l 'S /\11) CR5 *******,II II' CATHO IC RELIEF SERVICES GUIDELINES FOR THE DEVELOPMENT OF SMALL SCALE RURAL WATER SUPPLY AND SANITATION PROJECTS IN ETHIOPIA
GUIDELINES FOR THE DEVELOPMENT OF SMALL-SCALE RURAL WATER SUPPLY AND SANITATION PROJECTS IN ETHIOPIA A Policy and Planning Framework for Aciviies Funded by USAID under he Tile II (Food for Peace) Program Addis Ababa, Ehiopia July 31, 2003 ljsaid CATHOLIC RELIEF SERVICES Unied Saes Agency for Inernaional Developmen/Ehiopia P.O.Box 1014 Addis Ababa, Ehiopia Tel: +251-1-510088 Fax: +251-1-531896 Caholic Relief Services/Ehiopia P.O. Box 6592 Addis Ababa, Ehiopia Tel: +251-1-653588/653593 Fax: +251-1-654450 Email: crs@elecom.ne.e 1
Guidelines for Rural Waer and Saniaion Projecs in Ehiopia TABLE OF CONTENTS Acknowledgemens................ 2 PARTI:BACKGROUND Inroducion......... 4 Origins of Guidelines... 4 USAID Regulaions... 6 Ehiopian Regulaions... 7 Indicaors and Guideline Saemens... 8 - -..a --- PART II: GUIDELINES FOR WATER SUPPLY AND SANITATION PROJECTS Policy Requiremens... 10 Policy Saemens... 10 Guideline Saemens... 11 A. Planning Phase A.1. Communiy paricipaion... 12 A.2. Needs assessmen... 13 A.3. Waer source Idenificaion... 13 A.4. Waershed consideraions... 15 A.5. Waer qualiy... 15 A.6. Waer quaniy... 17 A. 7. Saniary Surveys... 18 A.B. Waer supply and saniaion commiee... 18 A. 9. Projec design......... 20 A.10. Projec appraisal... 21 B. Implemenaion Phase B.1. Communiy involvemen... 21 B.2. Consrucion...... 22 B.3. Healh/hygiene educaion... 22 B.4. Training... 23 B.S. Monioring......... 24 B.6. Reporing............... 25 B. 7. Exi sraegy... 26 C. Susainabiliy Phase C.1. Operaions... 27 C.2. Mainenance........... 27 C.3. Communiy managemen... 28 C.4. Insiuional links... 28 C.5. Monioring... 28 C.6. Program evaluaion............. 29 PART Ill: REVIEW AND REVISION OF GUIDELINES PART IV: PROJECT DEVELOPMENT CHECKLIST ANNEXES: Annex A: Core echnical reference documens Annex B: Draf USAID Guidelines for Arsenic in drinking waer 2
: - _:- - _' - ; Guidelines for Rural Waer and Saniaion Projecs in Ehiopia ACKNOWLEDGEMENTS Caholic Relief Services would like o express is hanks o USAID/Ehiopia for funding he developmen of hese guidelines. Thanks are also exended o all workshop paricipans whose inpu has been vial. In addiion, Caholic Relief Services would like o acknowledge he assisance provided by is parner, he Ehiopian Caholic Church - Social and Developmen Coordinaing Office of Harar, for hosing he workshop and arranging he field rips. Principal Auhors: Dr. Dennis B. Warner Consulan (Formerly) Chief, Waer Supply, Saniaion and Healh World Healh Organizaion Dr. Carmela Green Abae Senior Regional Technical Advisor for Healh f HIV I AIDS Eas African Regional Office Caholic Relief Services P. 0. Box 49675 Nairobi, Kenya Tel: +254-2-3740985 Fax: +254-2-3741356 Email: crs-earohealh@elecom. ne. e ACRONYMS CFR cs DAP ESR lee PAA TAP USAID WHO Code of Federal Regulaions Cooperaing Sponsor Developmen Aciviy Proposal Environmenal Saus Repor Iniial Environmenal Examinaion Previously Approved Aciviy Transiional Aciviy Proposal Unied Saes Agency for Inernaional Developmen World Healh Organizaion ---= --. --_- ;>" 3
Guidelines for Rural Waer and Saniaion Projecs In Ehiopia PARTI:BACKGROUND Inroducion This documen consiues general guidelines for he planning and implemenaion of Tile 11-funded waer and saniaion aciviies in rural Ehiopia. I is he resul of a cooperaive effor by he USAID Mission o Ehiopia and he non-governmenal organizaions (Cooperaing Sponsors) paricipaing in he Tile II (Food for Peace) Program o improve he effeciveness, environmenal proecion and long-erm susainabiliy of waer supply and saniaion aciviies carried ou in food insecure areas of Ehiopia. I is expeced ha hese guidelines will be used, and revised as needed, o orien he overall direcion and naure of waer and saniaion projecs wihin he Tile II program. The guidelines are no inended o be resricive bu raher o encourage developmen ha is more likely o be susainable and have greaer poenial for enhanced healh benefis in he projec communiies. Origins of he Guidelines These guidelines are he resul of several major policy changes in USAID and a number of iniiaives aken by he USAID/Ehiopia Mission. The firs change was h new global emphasis pu on environmenal proecion by USAID in he lae 1990s. Due o growing concerns over he cumulaive impac of developmen aciviies upon he environmen and he healh-relaed effecs of oxic conaminans, especially arsenic, in waer, small waer supply and saniaion projecs were made subjec o he USAID environmenal regulaions, mos noably 22 CFR 216. These regulaions require he Agency o make hreshold decisions concerning he significance of environmenal impacs ha various ypes of acions, including waer and saniaion aciviies may have. In addiion o his regulaory role, USAID also became concerned abou he effecs of adverse environmenal consequences upon he susainabiliy of developmen aciviies. = The second change was he decision of USAID/Ehiopia o ake he iniiaive in reviewing he environmenal consequences of small irrigaion and of poable waer and saniaion projecs funded under he P.L. 480 Tile II (Food for Peace) accoun. This - 4 - -...-
