pricing formula for setting out tariffs that should increasingly take into account the replacement and development cost, operational costs, reliability and environmental standards aiming at full cost recovery in the long term. Project selection The Service Providers shall identify development or any other activities requiring financial support under the NUWSSP. Service Providers shall prepare and submit proposals for financial support to NUWSSP management. Ensuring that proposals prepared by the Service Providers are complete and of high professional quality and include detailed cost estimates. Use of transparent and objective criteria to evaluate and prioritise project and activity proposals. 12.4 PROGRAMME INVESTMENT PLANNING 12.4.1 COST ESTIMATES The NUWSSP comprises a large number of specific components and activities which should be considered when estimating and budgeting for the programme costs. The most important of these are: Programme Management Organisational Development Human resources Development Master planning Feasibility/Preliminary Design studies Special Investigations and Studies Detailed Design Preparation of Tender Documents Standardisation Civil, Mechanical and Electric Works Supervision Development Project Management Communication activities Community participation Hygiene promotion Regulation Monitoring Information Management Evaluation Research and Education Any other activity in line with the NUWSSP Cost, Financing and Project Selection National Urban Water Supply and Sanitation Programme 118 Besides the above costs, the programme will entail general management and administration costs by the different levels of the Government administration, Service Providers, Co-operating Partners, users and by other stakeholder. These costs are not generally considered in the programme cost calculations. 12.4.2 COSTING METHODOLOGY The following methodology has been used for estimation of the NUWSSP costs: 1. Application of an advanced investment model, named the Zambia Urban Water Supply and Sanitation Model (ZUWSSM) that has been developed and tested as part of the NUWSSP preparation process. The model has been used by all the CUs in 2009 and 2010 in a process comprising training workshops and guidance by MLGH. 2. Detailed traditional project formulation and cost estimates for short and medium term investments in the period 2011 - 2015 by all CUs. A large number of concrete and urgent rehabilitation, development and capacity building projects have been identified and assessed. 3. Drainage system infrastructure costs based on per capita costs presented in the Sanitation Pre- Feasibility Study. 4. Detailed calculations with regard to management and other soft-ware costs. 5. GRZ budget provisions for solid waste management costs. Thus, whereas the costs of the water supply and sanitation components have been estimated using elaborate methodology, the drainage and solid waste management investment costs are, at this stage, based on relatively rough estimates. This reflects the difference in development levels and maturity of the components. More elaborate methods should be used in future revisions of the estimates of drainage and solid waste management costs as these components then will have developed further. 12.4.2.1 OVERVIEW OF THE ZUWSSM The Zambia Urban Water Supply and Sanitation Model (ZUWSSM) model is based on Microsoft Excel and is intended as a strategic planning tool, assisting the Government and the Service Providers with long-range decision making regarding the way in which services are to be provided and the way in which they are to be financed. The model can be applied to a municipality or province, or indeed to model the country as a whole. The ZUWSSM provides, also by international standards, a uniquely versatile and useful tool. 12.4.2.2 ASSUMPTIONS FOR USING THE ZUWSS MODEL Assumptions made for using the model are based on the policies and strategies described in the NUWSSP, interpreted by the MLGH officials and CUs and applied to the specific situation, status and needs of each individual water supply and sanitation system. Cost, Financing and Project Selection National Urban Water Supply and Sanitation Programme 119 The service levels are crucial parameters. The CUs have assumed different present and future service levels as a consequence of the wide variation of the conditions in the field. Another crucial parameter is the prevailing backlog of infrastructure replacement. The CUs have estimated replacement backlogs in the range of 5 % to 43 % (average 23 %) for water supply and 0 to 50 % (average 32 %) for sanitation infrastructure in their WSS systems. Population estimates have been based consistently on the CSO projections from the year 2000 census. The investment needs should be updated when new population figures from the 2010 census become available. 12.4.2.3 ASSUMPTIONS REGARDING DRAINAGE A per capita cost of US$ 27 is assumed in Peri-Urban areas. It tallies with the GRZ budget allocation for 2010 and it is assumed to increase annually with the growth of the population. Drainage development costs in connection with road construction are not included. 12.4.2.4 ASSUMPTIONS REGARDING SOLID WASTE MANAGEMENT The GRZ budget allocation for 2010 which has been assumed as a basis is increased annually with the growth of the population. Only limited investment costs are covered by this budget as it is generally assumed that plant and vehicles will be provided and operated by the private sector. 12.4.2.5 ASSUMPTIONS REGARDING PROGRAMME AND PROJECT MANAGEMENT AND SOFT- WARE ACTIVITIES Detailed estimates have been made based on the various activities outlined in Chapter 4 to 17. Costs for master planning, feasibility studies, other special studies, design, and preparation of tender documents and procurement of services are assumed at 10 % and project management including supervision 5 % of the investment in infrastructure. These costs are built into the unit rates and are therefore included in the estimates of the investment needs. 12.4.2.6 ASSUMPTIONS REGARDING O&M AND REGULATION These costs are based on current actual costs and are assumed to increase proportionally with the increase of water demand over the period. 12.4.3 PUBLIC INVESTMENT NEEDS 12.4.3.1 WATER SUPPLY AND SANITATION The total costs for water supply and sanitation disaggregated on new and refurbished infrastructure can be seen in Table 12.1. Cost, Financing and Project Selection National Urban Water Supply and Sanitation Programme 120 Figure 12.5 illustrates the fact that in the first ten years the bulk of the investments are required for replacement of existing infrastructure. The investment needs for individual CUs are shown in Table 12.2 and further illustrated in Figure 12.6 and 12.7. The striking peaks at the beginning of the period reflect the serious need for the replacement of backlog. TABLE 12.1: TOTAL NATIONAL WATER SUPPLY AND SANITATION INVESTMENT NEEDS (COMPUTED BY THE ZUWSSM) NATIONAL URBAN WATER SUPPLY AND SANITATION INVESTMENT NEEDS COMPONENT COST, US$ MILLION YEAR 2011 2012 2013 2014 2015 2011- 2015 2016- 2020 2021- 2030 2011- 2030 Water Supply, new 73 95 110 93 68 438 288 932 1,659 Water Supply, repl. 88 109 135 151 148 631 444 576 1,652 Water Supply, total 161 204 245 244 216 1,070 732 1508 3,310 Sanitation, new 13 15 17 14 11 70 59 216 345 Sanitation, repl. 13 16 20 25 28 101 100 93 295 Sanitation, total 26 31 36 39 39 171 160 309 640 Other 6 8 5 5 8 32 29 70 131 Total 193 243 286 288 263 1,272 921 1,888 4,081 Capital Investment 0% 20% 40% 60% 80% 100% 1 3 5 7 9 11 13 15 17 19 21 Year P e rc e n ta g e Other Sanitation repl Sanitation new Water Supply repl Water Supply new Cost, Financing and Project Selection National Urban Water Supply and Sanitation Programme 121 TABLE 12.2 WATER SUPPLY AND SANITATION INVESTMENT NEEDS FOR CUS (COMPUTED BY THE ZUWSSM) URBAN WATER SUPPLY AND SANITATION INVESTMENT NEEDS FOR CUS COMPONENT COST, US$ MILLION YEAR 2011 2012 2013 2014 2015 2011-2015 2016-2020 2021-2030 2011-2030 LUSAKA 55 63 72 80 81 351 267 646 1,264 KAFUBU 34 48 59 52 35 227 126 256 609 MULONGA 25 29 35 41 43 174 145 263 581 NKANA 35 39 41 43 43 202 160 256 618 NORTH WESTERN 3 4 4 4 4 18 13 31 62 LUKANGA 8 9 9 10 11 48 48 123 218 SOUTHERN 10 19 23 19 15 87 47 107 241 WESTERN 4 6 9 9 8 35 35 63 133 CHAMBESHI 7 9 12 13 12 54 44 67 165 EASTERN 6 7 8 8 8 37 30 58 125 LUAPULA 3 10 14 9 3 39 7 18 64 Total 193 243 286 288 263 1,272 921 1,888 4,081 FIGURE 12.6 YEARLY INVESTMENT NEEDS FOR LARGE SIZE CUS Capex large size CUs - 10 20 30 40 50 60 70 80 90 1 3 5 7 9 11 13 15 17 19 Year U S $ m il li o n Lusaka Kafubu Mulonga Nkana Cost, Financing and Project Selection National Urban Water Supply and Sanitation Programme 122 FIGURE 12.7: YEARLY INVESTMENT NEEDS FOR MEDIUM AND SMALL SIZE CUS TABLE 12.3 COMPARISONS OF WSS INVESTMENT NEEDS FOR CUS ESTIMATED BY TRADITIONAL DETAILED PLANNING AND COMPUTED BY THE ZUWSSM) CU SHORT/MEDIUM-TERM INVESTMENT NEEDS FOR CUS DETAILED PLANNING ZUWSSM COMPONENT COST, US$ MILLION Year ca 2011-2015 2011-2015 LUSAKA 291 351 KAFUBU 374 227 MULONGA 131 174 NKANA 131 202 NORTH WESTERN 25 18 LUKANGA 25 48 SOUTHERN 74 87 WESTERN 9 35 CHAMBESHI 57 54 EASTERN 39 37 LUAPULA 50 39 TOTAL 1,206 1,272 12.4.3.2 SOLID WASTE MANAGEMENT AND DRAINAGE The needs for solid waste management and drainage investments are shown in Table 12.4. Capex medium and small size CUs - 5 10 15 20 25 1 3 5 7 9 11 13 15 17 19 Year U S $ m il li o n North Western Lukanga Southern Western Chambeshi Eastern Luapula Cost, Financing and Project Selection National Urban Water Supply and Sanitation Programme 123 TABLE 12.4: SOLID WASTE MANAGEMENT AND DRAINAGE INFRASTRUCTURE INVESTMENT NEEDS 12.4.3.3 SUMMARY PUBLIC NUWSSP INVESTMENT NEEDS A summary of all infrastructure investment costs, programme management and other soft-ware costs at the Local Authority and National levels are shown in Table 12.5. Note that general management costs at LA/CU and all government levels are not included. Nor are the investment needs of households and non-domestic consumers. TABLE 12.5: SUMMARY PUBLIC NUWSSP BUDGET Cost, Financing and Project Selection National Urban Water Supply and Sanitation Programme 124 12.4.3.4 UPDATING OF INVESTMENT PLANS The long-term Investment Needs projections should be updated two years after the launching of the NUWSSP and then regularly at least every five years or as required for planning and budget purposes. The short/medium term investment plans should be updated every year. 12.4.4 OPERATIONAL COSTS 12.4.4.1 OPERATIONAL COSTS WATER SUPPLY AND SANITATION The estimates are based on the actual costs of US$ 75.2 reported by NWASCO for the year 2009/2010 projected by means of the ZUWSSM for the coming years. See Table 12.6. TABLE 12.6: OPERATION AND MAINTENANCE OF WATER SUPPLY AND SANITATION (CUS) NATIONAL URBAN WATER SUPPLY AND SANITATION, CU OPERATIONAL COSTS COMPONENT COST, US$ MILLION Year 2011 2012 2013 2014 2015 2011-2015 2016- 2020 2021-2030 2011-2030 Operation 82 89 95 101 106 472 595 1676 2742 12.4.5 INVESTMENT NEEDS BY HOUSEHOLDS AND NON-DOMESTIC CONSUMERS Besides the public investment needs households and non-domestic consumers will also be required to make investments in internal piping, service connections, latrines, septic tanks and contributions to cover the infrastructure development costs. The non-public investments are often not considered or estimated in programmes but the ZUWSSM allows the costs to be calculated. Figure 12.8 illustrates that households and non-domestic consumers will have to invest approximately an additional 25 % of the public investments, mainly on sanitation infrastructure. Cost, Financing and Project Selection National Urban Water Supply and Sanitation Programme 125 FIGURE 12.8: INVESTMENT NEEDS OF SERVICE PROVIDERS, HOUSEHOLDS AND NON-DOMESTIC CONSUMERS AS A PERCENTAGE OF TOTAL INVESTMENTS IN WATER SUPPLY AND SANITATION. 