Guidelines for Rural Waer and Saniaion Projecs in Ehiopia program is used in Ehiopia o address food securiy issues affecing highly vulnerable rural households. Food-assised programs are direced a marginal communiies o srenghen heir economic al\d social base and o move hem from dependence on exernal food resources o food securiy and increasingly, o susainable developmen aciviies. These programs provide no only food bu also improve rural infrasrucure hrough he provision of healh faciliies, drinking waer sources, larines, small scale irrigaion schemes and agriculural raining. The program is currenly delivered hrough five non-governmenal organizaions, ermed Cooperaing Sponsors. The Tile II program in Ehiopia incorporaes a variey of poable waer and saniaion aciviies, including he consrucion of ponds, wells, springs, boreholes, larines, cale roughs and washing faciliies. These aciviies are subjec o an environmenal review, ypically under an Iniial Environmenal Examinaion (lee), which usually resuls in a finding ha hey do no have significan effecs on he environmen and hence a formal Environmenal Assessmen is no required. Despie such a finding, waer and saniaion aciviies funcion wihin he naural environmen and cumulaively may have significan harmful effecs upon i and he welfare of he people hey serve. In 1998, USAID/Ehiopia commissioned a Programmaic Environmenal Assessmen of small-scale irrigaion aciviies funded by Tile II, and in 1999 i sponsored an environmenal sudy of poable waer and saniaion aciviies wihin Tile II. repor of his second sudy, compleed in March 2000, concluded ha waer supply and saniaion aciviies wihin he Tile II program in Ehiopia were subjec o various weaknesses in boh environmenal proecion and projec susainabiliy. The major. concerns arising from his sudy were: Saniaion was lacking in mos projecs. The number of waer and saniaion projecs being implemened was insufficien o bring abou a significan developmenal effec. Inappropriae echnologies for waer sysems were someimes used. Technical design of waer sysems was someimes sub-sandard. Waer qualiy monioring was rarely done and never on a regular basis. The inegraion of Tile II projecs in communiy-wide developmen effors rarely occurred. The ;; e; @: @: e: : : '; I: ; @; : ; @:... - 5
Guidelines for Rural Waer and Saniaion Projecs in Ehiopia Communiy paricipaion was i11adequae o fully involve communiies in all aspecs of he projecs. Waer and saniaion commiees were generally weak and unable o properly manage he sysems. Women did no fully paricipae in projec developmen or have responsible leadership roles. Healh and hygiene educaion was inadequae for raising awareness or changing healh-relaed behaviors. I was noed by he March 2000 repor ha neiher USAID nor he Governmen of Ehiopia had echnical guidelines for he design, consrucion, operaion and mainenance of waer and saniaion schemes. To correc hese weaknesses, he repor recommended a number of improvemens in program developmen and projec implemenaion. These improvemens were o be underaken by boh USAID, which was he source of Tile II funds, and by he Cooperaing Sponsors, he implemeners of Tile II aciviies. This documen conains general guidelines ha incorporae and build upon he recommendaions found in he March 2000 repor. I is no an engineering manual, bu raher a policy and planning framework wihin which Tile II waer and saniaion projecs should be implemened. The guidelines were formulaed by represenaives of he Cooperaing Sponsors, Governmen of Ehiopia, and USAID a a workshop on Tile II waer and saniaion projecs, held March 17-22, 2003 in Dire Dawa. These guidelines represen a consensus on he approach ha waer and saniaion aciviies should follow under he Tile II program. USAID Regulaions As of 1998, all PVO/NGOs submiing a new Developmen Aciviy Proposal (DAP) or a Previously Approved Aciviy (PAA) proposal for Tile II funds are required o submi environmenal documenaion for each program. As of 1999, all new Transiional Aciviy Proposals (TAPs) also need o include environmenal documenaion. These USAID environmenal procedures are included under he Foreign Assisance Ac, Secion 117, Tile 22, Code of Federal Regulaions, Par 216, also known as CFR 216 (Regulaion 6
Guidelines for Rural Waer and Saniaion Projecs in Ehiopia Communiy paricipaion was i11adequae o fully involve communiies in all aspecs of he projecs. Waer and saniaion commiees were generally weak and unable o properly manage he sysems. Women did no fully paricipae in projec developmen or have responsible leadership roles. Healh and hygiene educaion was inadequae for raising awareness or changing healh-relaed behaviors. I was noed by he March 2000 repor ha neiher USAID nor he Governmen of Ehiopia had echnical guidelines for he design, consrucion, operaion and mainenance of waer and saniaion schemes. To correc hese weaknesses, he repor recommended a number of improvemens in program developmen and projec implemenaion. These improvemens were o be underaken by boh USAID, which was he source of Tile II funds, and by he Cooperaing Sponsors, he implemeners of Tile II aciviies. This documen conains general guidelines ha incorporae and build upon he recommendaions found in he March 2000 repor. I is no an engineering manual, bu raher a policy and planning framework wihin which Tile II waer and saniaion projecs should be implemened. The guidelines were formulaed by represenaives of he Cooperaing Sponsors, Governmen of Ehiopia, and USAID a a workshop on Tile II waer and saniaion projecs, held March 17-22, 2003 in Dire Dawa. These guidelines represen a consensus on he approach ha waer and saniaion aciviies should follow under he Tile II program. USAID Regulaions As of 1998, all PVO/NGOs submiing a new Developmen Aciviy Proposal (DAP) or a Previously Approved Aciviy (PAA) proposal for Tile II funds are required o submi environmenal documenaion for each program. As of 1999, all new Transiional Aciviy Proposals (TAPs) also need o include environmenal documenaion. These USAID environmenal procedures are included under he Foreign Assisance Ac, Secion 117, Tile 22, Code of Federal Regulaions, Par 216, also known as CFR 216 (Regulaion 6
Guidelines for Rural Waer and Saniaion Projecs in Ehiopia 216). The objecive of Reg. 216 is o ensure ha all U.S. governmen funded projecs under USAID undergo an environmenal review o avoid or lessen any poenial adverse impac on he environmen. For waer and saniaion projecs, furher reference should be made o he curren saus of arsenic esing and allowable limis for arsenic in drinking waer: The preparaion of USAID-funded waer and saniaion projecs should be based upon he following regulaory and guidance maerials: 22 CFR 216 (USAID environmenal regulaions) Guidelines For Deermining The Arsenic Conen Of Ground Waer in USAID Sponsored Well Programs in Sub-Saharan Africa (USAID Bureau for Economic Growh, Agriculure and Trade, June 12, 2002, draf) Arsenic Tesing in Poable Waer - IEE/EA Needs (USAID, Sae Cable no. 051298, May 12, 1998) Ehiopian Regulaions In addiion o USAID regulaions, waer and saniaion projecs in Ehiopia need o ake ino consideraion curren Ehiopian legislaion. The Federal Governmen of Ehiopia published is Environmenal Policy in 1997 and, more recenly, several waer supply and saniaion regulaory and planning documens over 2001-2003, as shown below. The legislaive and regulaory requiremens of hese Ehiopian documens have been considered in he preparaion of he USAID guidelines. Environmenal Impac Assessmen Proclamaion (No. 299/2002) Environmenal Polluion Conrol Proclamaion (No. 300/2002) Sandard of Drinking Waer - specificaions (2"d ediion ES261 /2001) Naional Waer Supply and Saniaion Maser Plan (Minisry of Waer Resources, 2003) Naional Drinking Waer Qualiy Guidelines (Minisry of Waer Resources, draf 2003)! "i!: f" e; e;; @:!: : e:.. - Ehiopian Public Healh Proclamaion Ehiopian Healh Guidelines Environmenal Healh Guidelines 7
- -- " _'/ Guidelines for Rural Waer and Saniaion Projecs In Ehiopia Indicaors and Guideline Saemens The developmen of guidelines sars wih he idenificaion of one or more indicaors, which are issues, conceps or acions ha can be defined and hen measured. In effec, indicaors are he general variables ha provide he srucure, or framework, for guidelines. For example, an imporan indicaor for Tile II projecs is a waer supply and saniaion commiee. By iself, his indicaor is only a erm ha describes a group of people in he communiy wih responsibiliies for waer and saniaion projec developmen. However, here are a number of differen characerisics his commiee should have in order o conribue o Tile II projecs. Guideline saemens are used o indicae wha hese characerisics are and how he commiee should operae. To illusrae how guidelines are relaed o an indicaor, consider he indicaor of he waer supply commiee. The commiee should have he following: (1) i should define and manage he operaions of he projec; (2) i should have a legal basis and be auhorized o adminiser financial accouns; (3) i should have inpu ino projec planning; and so forh. These characerisics can be formulaed as guideline saemens, as follows: (1) a waer supply and saniaion commiee should be esablished o define and manage he operaions of he projec; (2) where appropriae, he commiee should have a legal basis and be auhorized o adminiser financial accouns; (3) projec planning should reflec commiee inpus. These hree saemens, in fac, are included as Tile II guidelines wihin he planning phase of projec developmen. Thus, indicaors are he general conceps from which more specific guideline saemens are drawn. The guidelines may be qualiaive and show how an aciviy is o occur, as demonsraed above, or hey may be quaniaive and show a limi of accepabiliy, as in he case of waer qualiy (maximum arsenic concenraions of 0.05 mg/l) or waer quaniy (minimum waer supply of 20 liers of waer per person per day). The guideline saemens, herefore, se ou limis and areas of accepable acion. = -.a - _r Par II of his documen conains he indicaors and guideline saemens for Tile II waer and saniaion projecs. There are a oal of 23 indicaors and 57 guideline -= 8
: ; Guidelines for Rural Waer and Saniaion Projecs in Ehiopia saemens. Mos of he guideline saemens are qualiaive in naure describing wha should happen raher han how much or how fas i should happen. A few guideline saemens have quaniaive limis, mos noably waer qualiy and waer quaniy. Togeher, hey define he general framework wihin which Tile II projecs should be developed wihou unnecessarily resricing he flexibiliy of Cooperaing Sponsors o seek he bes possible projec soluion. Par Ill consiss of a brief saemen emphasizing he advisory naure of he indicaors and guideline saemens presened ih Par II. Boh USAID and is Cooperaing Sponsors are urged o periodically revise he guidelines, as appropriae, on he basis of field experience. e e: e e: Par IV of his documen conains a checklis ha should be compleed during he appropriae phase of projec developmen (planning, implemenaion, susainabiliy) as well as on an annual basis as par of Environmenal Saus Repor. l: i: ; 9