12.5 PROGRAMME FINANCING 12.5.1 FINANCING BY USERS THROUGH SERVICE PROVIDERS The users of the services shall cover at least the direct operational costs ten years from the establishment of a CU. The users shall thereafter cover an increased portion of the investment costs aiming at covering at least half of the investment costs by year 2030. 12.5.2 FINANCING BY THE GOVERNMENT The Government will supplement the funds provided by the CPs. 12.5.3 FINANCING BY CO-OPERATING PARTNERS The CPs will be expected to provide the bulk of the development funds for the NUWSSP in the foreseeable future. Capex Service Provider, Households, Non- Domestic Consumers 0% 20% 40% 60% 80% 100% 1 3 5 7 9 11 13 15 17 19 21 Year C a p e x U S $ m il li o n Sanitation NDC Water NDC Sanitation Hhs Water Hhs Sanitation SP Water SP Cost, Financing and Project Selection National Urban Water Supply and Sanitation Programme 126 12.5.4 FINANCING BY THE COMMERCIAL AND PRIVATE SECTORS Commercial and private sector financiers will be encouraged to engage directly with Service Providers for the financing of NUWSSP development. 12.5.5 FINANCING PLANS The financing plans will be prepared after dialogue between the Government and the CPs. Table 12.7 summaries the investment needs for the period 2011 to 2015. TABLE 12.7 INVESTMENT NEEDS 2011 TO 2015 COMPONENT INVESTMENT NEEDS US$ MILLION FOR THE PERIOD 2011 – 2015 National level NUWSSP management and activities 19 Lusaka WSC 351 Kafubu WSC 227 Mulonga WSC 174 Nkana WSC 202 North Western WSC 18 Lukanga WSC 48 Sothern WSC 87 Western WSC 35 Chambeshi WSC 54 Eastern WSC 37 Luapula WSC 39 Other /Not earmarked 5 SWM 11 Drainage 18 Total 1,325 The Financing Plans will be updated yearly after dialogue between the Government and the CPs It is the intention that the commitments gradually change from ear-marked to non-earmarked contributions to the NUWSSP. 12.6 SENSITIVITY AND VIABILITY ANALYSIS An analysis was performed in December 2009 when the ZUWSSM-based investment plans were available from each CU and nationally. Cost, Financing and Project Selection National Urban Water Supply and Sanitation Programme 127 12.6.1 THE ZAMBIA URBAN WATER SUPPLY AND SANITATION MODEL (ZUWSSM) The ZUWSSM provides a uniquely versatile and useful tool that can be used for sensitivity and viability analyses aiming at identifying crucial parameters and investigating the implications of different scenarios. The main Model works with approximately 60 main input parameters, most of which consist of several sub-parameters. In addition, a complex pre-model provides unit-rate input for costing of selected infrastructure systems. 12.6.2 PARAMETERS AFFECTING THE CAPITAL INVESTMENT COST 22 parameters were tested for Low, Base and High values. The parameters were divided into internal that can be controlled by the water supply and sanitation policies or the management and external that depend on the development of the society as a whole and are not controlled by the WSS sector. Parameters affecting investment costs borne by SP most (in the order of magnitude, span between Low and High). 1. W&S material unit price levels (37%), External 2. Water losses (32%) Management 3. Economic development (26%), External 4. Domestic water consumption (23%), Policy and Management 5. Contribution by sanitation users to capital costs (20%), Policy 6. Access to water distribution (20%), Policy and Management The wide variability of SP investment cost due to all and internal factors respectively is illustrated in Figure 12.9. The external factors affect the costs more than the internal. Cost, Financing and Project Selection National Urban Water Supply and Sanitation Programme 128 FIGURE 12.9 VARIABILITY OF SERVICE PROVIDERS’ INVESTMENT COSTS AS AN EFFECT OF PARAMETER SELECTION (BASED ON PREL. ESTIMATES DEC. 2009) 12.6.3 PARAMETERS AFFECTING THE OPERATIONAL COST Parameters affecting SP operational expenditures most (in the order of magnitude, span between Low and High) 1. Depreciation (22%), Policy 2. Water losses (18%), Management 3. Economic development (17%), External 4. Bad debts (15%), Management 5. O&M cost level (12%), Management Parameters affecting SP revenues most. 1. Surcharges to high income consumers (60%), Policy 2. Economic development (27%), External 3. Depreciation (22%), Policy 4. Water losses (17%), Management Parameters affecting water rates most 1. Surcharges to high income consumers (92%), Policy 2. Economic development (70%), External Service Provider Investment Costs - 100 200 300 400 500 600 700 1 3 5 7 9 11 13 15 17 19 21 Year m il li o n U S $ SP Base SP Min All SP Min Internal SP Max All SP Max Internal Cost, Financing and Project Selection National Urban Water Supply and Sanitation Programme 129 3. Water losses (37%), Management 4. Depreciation (26%), Policy 5. Maximum affordable bills for low inc HH (23%), External and Policy Parameters affecting coverage of operational costs most. 1. Surcharges to high income consumers (58%), Policy 2. Bad debts (13%), Management Surcharges are defined as charges that will cover costs above the direct operational costs of the infrastructure developed for serving the high income and non-domestic consumers respectively. 12.6.4 ANALYSIS OF FINANCIAL VIABILITY WITH REGARD TO EXPENDITURES BY THE SERVICE PROVIDERS Selection of scenarios Low, Base and High main scenarios have been used in the finance viability analysis. As has been seen in the operations analysis the only effective way of increasing the coverage beyond coverage of the operational expenditures is to apply higher charges on those who use more water, mainly are the high income consumers. This is the universally used method and it also already recommended in the NWASCO Guideline. Distribution on source of finance The financing can be through internal revenue, grants and loans distributed through the following methodology: The Model is designed to first allocate internal revenue to finance the capital expenditure. When internal revenue is not adequate to meet needs, the requirement of grants are calculated up to a chosen limit and on specified expenditures as selected as input into the model. Lastly, the balance between the total capital expenditure and what is financed through internal revenue and grants is covered by loans. 12.6.5 VIABILITY CRITERIA A scenario is classified as sustainable: A. If Internal Revenue covers more than 10% of the capital expenditures. B. Grants or Loans then cover the balance (less than 90%) C. If the interest payment constitutes less than 10% of the internal revenue. Cost, Financing and Project Selection National Urban Water Supply and Sanitation Programme 130 D. If the average water rates are less than ZKW 2,100 for low income consumers. E. If the average water rates are less than ZKW 4,000 for high income consumers. It is assumed that financial sustainability will be more solid the more of the operational and capital expenditures are covered by internal resources (revenue) and the lower the average water rates. Sustainability is also assumed to be more solid the less the Zambian WSS sector depends on grants from the Co-operating Partners in absolute and relative terms. The assumed sources of finance for each year over the period 2010 and 2031, of one of the many possible viable scenarios, is shown in Figure 12.10. FIGURE 12.10: SCENARIO BASE COST AND OPERATION. 100% SURCHARGE ON HIGH INCOME AND NON-DOMESTIC CONSUMERS. GRANTS FOR LOW INCOME AND MAXIMUM 93% OF EXPENDITURE GAP FOR OTHER INFRASTRUCTURE. (US$ MILLION) 12.6.6 CONCLUSIONS REGARDING THE FINANCIAL VIABILITY A. Financial viability is achieved within a band of different Base and Low Cost scenarios. B. Within the viability band the internal financing varies from 34% to 59%, the grants from 0% to 59% and the loans from 4% to 32% as averages over the planning period 2010 to 2031. C. The need of external funding is high in the beginning and peters out towards the end of the planning period when the internal funds can cover more of the investments. D. The High Cost scenarios are not viable unless much higher external grants and funds become available and if high water rates are accepted by high income consumers. 12.7 IDENTIFICATION AND SELECTION OF PROJECTS & ACTIVITIES FOR FINANCIAL SUPPORT. 12.7.1 GUIDING PRINCIPLES The selection process will be described in detail in “Guidelines on the Use of NUWSSP Funds”. Main features of the process are outlined below. Sources of finance - 50 100 150 200 250 300 20 10 20 12 20 14 20 16 20 18 20 20 20 22 20 24 20 26 20 28 20 30 Borrow ing Internal funds Grants Cost, Financing and Project Selection National Urban Water Supply and Sanitation Programme 131 The Guidelines will be based on the following main principles: Decentralisation of NUWSSP project identification, formulation, planning, management, implementation and service delivery to lower level government and Service Providers. Financing of major NUWSSP components through a Financing Mechanism administered through MLGH. NUWSSP Partners shall be invited to submit project proposals under the Financing Mechanism through a “Call for Proposals” procedure. Proposals can cover one or several of the following activities and be phased as appropriate: Investigations; Master plan/Feasibility/Preliminary Design/Special studies; Detailed Design and Tender Documents; Works; Project Management; Capacity building; R&D; Education; Any other activity in line with the NUWSSP. Proposals prepared by the NUWSSP Partners shall be complete and of high professional uality so that they can be evaluated, prioritised and approved without further investigations. Transparent and objective criteria shall be used to evaluate and prioritise proposals. It is assumed that DTF will retain its function as a separate entity under the Financing Mechanism. Available and already tested funding guidelines for DTF will be used as a frame for the Funding Guidelines structure modified as appropriate. However, because of the increased magnitude of the NUWSSP it is assumed that the NUWSSP Partners will be required to take much more responsibility for managing the project implementation process themselves, with professional assistance, than is the case under the DTF mechanism. 