Guidelines for Rural Waer and Saniaion Projecs in Ehiopia PART II: GUIDELINES FOR WATER SUPPLY AND SANITATION PROJECTS Policy Requiremens Tile II waer supply and saniaion projecs are expeced o conribue o he USAID/Ehiopia objecive of Enhanced Household Food Securiy in Targe Areas. This objecive conains five criical inermediae resuls: increased agriculural producion, increased household income, improved healh saus, mainaining he naural resources base, and mainaining emergency response capaciy. To some degree, he small-scale waer and saniaion aciviies funded under Tile II generae resuls ha suppor all of hese criical areas. In addiion, hey are inended o improve he healh and welfare of rural Ehiopians hrough he developmen of waer supply and saniaion aciviies ha are proecive. of he environmen and susainable in he long, erm. The overall guidelines presened here consiue of wo general ypes of direcives. The firs are policy saemens signaling major new direcions in he developmen of Tile II waer and saniaion programs, while he second consis of guidelines saemens specifically addressed o. projec planning and implemenaion. Policy Saemens All new waer supply and saniaion programs funded under Tile II mus conform o he following policy direcives: 1. Saniaion mus be linked o waer supply. This policy requires ha saniaion be considered an essenial aspec of poable waer supply improvemens in Tile 11-funded programs. I is based upon he conclusion ha he poenial healh benefis of improvemens in waer supplies will no be fully realized unless hey are suppored by saniaion improvemens. As a resul, Tile II will no longer suppor improvemens in poable waer supply sysems unless hey are accompanied by appropriae componens of saniaion. Relevan saniaion invesmens - --i 10 --
Guidelines for Rural Waer and Saniaion Projecs in Ehiopia may include larines, washing basins, showers/bahing houses, refuse disposal pis, and household drainage, as well as hygiene educaion and raining for saniaion susainabi\iy. 2. Waer qualiy monioring mus occur in all poable waer sysems. Tile II waer sysems are inended o improve he availabiliy, access and qualiy of drinking waer in Ehiopian communiies. Wihou regular monioring of he qualiy of waer in he suppored schemes, hen is no accepable way o deermine wheher a sysem is free of harmful pahogenic consiuens, or indeed wheher he sysem is providing waer of beer qualiy han before he projec. Of paricular imporance o his policy is he monioring of fecal coliforms, arsenic, fluorides, and niraes. 3. The planning, design, implemenaion, operaion and mainenance of poable waer and saniaion projecs mus be in conformance wih hese echnical guidelines. Earlier difficulies wih environmenal proecion and projec susainabiliy in Tile II waer and saniaion projecs arose parly from he absence of guidelines for program developmen and implemenaion on he par of he Cooperaing Sponsors. These Guidelines are inended o provide essenial guidance in he formulaion and implemenaion of Tile II waer and saniaion projecs and o encourage informaion sharing among all sakeholders, including USAID, he Governmen of Ehiopia, Cooperaing Sponsors, and communiies, while a he same ime allowing adequae flexibiliy for innovaive program and projec developmen. e= e= e: e: --- e: e: @: @;: --:: @: e:... -- Guideline Saemens To assis in he overall formulaion of Tile II waer and saniaion aciviies, guideline indicaors and values are described below in erms of he phases of projec developmen in which hey occur. There are hree phases ha occur in mos programs: planning, implemenaion, and susainabiliy. The planning phase consiues aciviies leading up o he approval of projec funding; he implemenaion phase represens aciviies involving he creaion of he projec in he field under he -direcion of he 11
Guidelines for Rural Waer and Saniaion Projecs In Ehiopia Cooperaing Spor; and he susainabiliy phase consiss of he aciviies carried ou by he communiy and he local governmen o operae and mainain he waer and saniaion sysem over he long erm. A. Planning Phase A. 1. Communiy paricipaion The Cooperaing Sponsor should begin working wih he communiy as he firs sep in projec developmen. Projec developmen mus begin wih he communiy and wih heir concerns and needs. To obain he essenial rus and suppor for a susainable projec, he Cooperaing Sponsor should be prepared o work wih he communiy for 6 o 12 monhs before saring any projec implemenaion aciviies in he field. The Cooperaing Sponsor should build upon radiional communiy srucures, where available. I is beer o work wih radiional paerns of communiy leadership and organizaion ha have proven o be effecive in he pas han o se up procedures and rules for projec developmen ha are impored from ouside he communiy. The key is o idenify successful radiional approaches and adop. hem in projec planning where possible. The Cooperaing Sponsor should use paricipaory mehods in working wih he communiy. - 4 - --.- Paricipaory mehods should be he basis for all conacs beween he Cooperaing Sponsor and he communiy. They provide he only reasonable foundaion for generaing full involvemen and a sense of ownership in he communiy. 12
Guidelines. for Rural Waer and Saniaion Projecs In Ehiopia The Cooperaing Sponsor should encourage communiies o conribue par of he projec cos in labor and local maerials for he consrucion of he projec. Communiy conribuions of labor and maerials are an acceped pracice in Ehiopia for small-scale developmen projecs. Such conribuions help develop a sense of communiy ownership of he projec and enhance local responsibiliy for long erm operaion, mainenance and susainabi.liy. The Cooperaing Sponsor should assis he communiy o esablish effecive links wih local governmen echnical bureaus and he privae secor involved in he provision of mainenance and repair services and he supply of spare pars. Local governmen echnical bureaus are he naural parners for he communiy in mainaining susainable waer and saniaion aciviies. As he governmen is neiher capable nor expeced o cover he mainenance requiremens of each waer poin, he involvemen of local arisans and spare par vendors has o be enhanced hrough he capaciy creaed wihin he communiy. These parnerships should be esablished as early as possible in he planning phase. A.2. Needs Assessmens Projecs should be based on needs idenified by he communiy. The communiy should idenify is own waer and saniaion needs and corresponding projec soluions hrough a process of inernal discussion and exernal negoiaion. The Cooperaing Sponsor should assis his process wih informaion and echnical guidance. A.3. Waer Source Idenificaion All poenial waer sources should be considered. The mos obvious waer source may no be he bes in erms of quaniy available, social- accepance, cos, communiy healh and projec susainabiliy over he expeced 13 e: e; @; e: : e:,: @:: @; @: e;: : ; : P:.:
Guidelines for Rural Waer and Saniaion Projecs in Ehiopia service period. The Cooperaing Sponsor should use is echnical experise o assess au poenial waer sources in order o idenify an opimal soluion subjec o concurrence of he communiy in quesion. Whenever surface waer resource is considered for developmen, he communiy a he upsream and downsream should be consuled and involved in he decision-making process prior o he implemenaion. The qualiy and quaniy of surface waer is affeced by how i is used upsream of he communiy. In urn, how he communiy uses he waer will affec he waer for he downsream users. Because au communiies have ineress in mainaining good qualiy and adequae quaniies of waer, i is imporan ha proposed surface waer developmens be discussed wih and approved by boh he upsream and downsream communiies. All projecs should draw waer from proeced sources. Unproeced waer sources are subjec o conaminaion and hereby pose risks o he healh of he users. Wherever possible, proeced sources should be uilized. If proeced sources are no available, some form of waer reamen may be required. (See guideline A.5. Waer Qualiy.) Groundwaer sources are generally preferable o surface waer sources. :-, Surface waer is more likely o be conaminaed han groundwaer wih microbiological pahogens from human and animal excrea, he mos common cause of waer polluion in rural Ehiopia. Groundwaer, however, is more likely o conain hazardous chemical conaminans, such as arsenic, fluorides and niraes. Groundwaer ends o be safer and less in need of cosly waer reamen han surface waer. In general, he deerminaion of an opimal source of waer for a given projec should be made on case-by-case basis, aking all he above menioned facors ino consideraion. 14
Guidelines for Rural Waer and Saniaion Projecs in Ehiopia service period. The Cooperaing Sponsor should use is echnical experise o assess au poenial waer sources in order o idenify an opimal soluion subjec o concurrence of he communiy in quesion. Whenever surface waer resource is considered for developmen, he communiy a he upsream and downsream should be consuled and involved in he decision-making process prior o he implemenaion. The qualiy and quaniy of surface waer is affeced by how i is used upsream of he communiy. In urn, how he communiy uses he waer will affec he waer for he downsream users. Because au communiies have ineress in mainaining good qualiy and adequae quaniies of waer, i is imporan ha proposed surface waer developmens be discussed wih and approved by boh he upsream and downsream communiies. All projecs should draw waer from proeced sources. Unproeced waer sources are subjec o conaminaion and hereby pose risks o he healh of he users. Wherever possible, proeced sources should be uilized. If proeced sources are no available, some form of waer reamen may be required. (See guideline A.5. Waer Qualiy.) Groundwaer sources are generally preferable o surface waer sources. :-, Surface waer is more likely o be conaminaed han groundwaer wih microbiological pahogens from human and animal excrea, he mos common cause of waer polluion in rural Ehiopia. Groundwaer, however, is more likely o conain hazardous chemical conaminans, such as arsenic, fluorides and niraes. Groundwaer ends o be safer and less in need of cosly waer reamen han surface waer. In general, he deerminaion of an opimal source of waer for a given projec should be made on case-by-case basis, aking all he above menioned facors ino consideraion. 14
Guidelines for Rural Waer and Saniaion Projecs In Ehiopia Where possible, projecs should use waer sources ha will remain reliable o mee he demand hroughou he year and for he design life of he projec. Waer sources ha are inermien or seasonal c..an be very disrupive o communiy life and ofen pose healh risks o he users. The Cooperaing Sponsor should give prioriy o sources ha provide a reliable supply a all imes and for he life of he projec. A.4. Waershed consideraions All projecs should be considered as par of he overall waershed. Waer supply and saniaion aciviies should no be considered in isolaion from he overall waershed. Environmenal and susainabiliy issues elsewhere in he waershed, boh upsream and downsream, may have an influence on he viabiliy of a proposed waer and saniaion projec. Where possible, projecs should be par of an inegraed waershed managemen approach and suppor muliple uses of waer.!: ec e: e; @r.: -... Tile II projecs ofen are funded in waer-shor areas. Wherever possible, hese projecs should be incorporaed ino exising waershed managemen plans and should promoe muliple uses of waer as a means of col'1serving and using efficienly his scarce resource. A.S. Waer qualiy Waer qualiy should be a primary concern in all waer projecs. Since he improvemen of healh is he major expeced benefi of Tile II projecs, he qualiy of drinking waer mus be uppermos in he planning and implemenaion of waer and saniaion aciviies. Concerns for waer qualiy are inegral o all aspecs of projec developmen, from source selecion hrough choice of echnology o mainenance of compleed sysems. 15