12.7.2 PROJECT SELECTION WINDOWS There are three selection windows under the NUWSSP fund: The Planning and Performance Fund (PPF) The Project Implementation Fund (PIF) Performance Fund (refer to the Guidelines on the use of the Funds, February 2007, for all details) The application and selection process for PPF and PIF is shown in Figure 12.14 Cost, Financing and Project Selection National Urban Water Supply and Sanitation Programme 132 FIGURE 12.14 APPLICATION PROCEDURE FOR NUWSSP FUND COMPONENTS PPF AND PIF NUWSSP FUND S PPF AND PIF Cost, Financing and Project Selection National Urban Water Supply and Sanitation Programme 133 12.7.2.1 THE PLANNING AND PERFORMANCE FUND (PPF) Main objectives The main objectives of the PPF are (i) to assist the NUWSSP Partners financing long and short term planning of sustainable water supply and sanitation facilities in a broad sense; (ii) to assist Service Providers enhance their management performance; and (iii) to assist in financing organisations involved in managing funds, providing project support, broadening of the knowledge base and training for implementing the NUWSSP. In line with these objectives, the purpose of the Planning and Performance Fund (PPF) is: To assist with the funding master plans; special investigations and studies; feasibility studies; and preliminary and detailed design for the development of effective, efficient and sustainable service facilities in the urban and peri-urban areas. To assist with the funding of education, training and research & development aimed at increased availability of well trained staff at all levels; appropriate technologies; and, appropriate operation and management systems for improved service provision in the urban areas. To assist with establishing sustainable, effective and efficient management systems for Service Providers. To assist with funding the overall NUWSSP management and development including monitoring, evaluation, policy development, regulation, capacity building and information management. The following institutions are eligible to apply for funding under the Planning and Performance Fund: Local Authority Commercial Utility (CU) or other company established in line with the provisions of the WSS Act No.28 of 1997 or as amended by subsequent legislation, duly licensed by NWASCO, Solid Waste Management unit or company, duly regulated by ECZ. Ministerial co-ordinating or regulatory unit or statutory institution dealing with NUWSSP related activities. University and Government or private educational and training institution. Eligible Projects A project proposal may contain any one or any combination of the programme and project components shown in the matrix in Table 12.11 unless the CfP specifies otherwise. Cost, Financing and Project Selection National Urban Water Supply and Sanitation Programme 134 TABLE 12.11 MATRIX OF ELIGIBLE PROJECTS FOR PLANNING AND PERFORMANCE FUND (PPF) National Urban Water Supply and Sanitation Programme Component Eligible project components for the Planning and Performance Fund M as te r P la n In ve st ig at io n Fe as ib ili ty s tu d y P re lim in ar y d es ig n D e ta ile d d es ig n +T en d er D o c. Sp ec ia l s tu d y R e se ar ch Tr ai n in g an d Ed u ca ti o n C ap ac it y b u ild in g M an ag em e n t sy st e m Water supply           Sanitation           Solid waste management           Drainage           Policy development  Capacity development    Information management    Research & Development    NUWSSP management    Based on the detailed assessment, project proposals will be prioritised on the basis of the factors shown in Table 12.12. Cost, Financing and Project Selection National Urban Water Supply and Sanitation Programme 135 TABLE 12.12 FACTORS FOR PRIORITISATION OF APPLICATION FOR SUPPORT UNDER THE PLANNING AND PERFORMANCE FUND PRIORITISATION FACTOR WEIGHT AND CLASSIFICATION OF FACTOR HIGH SCORE AVERAGE SC. LOW SCORE 1.Documentation 1.1 Compliance with form requirements 5 4 3 Full compliance Acceptable Incomplete 1.2 Comprehensiveness of project documents 15 12 7 Comprehensive and detailed Adequate Sketchy or inconsistent 1.3 Plausibility of cost estimates 15 12 4 High Average Low Subtotal 35 28 14 2. Project N/A 3. Management 3.1 Applicant’s general management performance 5 4 3 Above average Average Below average 3.2 Applicant’s past performance in managing project grants and loans 15 12 5 Good Acceptable Poor 3.3 Involvement, competence and capacity of consultants and other expertise deployed to assist applicant 15 12 6 High Average Low Subtotal 35 28 14 4. Finance 4.2 Grants received by applicants over the last 3 years for same fund component 30 24 12 Below average Average Above average 30 24 12 Total 100 80 40 12.7.2.2 THE PROJECT IMPLEMENTATION FUND (PIF) Main objectives The main objective of the Project Implementation Fund is to assist Service Providers in implementing water supply, sanitation, solid waste management and drainage development projects in urban areas. Cost, Financing and Project Selection National Urban Water Supply and Sanitation Programme 136 In line with this objective, the purpose of the Project Implementation Fund (PIF) is: To facilitate funding for investment in water supply, sanitation, solid waste management and drainage works and equipment for urban areas, and To facilitate funding of professional services for supervision, project management and capacity building for these installations/facilities. Institutions eligible to apply for funding under the PIF are: Local Authority Commercial Utility (CU) or other company established in line with the provisions of the WSS Act No.28 of 1997 or as amended by subsequent legislation, duly licensed by NWASCO, Solid Waste Management unit or company, duly regulated by ECZ. Eligible Projects A project proposal may contain any one or a combination of the Programme components each normally containing all project components shown in the matrix in Table 12.13 unless the call for proposals specifies otherwise: ELIGIBLE PROJECT COMPONENTS FOR THE PROJECT IMPLEMENTATION FUND P ro je ct M an ag e m e n t S it e Su p e rv is io n W o rk s Eq u ip m e n t C ap ac it y b u ild in g fo r p ro je ct National Urban Water Supply and Sanitation Programme component Water supply      Sanitation      Solid waste management      Drainage      TABLE 12.13 MATRIX OF ELIGIBLE PROJECTS FOR PROJECT IMPLEMENTATION FUND Selection Based on the detailed assessment, project proposals will be prioritised on the basis of the factors shown in Table 12.14. Cost, Financing and Project Selection National Urban Water Supply and Sanitation Programme 137 TABLE 12.14 FACTORS FOR PRIORITISATION OF APPLICATION FOR SUPPORT UNDER THE PROJECT IMPLEMENTATION FUND PRIORITISATION FACTOR WEIGHT AND CLASSIFICATION OF FACTOR HIGH SCORE AVERAGE SC. LOW SCORE 1.Docume ntation 1.1 Compliance with form requirements 5 4 3 Full compliance Acceptable Incomplete 1.2 Comprehensiveness of project documents 10 8 4 Comprehensive and detailed Adequate Sketchy or inconsistent 1.3 Plausibility of cost estimates 10 8 3 High Average Low Subtotal 25 20 10 2. Project 2.1 Current service level 10 8 4 No existing service Poor Acceptable service level 2.2 Potential for improvement of health condition and livelihood 5 4 3 High health hazards Medium health hazards Low health hazards 2.3 Cost per beneficiary 1) 10 8 3 Low Medium High Subtotal 25 20 10 3. Managem ent 3.1 Applicant’s general management performance 2) 5 4 3 Above average Average Below average 3.2 Applicant’s past performance in managing project grants and loans 10 8 3 Good Acceptable Poor 3.3 Involvement, competence and capacity of consultants and other expertise deployed to assist applicant 10 8 4 High Average Low Subtotal 25 20 10 4. Finance 4.1 Financial viability of total scheme after implementation of project 15 11 4 Full cost coverage O&M cost coverage O&M not fully covered 4.2 Grants received by applicants over the last 10 years for same fund component 3) 10 9 6 Below average Average Above average Subtotal 25 20 10 Total 100 80 40 1) Factor applied for prioritisation of projects with similar technical content only. 2) NWASCO ranking when applicable 3) Calculated per beneficiary when applicable Cost, Financing and Project Selection National Urban Water Supply and Sanitation Programme 138 DECISION ON PROJECT SELECTION BY PROGRAMME STEERING COMMITTEE NUWSSP Fund Management submits funding recommendations to the Programme Steering Committee for approval. 12.8 OVERVIEW OF ACTIVITY FRAMEWORK AND TIME SCHEDULE FOR INVESTMENT PLANNING AND FINANCING TABLE 12.25: OVERVIEW OF ACTIVITY FRAMEWORK AND TIME SCHEDULE FOR INVESTMENT PLANNING AND FINANCING ACTIVITY B Y W H O M 2 0 1 1 2 0 1 5 2 0 3 0 Dialogue and negotiation between GRZ and Cooperating Partners about the financing of the NUWSSP U W SS S/ G R Z/ C P Finalisation of “Guidelines on the Use of NUWSSP Funds” U W SS S Updating of Investment Plans and financial analyses for the Medium Term Strategic Plans and Expenditure Framework U W SS S/ C U Legend Regular activity level Enhanced activity level Management and Organisation National Urban Water Supply and Sanitation Programme 139 Policy makers, Regulators and Commercial Utility representatives discuss WSS management issues during the MLGH-NWASCO CEO's forum 14-15 July 2010. CHAPTER THIRTEEN MANAGEMENT AND ORGANISATION 13.1 Context, Strategy and Organisational Framework 13.1.1 Context There are five core institutional functions that must be performed in the delivery of public services in Zambia. These are: Public policy formulation. Regulation. Mobilisation of financial resources Corporate governance. Service delivery. It is generally accepted that if these roles are to be performed efficiently and effectively they should be carried out by different institutions. The foundation for the Water Sector Reform was laid down in 1994 in the “Proposed Strategy and Institutional Framework for Water Supply and Sanitation Sector” and later approved by the Cabinet. The Management and Organisation National Urban Water Supply and Sanitation Programme 140 Strategy follows the principle of decentralisation and accordingly few executive functions would remain at the national level, and they would be executed by MLGH. They are concerned mostly with the transfer of national funds made available in support of GRZ social objectives in the sector, and co-ordination of external borrowings and grants. 13.1.2 STRATEGY The overriding principles applied for the management of NUWSSP are: Continuation of the implementation of the institutional arrangements laid down in Strategy 1994, the National Water Policy and other related national policies and strategies. Sector-wide approach (SWAp) for development of urban water supply, sanitation, solid waste management and drainage Gradual decentralisation of government responsibilities and functions (including financing of development and operations) to lower level government and service providers Inter-sector co-ordination in executive committees and advisory groups Professional, transparent, efficient and cost effective management in lean government and when required statutory institutions with separate financing Separation of executive and regulatory functions Utilisation of existing organisations, competences and experiences through gradual integration and institutional development into new structures Transfer of investment funds between the Government/CPs and the Executive institutions (LAs/CUs) shall be as direct as possible in the long term While generally aiming at a SWAp, in exceptional cases alternative financing routes can be used for special purposes as agreed between MoFNP, MLGH and CPs. Alternative frameworks have been considered and discussed during the NUWSSP preparation process. The organisation and management will inter-depend on the finally selected financial management system discussed in Chapter 14. A special consultancy study was commissioned to come up with recommendations on a joint NUWSSP/NRWSSP financing mechanism (FM). At the date of launching of the NUWSSP, the study had not yet been finally completed. The framework for organisational and management described in section 13.1.3 below may therefore have to be modified after the completion of the study and a decision on the final structure of the FM has been taken by the Government. 