Guidelines for Rural Waer and Saniaion Projecs in Ehiopia A coninuous effor should be made o mainain drinking waer qualiy a he highes pracical level. Projecs should draw waer from he bes available sources, as i is easier o mainain high qualiy waer han o provide reamen o low qualiy sources. In addiion, waer qualiy should no be allowed o deeriorae beween he source and he ulimae user. The mainenance of waer qualiy may require a combinaion of hardware (source improvemen, echnical design, consrucion, ec.) and sofware (educaion, rules for sysem usage, monioring and esing, ec.). All waer sources should have accepable waer qualiy. Tile II projecs should provide waer ha is safe and proecive of healh. Of paricular concern are he microbiological conaminans, represened by fecal coliforms, and he oxic chemical conaminans, noably arsenic, fluorides and niraes. While i is recognized ha some projec locaions may no have available waer sources ha are free of subsances in concenraions hazardous o healh, every effor mus be aken o ensure ha projec users are no supplied wih waer whose qualiy is worse han he waer used before he projec was implemened. I is also recognized ha because of cos and resource limiaions, and he small scale of Tile II projecs, inernaional guidelines and naional sandards for waer qualiy may be 'difficul o apply in rural Ehiopia. For hese reasons, he following permissible levels of he main waer conaminans are o be used for Tile II projecs: Organism or Chemical Inernaional Guidelines 1 Maximum Desirable Level Tile II Projecs Maximum Allowable Level Fecal (E. coli) Coliforms Nil 50 FC per 100 ml Arsenic 0.01 mg/l 0.05 mg/l Fluoride 1.5 mg/l 3.0 mg/l Nirae as N03 50 mg/l 50 mg/l 1 =WHO (1993), Guidelines for Drinking Waer Qualiy 16
Guidelines for Rural Waer and Saniaion Projecs in Ehiopia I should be noed ha he proposed guideline values for fecal coliforms, arsenic and fluoride in Tile II projecs allow higher levels of conaminans han he curren inernaional guidelines recommended by WHO. Because waer qualiy monioring is no ye uniformly praciced in Tile II projecs, i is believed ha he iniial applicaion of less resricive guideline values will encourage greaer compliance wih he new monioring requiremens. The iniial guideline values can be made more resricive a a laer ime if (a) waer analyses show high levels of conaminans, (b) esing equipmen is readily available, and (c) all paries are cooperaing wih hese guidelines. In he case of arsenic, USAID has drafed proposed guidelines for he adopion of he USEPA sandard of 0.01 mg/l for drinking waer, bu his regulaion has no ye been adoped. :. If a waer supply inended for drinking and oher consumpive uses does no mee he above maximum allowable levels, a differen source or addiional reamen may be require. In exreme siuaions, where alernaive waer sources are no available and reamen is no feasible, he Cooperaing Sponsor mus jusify why i proposes o use waer failing o mee hese guidelines and provide raining on addiional measures he communiy may ake. The Cooperaing Sponsor should jusify any proposal for he use of an unproeced source and indicae measures i inends o ake o proec he healh of he users. All waer sources/waer sysems should be regularly moniored for waer qualiy. Waer qualiy monioring in he form of sampling, esing and reporing is an essenial aspec of mainaining waer qualiy a he highes pracical level. Waer sources should be esed before projec approval, if possible, and hen a projec compleion. In addiion, annual esing of all waer sysems should be performed o monior he safey of drinking waer. (: -...= e: A.6. Waer quaniy Projecs should have he capabiliy of supplying a leas 20 liers of waer per person per day o he service populaion. 17 e:. ----
Guidelines for Rural Waer and Saniaion Projecs in Ehiopia Tile II projecs should provide sufficien quani_ies of waer o mee essenial healhrelaed household and personal needs, including drinking, cooking, personal hygiene, clohes washing and cleaning. The amoun of waer available has o be based upon exising and poenial downsream demands during he lifespan of he projec, aking echnical and hydro-geological parameers ino consideraion. Alhough acual waer usage in Ehiopian rural communiies is ofen very low, even when waer is pleniful, projecs should be designed o supply a minimum of 20 liers per person per day. If his sysem capabiliy canno be achieved, for reasons of inadequae waer sources or high coss, he Cooperaing Sponsor mus jusify why i proposes o supply a lesser quaniy of waer. A. 7. Saniary surveys Projec approval mus include a saniary survey assessing healh risks. Before any new waer source or modificaion o an exising source is approved, he Cooperaing Sponsor mus submi a saniary survey showing ha he risks o healh of he proposed works are eiher negligible or can be conrolled wih specific miigaing acions. This saniary survey will be par of he baseline informaion for he waer source and is associaed waer sysem. A.8. Waer supply and saniaion commiee A waer supply and saniaion commiee should be esablished a he onse of he projec o define and manage is operaions. Waer and saniaion aciviies need a dedicaed group o oversee and be responsible for projec implemenaion as well as sysem operaion and long-erm susainabiliy. The Cooperaing Sponsor should assis he communiy o se up and suppor a waer supply and saniaion commiee o ake on hese asks. Where appropriae, he commiee should have a legal basis and be auhorized o adminiser financial accouns. In some communiies, waer and saniaion aciviies may require commiees o collec waer fees, hire careake(s, and oversee operaions and repairs. The Cooperaing = 18..
Guidelines for Rural Waer and Saniaion Projecs In Ehiopia Sponsor in such siuaions should ensure ha he esablishmen of he commiee is in aa:ordance wih local laws and financial regulaions. Projec planning should reflec commiee inpus. The commiee should be closely involved in he planning and implemenaion of waer and saniaion aciviies. The Cooperaing Sponsor should inroduce paricipaory mehods as a means of ensuring he relevance of commiee inpus in he planning process. The commiee should be represenaive of he communiy. If he commiee is o carry ou is responsibiliies on behalf of he enire communiy, he members of he commiee should be represenaive of all he main ineres groups, including women, ehnic minoriies, he poor and he weak. The Cooperaing Sponsor should assis he communiy o undersand he need for a represenaive commiee. Women should be fully represened on he commiee. Women ofen have he mos o gain from improvemens in waer supplies and saniaion. They usually have o carry he waer, mainain he waer poins, clean he larines, wash he clohes and prepare he meals. Their membership on he commiee should reflec heir daily involvemen wih waer and saniaion asks. In mos cases, women should consiue a leas half of he members of he commiee. @: Women should be encouraged o ake on leadership roles on he commiee. Commiee membership is no sufficien if he women members have no funciona roles. In Ehiopia, women rarely are allowed o ake on leadership roles in rural communiies. The Cooperaing Sponsor has a special responsibiliy o ensure ha women are encouraged o ake key leadership posiions and is given he raining and suppor o assis hem o do so. 19 ---r
Guidelines for Rural Waer and Saniaion Projecs in Ehiopia A. 9. Projec design Projecs should reflec generally acceped engineering pracices in Ehiopia. -- _..., -:-.iii -- Tile II projecs are generally buil in poor rural areas and should be implemened wihin he experience and echnical skills of heir hos communiies. If hey are designed and consruced beyond he undersanding of he users, hey are no likely o be properly operaed and mainained and he susainabiliy of he resuling waer and saniaion sysem will be in doub. Using acceped engineering pracices also may allow more people o become involved in overall projec developmen. Projec design should be suppored by appropriae echnical daa. All projecs, no maer how simple or complex, require accurae echnical daa, such as survey informaion, waer flows, waer demands, soil characerisics, ec. Such daa are needed for boh immediae planning and implemenaion and for subsequen review in he even of operaional problems or projec expansion. The Cooperaing Sponsor should ensure ha appropriae daa and informaion is colleced, used and saved for fuure reference. The choice of echnology should reflec coss, communiy preferences and consideraions of long-erm susainabiliy. The echnologies used o improve waer and saniaion should be chosen by he communiy in ligh of is expressed needs and capaciies. Unless he communiy believes ha i can influence he choice of echnology and how i is used, i will no develop a sense of ownership owards he resuling waer and saniaion sysem. The Cooperaing Sponsor should assis he communiy o undersand he available echnological opions and help hem o selec he echnology bes suied for heir needs. 20
Guidelines for Rural Waer and Saniaion Projecs In hlopla!-: A. 10. Projec appraisal Final projec approval should include agreemen by he waer supply and saniaion commiee, local governmen and USA/D. There should be no unilaeral decision-making in he selecion and approval of projecs. The Cooperaing Sponsor should ensure ha all major sakeholders agree wih he projec plan before i is submied for approval and funding. B. Implemenaion Phase B. 1. Communiy involvemen The Cooperaing Sponsor should ensure ha he communiy remains fully ijvolved during projec implemenaion. Communiy involvemen in he projec does no end wih planning bu mus coninue hrough he implemenaion and susainabiliy phases. The Cooperaing Sponsor should encourage he communiy o remain engaged in decision-making and in he various implemenaion aciviies. I also should remain paien wih he level of communiy ineres and involvemen and no accelerae implemenaion faser han he rae a which he communiy is willing o progress. e.; : e: -;: ;. c c r.= - The Cooperaing Sponsor should remain sensiive o he changing needs and preferences of he communiy. As projecs evolve, communiies someimes change heir minds abou he design, locaion and operaion of he proposed sysem. The Cooperaing Sponsor should recognize he righ of a communiy o reques projec modificaions. Changes in communiy preferences should be seen as a reflecion of greaer undersanding of he projec's poenial on he par of he communiy. 21
Guidelines for Rural Waer ane Saniaion Projecs In Ehiopia The Cooperaing Sponsor should encourage local governmen o be involved in program implemenaion. As a key sakeholder in long-erm projec susainabiliy, he local governmen hrough is echnical bureaus should be involved in overall program implemenaion, and especially during projec consrucion. The Cooperaing Sponsor should ac as a channel o keep he local governmen echnical bureaus informed of projec progress and acively engaged in major decisions and asks of projec implemenaion. B. 2. Consrucion Projecs should use local maerials and pracices wherever possible. The use of local maerials and pracices, including sysem designs, consrucion mehods, and labor pracices, should be encouraged as communiies are familiar wih hem and can immediaely conribue o hem. This is an imporan elemen in helping he communiy o develop a sense of ownership owards he projec. Projecs should use generally acceped consrucion pracices. As saed in he planning phase, consrucion pracices ha are familiar can be more readily suppored by he commu(liy han pracices ha are differen or unnecessarily complex. 8.3. Healh/hygiene educaion All projecs should have a hygiene educaion componen ha promoes behavioral change. Since he healh benefis of improved waer supply and saniaion rarely occur wihou some form of behavioral change, he projec should have an educaional componen ha helps he communiy o undersand he need for healh and hygiene-relaed changes in behavior. The mos imporan healh-relaed behavioral changes are (1) washing hands afer using he larine and before preparing meals or nursing babies, (2) 22