13.1.3 FRAMEWORK FOR ORGANISATION AND MANAGEMENT After analysing a number of alternatives the framework shown in Figure 13.1 outlines the main principles that will form the basis for further refinement. Management and Organisation National Urban Water Supply and Sanitation Programme 141 FIGURE 13.1 FRAMEWORK FOR ORGANISATION AND MANAGEMENT OF NUWSSP 13.2 STEERING COMMITTEE FOR WATER SUPPLY AND SANITATION 13.2.1 PROGRAMME STEERING COMMITTEE Oversight of the NUWSSP activities will be undertaken by the existing National Water Supply and Sanitation Steering Committee (NWSSSC) which was established in 2007. The functions of the NWSSSC are to provide overall guidance and monitor the implementation of the programme. The NWSSSC will mainly concern itself with matters related to policy and overall implementation of the NUWSSP. The scope of work of the NWSSSC in relation to the NUWSSP will include the following: Review and approve the work plans and budgets for the NUWSSP as a whole and, where required, individual parts; Review overall progress in fulfilling the aims of the NUWSSP; Review issues of policy concern, overall strategy/goals of the NUWSSP and problems with the implementation of NUWSSP and, where necessary, recommend remedial actions. Provide recommendations for the design of any future activity(s) or revision of existing components; Review proposals for use of unallocated funds for consideration of the financiers; Plan for and recommend specific issues that should be considered in the joint annual sector reviews (JASR); NUWSSP MLGH DHID UWSSS LOCAL AUTHORITY CU CBO SWM Co. Steering Committee NUWSSP WSAG WSS Sub- Committee ECZ MoH NWASCO DTF WWG Private Sector NGO Green arrows – Steering and Advice Black Arrows – Co-ordination and Support Red Arrows – Regulation NWASCO Management and Organisation National Urban Water Supply and Sanitation Programme 142 Recommend where technical assessments are required for activities on specific themes that affect the NUWSSP as a whole; Follow up on the implementation of the JASR Agreement including any adjustments that need to be made to the NUWSSP; Where necessary, address changes to the management, organisation and procedures of the NUWSSP. To appoint and constitute technical working committees as and when required. The National Water Supply and Sanitation Steering Committee comprises: Permanent Secretary - MLGH (Chair) Permanent Secretary - Policy (Cabinet Office) Permanent Secretary - MEWD Permanent Secretary - MoE Permanent Secretary - MoH Permanent Secretary - MCDSS Permanent Secretary – MoFNP Provincial Permanent Secretary for:  Northern Province  Western Province  Luapula Province  North-Western Province  Lusaka Province Lead CP for Water Supply and Sanitation Director DHID The Permanent Secretary - MLGH is the chairperson of the NWSSSC. The members elect the deputy chairperson. DDHID in MLGH is the head of the secretariat for the NWSSSC, and operational expenses for the NWSSSC are budgeted for under DHID. 13.2.2 NUWSSP TECHNICAL COMMITTEE This is a subcommittee of the NWSSSC that reviews the detail of the reports, work plans and budgets of various WSS programmes and projects. The Committee has been proposed for managing the financing mechanism. 13.3 ADVISORY GROUPS 13.3.1 WATER SECTOR ADVISORY GROUP (WSAG) AND DONOR CO-ORDINATION During the formulation of the Fifth National Development Programme (FNDP) Government established sector advisory groups (SAGs) consisting of multi-sector stakeholders to advise each sector in the formulation of each sector plan. Management and Organisation National Urban Water Supply and Sanitation Programme 143 13.3.2 WATER SAG, WATER SUPPLY AND SANITATION SUB-COMMITTEE The purpose of the existing Water SAG, Water Supply and Sanitation Sub-Committee is to provide a competent forum to advise GRZ and collaborating partners in the water sector on coordination, delivery and implementation of development assistance to the water supply and sanitation sub-sector in Zambia and to promote a sector wide approach (SWAp) for its delivery and implementation. The Water SAG, Water Supply and Sanitation Sub-Committee will have the following structure: • Chair • Ordinary/Full Members • Affiliated Members • Resource Persons • Secretariat The Chair will be held by the Director DHID in the Ministry of Local Government and Housing. Ordinary/Full Members are the senior officials of relevant ministries as well as representatives of the Lead Collaborating Partners. Affiliated Members are senior officers of research and educational institutions, representatives of the private sector, collaborating partners, and non-government organisations, all of which must be active in the water sector. Resource Persons are prominent sector specialists, advisers and consultants appointed on long-term basis by the Chair or Lead Cooperating Partners or invited on a case-by-case basis by members. The Chair is responsible to provide secretariat services from within their ministry. 13.4 GOVERNMENT LINE MINISTRIES 13.4.1 MINISTRY OF LOCAL GOVERNMENT AND HOUSING (MLGH) MLGH is the programme executing agency through its Department of Housing and Infrastructure Development (DHID). The existing Urban Water Supply and Sanitation Section (UWSSS) in DHID is responsible for day to day execution of urban water supply and sanitation activities. 13.4.1.1 THE URBAN WATER SUPPLY AND SANITATION SECTION (UWSSS) AT MLGH The specific functions of the UWSSS will be: Overall management of the NUWSSP Initiating the planned NUWSSP activities in co-operation with other actors in the UWSS sector. Regular follow up and analysis of the NUWSSP objectives, strategies, activities and documents with regard to their adequacy and effectiveness. Policy development and processing of approval by Government Development of standards for the design and construction of water supply, sanitation, solid waste and drainage facilities Management and Organisation National Urban Water Supply and Sanitation Programme 144 Preparing proposals for updating of the NUWSSP objectives, strategies, activities and documents for decision of the National Water Supply and Sanitation Steering Committee (NWSSSC). Participation in meetings of the NWSSSC and WSAG- Water and Sanitation Sub-committee. Implementing actions as directed by the NWSSSC. Management of the UWSSS technical assistance personnel and procurement of consultancy services. Day-to-day management of personnel, offices and logistics. Planning and Co-ordination Assessing and updating infrastructure development needs. Call for proposals from Service Providers and other actors for financing of activities. Screening and quality assurance of received proposals from Service Providers Co-ordination of support activities with the DTF. Liaison with Service Providers, NWASCO, CSO and other ministries regarding determination and definition of indicators. Provision of timely responses to district local authorities and CUs on issues arising out of implementing of a decentralised UWSS programme. Project Prioritisation and Assessment Developing transparent and objective criteria for prioritisation and selection of projects for support under NUWSSP. Determining priorities for investment on the basis of established investment and priority criteria. Developing detailed guidelines for preparation and processing of support applications. Receiving and assessing project proposals from Service Providers and other actors for internal and external financing, in conformity with established sector policies and standards and the NUWSSP. Recommending support of activities and projects for decision by DHID or the Programme Steering Committee. Finance, Budgeting and Disbursement Budget revisions and provision of annual, MTEF and NDP budget estimates to the MLGH and MoFNP. Mobilisation of financial resources in consultation with local authorities, Service Providers and Co- operating partners (CPs). Authorising the release of funds from MoFNP and MLGH to Service Providers and other actors supported through the NUWSSP. Keeping accounts for all received, used and disbursed funds in the NUWSSP. Management and Organisation National Urban Water Supply and Sanitation Programme 145 Capacity Building and Support Assisting local authorities and CUs in assuming decentralised functions with advice and through funding of necessary assistance through the NUWSSP. Preparation and dissemination of sector guidelines and standard documents for planning, design, specifications, tendering, procurement of consultancy services, supervision and project management. Initiating needs assessments and preparing implementation plans for capacity-building and research for actors in the UWSS sector. Management of national-level UWSS capacity-building activities. Facilitate learning and sharing of experiences from NUWSSP across the country Formulating research and training programmes in liaison with research and educational institutes. Monitoring, information management and reporting Monitoring the implementation of development projects and other activities under NUWSSP and taking any necessary corrective action. Reporting of physical and financial progress to GRZ and CPs. Setting up an Information Management System (IMS) and updating it regularly. Development and implementation of a sector performance measurement system, Communication Developing and implementing a detailed NUWSSP communication plan. Production of NUWSSP documents and other information materials. Production and updating of NUWSSP information for the websites of MLGH, MOFNP, MWED, NWASCO Assisting Service Providers in developing their communication strategies. Developing and distribution of information materials for the national level and to assist Service Providers with their communication with consumers. Developing educational and information programmes and broadcast on radio and TV Provide information on national and international courses, conferences and research Issuing press releases and hold press briefings on the NUWSSP and its implementation progress The capacity of the UWSSS shall be flexible and adjusted to varying needs over time. It shall be high in the initial stages and lower as the management modalities and tools for the NUWSSP have been developed and the CUs develop increased capacity to handle the programme activities. Management and Organisation National Urban Water Supply and Sanitation Programme 146 The UWSSS will initially (at least for 3 years) comprise of: Principal WSS Officer Urban (existing post) Senior WSS Officers Urban (existing post) Senior WSS Officer Peri-Urban (existing post) Technical Assistant (Engineer, water supply and sanitation), International Component Management Advisor Technical Assistant (Engineer, solid waste and drainage) Technical Assistant (Economist/Engineer, planning and budgeting) Technical Assistant (Communication and HRD) Accountant(NUWSSP) Office Assistants, Drivers and Messenger. Outsourcing of services will be done for preparation of various guidelines, for designing and implementing an IMS and as required from time to time. Adequate office space and logistics for the UWSS shall be arranged at the outset of the NUWSSP. 13.4.2 OTHER MINISTRIES In line with the Water and Sanitation Act (1997), the Ministry of Energy and Water Development (MEWD) is responsible and will handle water resources aspects, Ministry of Health (MOH) will be involved in issues related to public health and the Environmental Council of Zambia (ECZ) will deal with issues related to the discharge of effluents and management and disposal of refuse. 13.5 LOCAL GOVERNMENT LEVELS 13.5.1 PROVINCIAL LEVEL The provincial administration will have very limited executive functions regarding NUWSSP at least in the short and medium terms. However they will have a role to monitor the implementation of the NUWSSP and individual projects implemented by the local authorities and the CUs. 13.5.2 DISTRICT LEVEL In accordance with the Local Government Act of 1991, UWSS service provision for water supply, sanitation, drainage and refuse collection within their areas of jurisdiction is the responsibility of city, municipal and district councils. There are 4 City, 14 Municipal and 54 District Councils in Zambia. Most councils do not have departments or units for all the functions and most district based government departments report to line ministries and not the councils. 13.5.2.1 COMMERCIAL UTILITY (CU) FOR PROVISION OF WATER SUPPLY AND SANITATION SERVICES As stated in the Water Supply and Sanitation Act [No.28 of 1997] a local authority may resolve to establish a water supply and sanitation utility as a company under the Companies Act. Management and Organisation National Urban Water Supply and Sanitation Programme 147 At present (2010) 11 CUs have been formed, namely: Lusaka, Nkana, Kafubu, Mulonga, Southern, Lukanga, Chambeshi, Eastern, North Western, Western and Luapula Water and Sewerage Companies. Luapula WSC and Eastern WSC, which is an expansion of the former Chipata WSC are still in the process of establishing themselves in their respective areas. The management capacity in all CUs is to be enhanced so that each CU will be able to provide the required sustainable services directly by its own organisational resources and through the procurement of external services and expertise. Peri-Urban Units (PUU) with a budget and well trained human resources will be established in all CUs to strengthen the service delivery in peri-urban areas. The PUU will work closely with the communities regarding planning, construction, operation, maintenance, tariffs and education relevant to all aspects of WSS provision in the PU areas. 13.5.2.2 SOLID WASTE MANAGEMENT COMPANIES In line with the formation of a CU for providing water supply and sanitation services, a local authority may resolve to establish a Solid Waste Management Company under the Companies Act to assist the Council. Experience of this solution already exists in Lusaka and the Copperbelt. 13.5.2.3 COMMUNITY BASED ORGANISATIONS (CBOS) There are many community-based institutions playing different roles in the provision of Water Supply and Sanitation in per urban areas and informal settlements. Many of these have weak institutional and legal arrangements and sometimes work at cross purposes. Memoranda of Understanding (MoU) should be agreed between service providers (Local Authorities and CUs) and CBOs to clearly spell out responsibilities of all parties involved in service provision. The MoU should be discussed and negotiated to mutually acceptable terms by the concerned parties and not imposed by any one party. 13.5.2.4 PRIVATE SECTOR The private sector will be encouraged to participate in all components of the UWSS sector. With the enhanced rate of implementation of UWSS the participation of the private sector will increase considerably and become more complex. Hence, both the quantitative and the qualitative input by the national and international private sector need to be raised through capacity building and joint ventures between local and foreign firms. 13.6 REGULATORY INSTITUTIONS In the context of the water resource sector the regulatory institution needs to have responsibility for four aspects of the sector: Consumer protection. Economic regulation. Water quality. Water environment. Management and Organisation National Urban Water Supply and Sanitation Programme 148 The regulatory bodies in Zambia include: NWASCO, responsible for consumer protection and economic regulation. The Ministry of Health responsible for water quality regulation. The Water Resources Management Authority and the Environment Council of Zambia (ECZ), responsible respectively for quantity and quality aspects of environmental regulation. 13.6.1 NATIONAL WATER AND SANITATION COUNCIL (NWASCO) NWASCO was established by the Water Supply and Sanitation Act No. 28 of 1997. NWASCO is governed by a statutory body with 7 board members from public and private institutions appointed for a three-year term by the Minister, MEWD and NWASCO reports to Parliament through MEWD. Appeals against decisions of NWASCO can be channelled through the Minister, MEWD to the High Courts of Zambia. The activities of NWASCO are mainly (84 % in 2009) funded from licence fees of 2 % of the CUs’ turnover and to some degree from grants, donor support and other income. There are 10 professional and 6 support staff members (2010) lead by the Director as chief executive officer appointed by the Council. The structure is complimented by 15 part-time inspectors spread across the country. 13.6.1.1 TECHNICAL ADVISORY COMMITTEE TO NWASCO The Act Clause 6 provides for a Technical Advisory Committee to be constituted. 13.6.1.2 WATER WATCH GROUPS NWASCO has appointed 12 (2010) non-statutory Water Watch Groups (WWGs) to help in its consumer protection role. The functions of the WWGs are to: improve communication between providers and consumers create awareness among consumers on their rights and responsibilities handle unresolved consumer complaints give feedback to NWASCO 13.6.2 MINISTRY OF HEALTH (MOH) The Public Health Act effectively delegates the responsibility for monitoring water quality to Local Authorities. 13.6.3 ENVIRONMENTAL COUNCIL OF ZAMBIA (ECZ) Under the Environmental Protection and Pollution Control Act of 1990, there is an Environmental Council set up to monitor and enforce standards in relation to all activities relating to water quality, discharge, effluents Management and Organisation National Urban Water Supply and Sanitation Programme 149 and emissions. ECZ is required under legislation to monitor and control the activities of companies including utility companies, and to that extent, it has a fundamental responsibility and duty in relation to a service provider's activities. 13.6.4 THE WATER RESOURCES MANAGEMENT AUTHORITY The Water Resources Management Authority is planned to be established shortly under the Water Resources Management Bill, originally drafted in 2007and at the time of launch of the NUWSSP being debated in parliament. The WRM Authority, in accordance with this Act, will have the power to: (a) exercise control over all water resources in Zambia; (b) plan, review and approve management plans in a catchment or sub-catchment, including inter- catchment and intra-catchment diversions; (c) issue water entitlements and allocate water for various uses (d) grant water permits and licences Management and Organisation National Urban Water Supply and Sanitation Programme 150 13. OVERVIEW OF ACTIVITY FRAMEWORK AND TIME SCHEDULE FOR MANAGEMENT AND ORGANISATION TABLE 13.5: OVERVIEW OF ACTIVITY FRAMEWORK AND TIME SCHEDULE FOR MANAGEMENT AND RGANISATION TA R G ET ACTIVITY B Y W H O M 2 0 1 1 2 0 1 5 2 0 3 0 G o ve rn m e n t an d C P s Deliberation of the NUWSSP in the Water Sector Advisory Group (WSAG) D H ID /C P Adoption of NUWSSP and signing of Memorandum of Understanding by Government of Zambia and Cooperating Partners D H ID /G R Z/ C P WSAG(sub-com.) and NUWSSP Steering Committee meet regularly D H ID G o ve rn m e n t In st it u ti o n s Assign UWSSS responsibility and lay down the modalities for the management of NUWSSP D H ID Strengthening of the UWSSS with TAs, accountant, support staff and provide office space and logistics D H ID Commissioning of consultancies to prepare guidelines and standard documents for Service Providers U W SS S Implement any organisational changes resulting from the Policy Development Programme U W SS S Increase the number of and improve the performance of Part Time Inspectors and WWGs N W A SC O Co-ordination between town planning authorities and service providers M LG H /G R Z Se rv ic e P ro vi d e rs Operationalize fully the newly formed CUs Luapula WSC and Eastern WSC C U /N W A SC O Management and Organisation National Urban Water Supply and Sanitation Programme 151 ACTIVITY B Y W H O M 2 0 1 1 2 0 1 5 2 0 3 0 Increase the number of and improve performance of Peri-Urban Units and Quality Surveillance Units C U /N W A SC O /M O H Formation of Solid Waste Management Companies LA /U W SS S P ri va te S e ct o r Strengthen organisation, competence and capacity for increased participation in the UWSS sector P R IV .S EC T ./ U W SS S Legend Regular activity level Enhanced activity level TARGET Financial Management National Urban Water Supply and Sanitation Programme 152 Financial Management is critical to sustainability – Typical for a CU, a meter is the most fundamental performance and financial accountability instrument for operations. Only what can be measured can be managed. CHAPTER FOURTEEN FINANCIAL MANAGEMENT 14.1 PRINCIPLES The financial management of the programme is based on two fundamental principles: A Sector Wide Approach (SWAp). Decentralisation of responsibility to local government This requires the establishment of a single account at national level for the programme and the transfer of funds to service providers based on an agreed set of rules. Overall, there are four main sources of finance for the direct costs of the programme: Government, CPs, LAs and communities. The way these costs are shared is central to the success of the programme if it is to be sustainable. The proposed arrangement for the relative contributions to be made by each of these four groups is shown below. Financial Management National Urban Water Supply and Sanitation Programme 153 The SWAp requires that the Government and CPs make the following commitments: To have the programme managed through a single management system guided by a single set of principles and standards. The control of the programme to be delegated to an agreed agency. To work with the multi-year budget framework and adapt to government classifications To work with the sector policy framework To use Joint Monitoring and Reporting Procedures To participate in Policy Dialogue 14.2 OBJECTIVES The overriding purpose of the Financial Management is to provide expedient, efficient and effective support to the local Service Providers in their endeavour to improve the WSS service delivery to the public. The financing mechanism shall: Facilitate the provision of adequate financing of the water supply and sanitation sector in Zambia Despite the sound policy reform measures that have been implemented since 1994, sector budgets from Government have remained very low and so too has sector finance from the private sector. Furthermore the principle of full cost recovery has not been achieved as most water utilities and service providers are unable to meet operational costs due to unsatisfactory sector investments, rundown water infrastructure and inefficiencies in operating procedures. The financing mechanism is therefore expected to assist the sector to attract additional financial resources in the water and sanitation sector from the government, external support agencies, and the private sector as well as through enhanced ability of water providers to invest in the sector through cost recovery and efficient operations. Promote the effective and equitable distribution of financial resources In the past, financial resources for UWSS have not been distributed effectively and equitably for various reasons. These include for example preferences or whims of the financiers, geographical location, political connections or chance. In addition, there is a distinction between the formal urban and peri-urban water supply and sanitation facilities and systems because of their planned or unplanned development. Effective financing will therefore, require that the real needs are taken into account to ensure both efficiency and more importantly equitable distribution of resources to all NUWSSP sub-sectors. The financial management must therefore take account of this and strengthen financing of service delivery through the devolved local government system. Financial Management National Urban Water Supply and Sanitation Programme 154 Provide for sound management of financial resources in the water supply and sanitation sector The Paris Declaration on Aid Effectiveness and the new aid architecture for Zambia recognize the need to improve interventions in development assistance towards programme based approaches for the purpose of strengthening national government institutional arrangements and promoting harmonization and alignment. This calls for effective organizations, financing systems and management arrangements that can provide sufficient confidence to all potential sector financiers (Government; external support agencies, Private sector etc) to use national institutional arrangements. Such systems would have to embrace a high degree of transparency and accountability. The FM therefore requires the development and application of sound financing mechanisms to support effective service delivery. 14.3 FUNDING OPTIONS 14.3.1 OVERVIEW OF EXISTING AND POTENTIAL FMS FOR THE WATER SECTOR IN ZAMBIA The funding of the NUWSSP is expected to be through a number of options e.g.: Government Grant Budget via Treasury to Sector Ministry at HQ, Province and District Level SWAp, basket funding and Sector Budget Support Official Loans from bi- and multilateral donors Commercial loans Public Private Partnership arrangements Suppliers Credit Grant Subsidy Schemes for special consumer groups or special services provision Self Supply finance by consumers themselves User Fees Long Term Investment Capital 14.3.2 FUNDING MODALITIES The funding modalities from external financial sources to be accommodated under the NUWSSP are outlined below: National revenues – Government will provide funding to the sector through its normal budget process in line with its medium term expenditure framework (MTEF). Negotiation on funding levels by Government will be subject to sector wide policy dialogue under the national program and Government’s budgetary process. Financial Management National Urban Water Supply and Sanitation Programme 155 General and Sector Budget Support - This funding modality will be formalised by Government and those CPs willing to provide funding through this approach. As a first step it is expected that Government will include key water sector indicators as part of the Poverty Assessment Framework (PAF) under the on going poverty reduction budget support initiative (PRBS). Pooled Funding - Government will establish and maintain a basket fund for the sub sector. CPs will be encouraged to provide their support through this approach. Parts of the programme that are to be supported by the basket fund will be negotiated annually under the programme’s annual implementation planning process. It is expected that substantial parts of sector development components of the NUWSSP will be supported by pooled funding arrangements. Project Funding – The national programme will be supported through projects which will from part of the basket of activities of the NUWSSP. For a transitional period NUWSSP will continue to be supported by Area Based Projects (ABP) as described in Chapter 4.8 and 5.7. The CP assisted ABPs, mostly formulated before the NUWSSP, are largely consistent with the NUWSSP’s objectives and strategies. CPs that may not or cannot align themselves with pooled funding modalities or budget support may continue to support the sector and the NUWSSP through activity based funding as long as the approaches and strategies of the NUWSSP are followed and the input is coordinated by the management of the NUWSSP. Funding will be managed and co-ordinated by MLGH. CPs may enter into bilateral agreements in support of the NUWSSP. These agreements, must as far as possible be in line with SWAp as described above or the Joint Government/CP agreement on the NUWSSP. Under these arrangements, funding will also be co-ordinated and managed by MLGH. The funding modalities from local financial sources to be accommodated under the programme are: User fees Re-invested profits Local taxes Public Private Partner arrangements Figure 14.1 shows the mobilisation and disbursement process. Financial Management National Urban Water Supply and Sanitation Programme 156 FIGURE 14.1 MOBILISATION AND DISBURSEMENT PROCESS (PEMCONSULT AUGUST 2010) 14.4 FINANCIAL MANAGEMENT STRATEGY The NUWSSP will only succeed if the financial management arrangements are sound and transparent. This requires: Up-front commitment of funds from Government and CPs with actual disbursement of funds, on time, to match these commitments. Commitment to the system of transferring funds to implementing local agencies such as district councils and commercial utilities. The necessary accounting and auditing procedures are in place. The funding commitments from CPs will be included in MoUs and Inter-government Agreements with GRZ and these contracts must describe the relative contribution of both parties and the arrangements for payment into a basket fund. Both parties need to have the option of withdrawal from the programme if the agreed contributions into the national account are not made. Commitments to implementing agencies are made by Government for three years corresponding to an MTEF period. Commitments are conditional on the history of management of previously implemented projects, updated information systems and other elements of the MOU with MLGH. Implementing Agencies: Local Funding Implementing Agencies: CP Project Funding Implementing Agencies: GRZ & CP pooled Funding GRZ & CP pooled Funding in WSS Account at MoFNP WSS Annual Funding Consolidated and Mobilised by MLGH in line with National Programmes Local Funding USER FEES Re-invested Profit Local Taxs PPPs GRZ Funding CP Pooled Funding CP Project Funding MLGH FUNDS FLOW INFORMATION FLOW Financial Management National Urban Water Supply and Sanitation Programme 157 Alternative financial management strategies have been considered and discussed during the NUWSSP preparation process. The organisation and management will inter-depend on the finally selected framework for organisation management discussed in Chapter 13. A special consultancy study was commissioned for the purpose of coming up with recommendations on a joint NUWSSP and NRWSSP financing mechanism (FM). Preliminary recommendations are available. (September 2010). Prior to receipt of the final recommendations and decisions by the Government, a tentative principle FM framework is shown in Figure 14.2. Red Arrows – Funds Flow. FIGURE 14.2 PRINCIPLE FRAMEWORK FOR FINANCING MECHANISM 14.5 EXPENDITURE / PROCUREMENT All expenditure in the public sector is guided by the Public Procurement Act, 2008 administered by the Zambia Public Procurement Authority (ZPPA) formerly the Zambia National Tender Board. This even applies to CUs, which are considered part of the Public Sector as outlined for instance by the Public Audit Act since they are funded in part by the public through GRZ. Section 3 of the Public Procurement Act provides for this. The ZPPA has developed guidelines that are publicly available. NUWSSP MLGH DHID UWSSS LOCAL AUTHORITY CU CBO SWM Co. GRZ and CP pooled Funding in WSS Account in MoFNP EC Z NASC O WWG Private Sector NGO Authorization Financial Management National Urban Water Supply and Sanitation Programme 158 14.6 ACCOUNTING AT NATIONAL LEVEL The WSS account will be opened and operated by MoFNP. This account will be subject to the accounting systems of MoFNP, who must provide the CPs and Government with an up-to-date financial status and present timely financial reports. The system shall provide efficient control and monitoring of UWSS funds. The systems shall follow international standard accounting rules. The MoFNP must prepare reports on a quarterly basis for Government and CPs on utilizations of funds. The CPs reserve the right to withhold payment of funds until sufficient documentation has been received on previous expenditures. A separate account for national level activities will be established by the MLGH. This account will be subject to the accounting systems of MLGH, who must provide the Government with an up-to- date financial status and present timely financial reports. The system shall provide efficient control and monitoring of UWSS funds. The systems shall follow international standard accounting rules. The MLGH must prepare reports on a quarterly basis for Government on utilizations of funds. The PSC reserves the right to withhold payment of funds until sufficient documentation has been received on previous expenditures. NWASCO will follow the provisions of the Constitution of Zambia, Public Finance Act No.15 of 2004. DTF will keep accounts in accordance with the Companies Act, 1994. AT DISTRICT LEVEL District councils must open separate bank accounts for the UWSS funds they receive as a transfer from the WSS account. The standard accounting practice for district councils will be followed. The systems shall follow international standard accounting rules. The adequacy of the system will be assessed before funds are transferred into any district account. The assessment will include an assessment of the use of the system and of the procurement, tendering and contracting procedures of the agency. The PSC must approve the accounting system and procedures. District treasurers must submit quarterly financial reports relating to this account. The PSC reserves the right to withhold payment of funds until sufficient documentation has been received on previous expenditures. AT COMMERCIAL UTILITIES LEVEL CUs will keep accounts in accordance with the Companies Act, 1994. 14.7 AUDITING AT NATIONAL LEVEL The Auditor General (AG) is the national body that is responsible for ensuring that government funds are utilized for the prescribed purposes, that funds are managed as per the financial manual, Financial Management National Urban Water Supply and Sanitation Programme 159 and that they are utilized effectively. The audit of the NUWSSP account shall be carried out at least once every year. Reporting by AG will consist of an audit report with auditor’s comments including an attachment on fixed assets for each component. The audit reports shall be submitted to the MoFNP, CPs and the PSC within six months after the expiry of the Government fiscal year or expiry of the agreement. Any expenses disallowed by audit including audit recoveries shall be returned to the programme. The PSC reserves the right, at any time to field a special audit, to conduct financial and physical audits. The CPs reserves the right to, at any given time, to field audits, at national level, of e.g. to evaluate the degree to which ‘value for money’ has been achieved, for example by comparing to standard unit prices at any given time during the implementation. CPs will conduct such audits alone or together and the CP will cover the cost of the audit. No CP can conduct an audit without informing the Lead CP and Government. NWASCO will be audited in accordance with Article 121 of the Constitution of Zambia, Public Finance Act No. 15, Public Audit Act o 1980, CAP 378. DTF will follow the principles for external auditing provided for in the Companies Act, 1994. AT DISTRICT LEVEL The WSS accounts kept by district councils will be subject to standard auditing practice for these councils, with oversight of the Auditor General. In addition these accounts will be audited by a private firm of auditors who will carry out audits of the district UWSS accounts on the following basis: All districts will have an audit within two years of first receiving a transfer of UWSS funds. Thereafter, audits will be carried out on a random basis with the aim of getting every district account checked at least every 3 years. The PSC reserves the right, at any time to field a special audit, to conduct financial and physical audits. The costs of these audits are to be included under the National UWSS operating account. The CPs reserve the right to, at any given time, to field audits at district level, of e.g. to evaluate the degree to which ‘value for money’ has been achieved, for example by comparing to standard unit prices at any given time during the implementation. CPs will conduct such audits alone or together and the CP(s) will cover the cost of the audit. No CP can conduct an audit without informing the Lead CP and Government. Financial Management National Urban Water Supply and Sanitation Programme 160 AT COMMERCIAL UTILITIES LEVEL CUs will follow the principles for external auditing provided for in the Companies Act, 1994. 14.6 OVERVIEW OF ACTIVITY FRAMEWORK AND TIME SCHEDULE FOR FINANCIAL MANAGEMENT TABLE 14.2: OVERVIEW OF ACTIVITY FRAMEWORK AND TIME SCHEDULE FOR FINANCIAL MANAGEMENT ACTIVITY B Y W H O M 2 0 1 1 2 0 1 5 2 0 3 0 Decision on Financial Mechanism for NUWSSP M LG H / G R Z Create and operationalise Pooled WSS Fund M FN P / M LG H Phasing out of Areas- based Project support U W SS S/ C P Phasing in and use of Pooled WSS Fund by GRZ and CPs U W SS S/ C P Development and use of alternative financing mechanisms increasingly based on loans and direct budget allocations from GRZ U W SS S/ G R Z Legend Regular activity level Enhanced activity level Monitoring, Reporting, Reviews and Evaluation National Urban Water Supply and Sanitation Programme 161 Monitoring perspective of performance of Kiosk system in Lusaka CHAPTER FIFTEEN MONITORING, REPORTING, REVIEWS AND EVALUATION 15.1 MONITORING The monitoring system for the NUWSSP is based on the following key principles: Sustainability – the regular checking, documentation and reporting of progress is integrated in regular operations of the sector institutions so as not to impose an extra burden on the operations of the respective institutions. Participatory – involving a decentralized approach to data collection where the programme implementing institutions as well as the beneficiaries participate in the monitoring system. This should enhance accountability and transparency since the beneficiaries of programme interventions take responsibility for reporting on progress. In particular the monitoring system is anchored in the local authorities at district level and utilising the defined structures as per the Decentralisation Policy. Monitoring, Reporting, Reviews and Evaluation National Urban Water Supply and Sanitation Programme 162 Use of a single unified monitoring system for the programme as a whole (inputs, outputs, results, impacts) so that sector performance,as well as its contribution to overall national development, can be ascertained in an efficient and timely manner. 15.2 INDICATORS The indicators for achieving the objectives of the programme are shown in Table 15.1. Other indictors to be used include programme and sector performance indicators as well as component factor indicators. Refer to the Background and Analysis Volume. TABLE 15.1: INDICATOR FOR ACHIEVING THE OBJECTIVES OF NUWSSP PROGRAMME OBJECTIVE VERIFIABLE INDICATORS SOURCES OF VERIFICATION Overall Objective: To provide sustainable and equitable access to safe water supply and proper sanitation to meet needs for improved health and poverty alleviation for Zambia’s urban population and contribute to the achievement of Millennium Development and Vision 2030 Goals. UWSS coverage statistics Official poverty and health statistics CSO socio-economic and health reports. UWSS IMS Water supply To provide adequate, safe and cost-effective water supply services to all areas by 2030 with due regard to environmental protection. To charge a reasonable amount for use of water ensuring that it supports the effective management of water so that its utilisation is sustainable and equitable. To manage water resources and water supply facilities so as to reduce the incidence of water and vector-borne diseases and parasitic infestations. To promote legal and institutional framework capacity enhancement. To implement measures which enhance mainstreaming of UWSS coverage statistics Official health statistics Socio-economic statistics UWSS budgets and expenditures UWSS Investment statistics District water supply plans CSO reports UWSS IMS Reports NWASCO reports District UWSS Investment Plans District UWSS annual reports District water supply plans Monitoring, Reporting, Reviews and Evaluation National Urban Water Supply and Sanitation Programme 163 PROGRAMME OBJECTIVE VERIFIABLE INDICATORS SOURCES OF VERIFICATION cross-cutting issues. Sanitation To provide adequate, safe and cost-effective sanitation services to 68 percent by 2015 and 90 percent by 2030 of the urban population with due regard to environmental protection. To charge a reasonable amount for use of sanitation facilities ensuring that it supports the effective management of the sanitation systems so that its utilisation is sustainable and equitable. To manage water and sanitation facilities so as to reduce the incidence of water and vector-borne diseases and parasitic infestations. To promote legal and institutional framework capacity enhancement. To implement measures which enhance mainstreaming of cross-cutting issues. UWSS coverage statistics Official health statistics Socio-economic statistics UWSS budgets and expenditures UWSS Investment statistics District sanitation plan CSO reports UWSS IMS Reports NWASCO reports ECZ reports District UWSS Investment Plans District UWSS annual reports District sanitation plans Solid Waste Management To provide adequate and cost- effective solid waste collection, transportation, treatment and deposition with due regard to environmental protection. To ensure that 80 percent of the waste is collected and transported by 2030. To charge a reasonable amount for solid waste management services ensuring that it supports the effective management so that it is sustainable and equitable. To keep the residential areas clean so as to reduce the SWM coverage statistics Official health statistics Socio-economic statistics SWM budgets and expenditures SWM Investment statistics District SWM CSO reports UWSS IMS Reports ECZ reports District SWM Investment Plans District SWM annual reports District SWM plans Monitoring, Reporting, Reviews and Evaluation National Urban Water Supply and Sanitation Programme 164 PROGRAMME OBJECTIVE VERIFIABLE INDICATORS SOURCES OF VERIFICATION incidence of diseases and parasitic infestations. To prevent blockage of sewers and drains by waste. To promote legal and institutional framework capacity enhancement. To implement measures which enhance mainstreaming of cross-cutting issues. plans Drainage To provide adequate and cost- effective stormwater and greywater drainage for protection of residential, commercial, institutional and industrial areas and the environment. To keep the core urban and peri-urban areas clean so as to reduce the incidence of diseases and parasitic infestations. to prevent the damaging of water supply and sanitation facilities and the pollution of drinking water and raw water resources by flooding and water-logging. UWSS coverage statistics Official health statistics Socio-economic statistics Drainage budgets and expenditures Drainage Investment statistics District drainage plans CSO reports Drainage IMS Reports ECZ reports District drainage Investment Plans District annual reports District drainage plans Policy To develop a comprehensive Water Supply and Sanitation Policy and Legal Framework that facilitates effective development and management of the WSS sector in Zambia. to implement adopted policies, legislation and regulation Revised National WSS Policy Revised UWSS legislation and regulations Advocacy and Communication Strategy National WSS Policy Revised WSS legislation and regulations NWASCO reports ECZ reports Capacity Development to improve the quality, efficiency, cost-effectiveness and delivery of urban water PEMFA reforms PSM reforms PSRP reports UWSS IMS Reports Monitoring, Reporting, Reviews and Evaluation National Urban Water Supply and Sanitation Programme 165 PROGRAMME OBJECTIVE VERIFIABLE INDICATORS SOURCES OF VERIFICATION supply and sanitation services To develop the capacity required for the implementation of the NUWSSP. Decentralisation of decision making and administration Private sector involvement Organisational improvements Budgets and expenditures for capacity building Courses and training activities Human Resources Development Plans NWASCO reports ECZ reports District UWSS Investment Plans District UWSS annual reports Human Resources Development Plans Information Management Development Establishment of a harmonised and comprehensive information system on urban and rural water supply and sanitation together with streamlined reporting procedures and encompassing all concerned ministries and organizations. Harmonisation of definitions in line with planning and development, regulation, FNDP and MDG monitoring requirements. Information Management System (IMS) CSO definitions and standards for UWSS CSO reports UWSS IMS Reports NWASCO reports ECZ reports MOH reports District UWSS annual reports Monitoring, Reporting, Reviews and Evaluation National Urban Water Supply and Sanitation Programme 166 PROGRAMME OBJECTIVE VERIFIABLE INDICATORS SOURCES OF VERIFICATION Research and Development To develop a sound scientific and socio-cultural framework for implementing UWSS in Zambia. To develop technical design standards, affordability, socially and culturally appropriate options. To evaluate financial viability before wide scale adoption of a particular technical solution in any given setting. WSS research institutions and facilitation centre New recommended technical and social standards Research budgets and expenditures Research reports NWASCO reports Institutional annual reports 15.3 REPORTING The MLGH/UWSSS will be responsible for preparation of consolidated progress reports, covering both physical progress as well as financial progress based on formats to be elaborated between Government and CPs. 15.3.1 PHYSICAL PROGRESS REPORTING Physical Progress will be monitored according to detailed work plans and budgets for each component. UWSSS will rely on the reports from the implementing agencies and NWASCO. The reports will emphasize achievement of targets, analysis of variation between target results and what has been achieved, and recommendations for overcoming the constraining factors. 15.3.2 FINANCIAL PROGRESS REPORTING The financial reporting will follow the guidelines elaborated in Chapter 14. Details of the financial reporting will be elaborated on after the Financial Mechanism study has been completed and decisions taken by the Government. 15.4 REVIEWS The NUWSSP will be subject to annual reviews jointly carried out by Government, assisted by CPs. These annual reviews will not necessarily involve all activities or components of the programme. The PSC may decide to carry out technical assessments on specific issues at any time during the Programme period. However, every three years a full scale review of all programme activities will be undertaken. Communication Strategy Framework NUWSSP 167 Chief Executives of Commercial Utilities listen to the presentation during the MLGH-NWASCO CEO's forum 14-15 July 2010 CHAPTER SIXTEEN COMMUNICATION STRATEGY FRAMEWORK 16.1 SECTOR CONTEXT The Communication Plan for the NUWSSP has been developed as a guide to the DHID dissemination of the Programme. It has been recognised that there are many actors at all levels (from state up to community and individual level) involved in the UWSS sector and that there is thus a need for a Sector-Wide approach (SWAp) to undertake the activities in an effective and efficient manner. 16.2 OBJECTIVES To provide information, raise awareness and build support for implementation of the NUWSSP at all levels of the society. To increase the efficiency and effectiveness of the NUWSSP through education and sharing of information between stakeholders. To improve co-operation and understanding between customers and Service Providers through the development of a customer-centred culture in service delivery. Communication Strategy Framework NUWSSP 168 To enhance the efficiency and effectiveness among Service Providers through internal communication between departments, branches and all staff in the organisation(s). 16.3 TARGET STAKEHOLDERS The target for the Communication Plan will be stakeholders who have a role to play in the NUWSSP specifically in the implementation of the programme as outlined in the eight focus areas of water supply, sanitation, solid waste management, drainage, policy development, capacity building, information management and research & development and capacity building. These will include: Ministries Provincial Administration Local Authorities Commercial Utilities Legislators Regulatory bodies NGOs Private sector Educational and research institutions Traditional authorities Customers and users General Public Print, radio and TV media Cooperating partners 16.4 ACTIVITIES ACTIVITY TARGET STAKEHOLDERS RESPONSIBLE Hold official Launch of the NUWSSP All MLGH Produce 2,000 and 500 hard copies of the Main respectively the Background and Analysis reports and 500 CDs of the NUWSSP All UWSSS Hold 3 regional seminars to DHID disseminate the programme Provincial Administration, Local Authorities, Traditional authorities, stakeholder user groups MLGH Upload the plan on the websites of MLGH, MOFNP, MWED, NWASCO All MLGH, MOFNP, MWED, NWASCO Distribute by mail hardcopies and CDs of the plan to various stakeholders All UWSSS E-mail the NUWSSP to stakeholders and provide regular updates All UWSSS Hold regular press briefings on NUWSSP and its implementation progress Print, radio and TV media MLGH Communication Strategy Framework NUWSSP 169 Issue Press releases on the NUWSSP and its implementation progress All MLGH Develop and maintain local institutions and modalities for regular consumer/provider contacts UWSS users LAs, CUs, NWASCO Develop and distribute information materials for WSS users UWSS users, General Public LAs, CUs, UWSSS Develop educational and information programmes and broadcast on radio and TV General Public UWSSS Provide yearly updates of the detailed status of the NUWSSP Ministries, LAs, CUs, Water SAG, CPs MLGH, NWASCO Provide information on courses and research in Zambia Ministries, LAs, CUs, Private sector, NGOs Educational and research institutions Provide information on international courses, conferences and research Ministries, LAs, CUs, Private sector, NGOs, Educ.Inst. Cooperating Partners Communication Strategy Framework NUWSSP 170 16.5 OVERVIEW OF ACTIVITY FRAMEWORK AND TIME SCHEDULE FOR COMMUNICATION STRATEGY TABLE 16.1: OVERVIEW OF ACTIVITY FRAMEWORK AND TIME SCHEDULE FOR COMMUNICATION STRATEGY ACTIVITY B Y W H O M 2 0 1 1 2 0 1 5 2 0 3 0 Launch of the NUWSSP M LG H Regional seminars to disseminate the programme U W SS S Distribution of NUWSSP documents U W SS S Regular press briefings on NUWSSP and its implementation progress U W SS S Develop detailed national level external and internal communication strategy U W SS S Develop detailed external and internal communication strategy for each CU and LA C U Develop and maintain local institutions and modalities for regular consumer/provider contacts C U Develop and distribute information materials for UWSS customers and users C U U W SS S Distribute yearly updates of the detailed status of the NUWSSP C U Develop educational and information programmes and broadcast on radio and TV C U /U W SS S Sharing of information on courses, conferences and research U W SS S Legend Regular activity level Enhanced activity level NUWSSP Implementation Framework National Urban Water Supply and Sanitation Programme 171 NUWSSP Implementation being discussed during the MLGH-NWASCO CEO's forum 14-15 July 2010 CHAPTER SEVENTEEN NUWSSP IMPLEMENTATION FRAMEWORK When GRZ and other stakeholders have reached a general agreement to adopt and implement the NUWSSP the following process should be followed broadly: 17.1 PRELIMINARY ACTIVITIES – MONTH 0 TO MONTH 3 Official launch of the NUWSSP Preparation and signing of Memorandum of Understanding by GRZ and CPs. Pledging of financial support to NUWSSP by GRZ and CPs. DHID dissemination of information to stakeholders. NUWSSP Implementation Framework National Urban Water Supply and Sanitation Programme 172 17.2 ESTABLISHMENT OF NUWSSP MANAGEMENT UNIT – MONTH 1 TO MONTH 6 Assign UWSSS the responsibility of managing the NUWSSP. Deploy UWSSS core Government staff and duties. Arrange office space and logistics for UWSSS. Deploy support staff in the UWSSS. Start recruiting key Technical Assistance personnel to UWSSS. 17.3 ESTABLISHMENT OF INTERNAL WORKING MODALITIES – MONTH 2 TO MONTH 9 Arrange Programme Steering Committee and the WAG-subcommittee meetings. Adopt detailed modalities for the Financing Mechanism and establish NUWSSP account. Work out and implement modalities for close co-ordination between UWSSS and DTF. Adopt UWSSS Work Plan for the first year. Increase UWSSS’s involvement in ongoing Area Based Projects. Deploy key Technical Assistance personnel. Start recruiting additional Technical Assistance personnel and consultants. 17.4 ESTABLISHMENT OF EXTERNAL WORKING MODALITIES – MONTH 3 TO MONTH 12 Co-ordination of all ongoing Areas-Based and other UWSS supported projects. Developing transparent and objective criteria for prioritisation and selection of projects for support under NUWSSP. Developing detailed guidelines for preparation and processing of support applications. Receiving and analysing updated investment needs estimates from CUs. Preparation of UWSS investment budget for the first year of NUWSSP. Implement communication strategy 17.5 ROLLING OUT OF THE NUWSSP IN FULL – MONTH 12 Invite and process applications for project support and undertake all other NUWSSP activities NUWSSP Implementation Framework National Urban Water Supply and Sanitation Programme 173 17.6 OVERVIEW OF ACTIVITY FRAMEWORK AND TIME SCHEDULE FOR IMPLEMENTATION OF NUWSSP TABLE 17.1: OVERVIEW OF ACTIVITY FRAMEWORK AND TIME SCHEDULE FOR IMPLEMENTATION OF NUWSSP ACTIVITY B Y W H O M MONTH 1 2 3 4 5 6 7 8 9 1 0 1 1 1 2 1 3 1 4 1 5 1 6 1 7 1 8 Preliminary Activities Official launch of the NUWSSP M LG H Preparation and signing of MoU by GRZ and CPs. G R Z/ C P Pledging of financial support to the NUWSSP G R Z/ C P DHID Dissemination of information to stakeholder. D H ID Establishment of NUWSSP Management Unit Assign UWSSS the responsibility and deploy core Government staff. D H ID Arrange office space and logistics for UWSSS. D H ID Recruiting process for key Technical Assistance personnel to UWSSS. U W SS S Establishment of Internal Working Modalities Arrange Programme Steering Committee and the WAG-sub committee meetings. U W SS S Adopt detailed modalities for the Financing Mechanism and establish NUWSSP account. D H ID /U W SS S Prepare and follow detailed UWSSS Work Plan for first year U W SS S Deploy key TA personnel and start recruiting additional TA personnel and consultants. U W SS S NUWSSP Implementation Framework National Urban Water Supply and Sanitation Programme 174 ACTIVITY B Y W H O M MONTH 1 2 3 4 5 6 7 8 9 1 0 1 1 1 2 1 3 1 4 1 5 1 6 1 7 1 8 Establishment of External Working Modalities Co-ordination of all ongoing Areas-Based and other UWSS supported projects. U W SS S/ C P Developing transparent and objective criteria for prioritisation and selection of projects for support under NUWSSP. U W SS S Receiving and analysing updated investment needs estimates from CUs. U W SS S Preparation of investment budget for the first year of NUWSSP. U W SS S Developing detailed guidelines for preparation and processing of support applications. U W SS S Start implementation of communication strategy U W SS S Rolling Out of the NUWSSP Invite and process applications for project support and all other NUWSSP activities Legend Regular activity level Enhanced activity level Assumptions and Risks National Urban Water Supply and Sanitation Programme 175 If Assumptions and Risks are not managed, the NUWSSP shall not have any impact: Typical - leaks and burst shall continue to undermine WSS service delivery. CHAPTER EIGHTEEN ASSUMPTIONS AND RISKS ASSUMPTIONS AND RISKS: OVERALL INSTITUTIONAL ARRANGEMENTS It is assumed that Government will fully implement the National Decentralization Policy and empower and develop the Local Authorities to fulfil the roles embodied in the policy. It is assumed that key stakeholders will understand the decentralisation of responsibility and overcome the resistance for change. It is a risk that CPs are not willing to align with NUWSSP and to the approach and principles of the Programme. The risk is assessed to be low to medium and will be mitigated through the formalising the donor coordination mechanism, the learning processes and the reviews included in the Programme. It is a risk that Government will not reinforce the NUWSSP with the staff and logistics required before the start of the Programme. Experience indicates that it takes time for Government to create new positions and temporary mitigation measures might be needed. Assumptions and Risks National Urban Water Supply and Sanitation Programme 176 The risk is assessed to be medium and mitigation measures need to be worked out between Government and CPs. It is a risk that the implementing agencies will not adhere to the agreed financial reporting procedures. This risk is assessed to be low to medium and the capacity building activities and accounting procedures have been designed to minimize this risk. ASSUMPTIONS AND RISKS: OVERALL FINANCIAL ARRANGEMENTS It is an assumption that Government and CPs will be able to raise the funds necessary to implement the Programme. It is a risk that some Council do not have sufficient capacity to manage Programme funds and to procure services. The risk is assessed low to medium and the capacity development component is designed to minimise this risk. Corruption is a risk at all levels. This risk is assessed medium to high and it will be mitigated by rigid application of the Government and CP procedures for anti-corruption. ASSUMPTIONS AND RISKS: APPROACH AND STRATEGY It is assumed that it is possible to mobilise adequate technical and human resources for large scale implementation. It is assumed that the NUWSSP approach and framework, and the decentralization policy can be sufficiently anchored at district level to avoid a situation where stakeholders are operating in an institutional “vacuum” or where institutional sector responsibilities are not clarified and sufficiently met. It is assumed that the NUWSSP framework and key elements of the decentralization policy at the level of Councils will be institutionalized, and that the roles and responsibilities of MOFNP, MLGH, MOH, MEWD and ECZ regarding regulation, supervision and monitoring of district planning and budgeting procedures will be clarified. It is assumed that conditions of service will not deteriorate so much for government and council workers participating in the component that this will affect the implementation. It is assumed that there will be improved coordination of government and donor interventions in NUWSSP. It is assumed that Government policies, programmes and political interventions will not contradict or cause confusion among the implementers and the beneficiaries. Assumptions and Risks National Urban Water Supply and Sanitation Programme 177 NATIONAL URBAN WATER SUPPLY AND SANITATION PROGRAMME D e s ig n e d & P ri n te d B y