Guidelines for Rural Waer and Saniaion Projecs in Ehiopia proecing waer supplies a he source and in he home, and (3) disposing of human excrea so ha i does no conaminae waer supplies, food, people or animals. Wherever possible, wasan projecs should be inegraed wih communiy healh projecs. Personal and communiy healh are he major beneficiaries of improved waer supplies and saniaion. These benefis can be enhanced if waer and saniaion projecs are par of communiy healh projecs, such as primary healh care, communiy inegraed managemen of childhood illnesses, and healhy village projecs. Cooperaing Sponsors should seek opporuniies o link waer and saniaion aciviies wih new or ongoing healh projecs. 8.4. Training (includi'ng village managemen, commiee organizaion, operaions and mainenance, finan. monioring) Cooperaing Sponsors should share experiences and bes pracices among :: : :: : : c : e hemselves. There is inadequae sharing of projec experiences among he Cooperaing Sponsors. Effors should be made o have a regular forum o exchange informaion abou projec designs, bes pracices, new echnologies, paricipaory mehods, cos sharing and waer qualiy monioring, among ohers. The Cooperaing Sponsor should ensure ha is personnel are adeq'!p.e rained o plan, develop and suppor waer supply and saniaion projecs. Personnel responsible for projec developmen should be properly rained and have relevan experience o carry ou heir responsibiliies. I is essenial for Cooperaing Sponsors o ensure ha heir saffs are adequaely rained and have he appropriae echnical references o plan, implemen and suppor Tile II waer and saniaion aciviies. 23
Guidelines for Rural Waer and Saniaion Projecs in Ehiopia The Cooperaing Sponsor should be capable of working wih communiies on a paricipaory basis. Since paricipaory mehods are supposed o be he basis for all conacs beween he Cooperaing Sponsor and he communiy, i is essenial ha he field personnel of he Cooperaing Sponsor are knowledgeable of hese mehods and capable of using hem when working wih he communiies. The Cooperaing Sponsor should assis he communiy o develop he skills necessary o manage and mainain he projec. Many rural communiies do no have he skills required o manage a waer and saniaion sysem. The Cooperaing Sponsor should see he ask of raining and advising he communiy, perhaps hrough he waer supply and saniaion commiee, as a op prioriy of projec developmen and susainabiliy. The Cooperaing Sponsor should encourage he sharing of experiences beween communiies. Successful aciviies and approaches in one communiy should be shared wih oher communiies, especially among neighboring villages. The Cooperaing Sponsor should consider ways in which communiies can exchange ideas and experiences. B.S. Monioring The Cooperaing Sponsor should work wih he waer supply and saniaion commiee o monior he implemenaion of he projec. The commiee should be assised by he Cooperaing Sponsor o undersand he criical aspecs of projec implemenaion and he need for regular and accurae monioring of projec implemenaion. 24
Guideli!leS for Rural Waer and Saniaion Projecs in Ehiopia The Cooperaing Sponsor should assis he waer supply and saniaion commiee o develop a plan for he fuure monioring of he sysem. Long-erm susainabiliy of he waer and saniaion sysem is dependen upon a coninuous flow of accurae informaion regarding operaions, waer qualiy, mainenance and financial saus. The Cooperaing Sponsor should ac as a parner wih he communiy in developing a long-erm monioring plan. The Cooperaing Sponsor should encourage local governmen echnical bureaus o monior projec implemenaion. The involvemen of local governmen echnical bureaus in long-erm susainabiliy of he sysem is bes assured by encouraging hem o assis in he monioring of projec implemenaion. This should help o develop a working relaionship beween he communiy and he local governmen bureaus. 8.6. Reporing The Cooperaing Sponsor should ensure ha all repors and records are available o USAID and he waer supply and saniaion commiee, as appropriae. E:_ : E. c e_ c {: (.; c A record of projec developmen aciviies mus be mainained as an aid o fuure mainenance, rouble-shooing, sysem modificaig>n and evaluaion. Since he Cooperaing Sponsor will no mainain a permanen presence in he communiy, i is imporan ha records of all essenial informaion (e.g. surveys, well logs, waer qualiy ess, sysem designs, expendiures and fee collecions) be provided o USAID and o he waer supply and saniaion commiee. The Cooperaing Sponsor should mainain a basic se of echnical reference documens in is counry office. To carry ou basic echnical design, monioring and operaions of he waer and saniaion aciviies suppored by Tile II, each Cooperaing Sponsor should obain and 25
Guidelines for Rural Waer and Saniaion Projecs in Ehiopia keep a core se of reference documens o guide projec developmen. The lis of reference documens considered essenial for his purpose is found in Annex A. B. 7. Exi sraegy The Cooperaing Sponsor should develop a handing over plan for he ransfer of is responsibiliies a he compleion of he projec o he waer supply and saniaion commiee and local governmen echnical bureaus, as appropriae. There are several poins a which he Cooperaing Sponsor erminaes is responsibiliies o a projec. The firs is a he compleion of projec implemenaion, when he communiy becomes responsible for on-going operaion and mainenance of he sysem. The second is when he Cooperaing Sponsor is no longer able o provide periodic echnical advice and assisance. To help he communiy undersand and be prepared for hese ransiions, he Cooperaing Sponsor should work wih he communiy o prepare a plan for ransferring responsibiliies o he waer supply and saniaion commiee. The Cooperaing Sponsor should assis he communiy o esablish an agreemen wih local governmen echnical bureaus for major echnical repairs ha may be required in he fuure. Alhough he communiy is expeced o underake rouine mainenance and repairs on is waer and saniaion sysem, i probably will need echnical and financial assisance for major echnical problems and repairs. The Cooperaing Sponsor should help se up an agreemen wih he local governmen echnical bureaus, which have been involved hroughou he projec developmen cycle, for assisance in he even ha major inervenions are needed in he fuure. 26
Guidelines for Rural Waer and Saniaion Projecs In Ehiopia C. Susainabiliy Phase C. 1. Operaions The communiy should be fully responsible for he coninued operaions of he waer supply and saniaion sysem. Responsibiliy for he coninuing managemen and operaion of he waer and saniaion sysem will be wih he communiy, mos likely hrough he waer supply and saniaion commiee. The Cooperaing Sponsor should ensure ha he communiy undersands ha unless i acceps his responsibiliy long-erm susainabiliy of he sysem is no possible. The Cooperaing Sponsor should coninue o assis he communiy for an appropriae period of ime following compleion of projec implemenaion. The communiy and is waer supply and saniaion commiee will probably need echnical and advisory assisance for some ime following_ implemenaion of he projec. The Cooperaing Sponsor should be prepared o provide minor levels of assisance for perhaps a year or more, as may be needed depending on he ype of he scheme, he level of awareness of he commiee, accessibiliy o major owns ec. C.2. Mainenance The communiy should have a plan o suppor and carry ou rouine mainenance and repairs. A plan oulining rouine mainenance and repairs should be prepared and acceped by he communiy before deparure of he Cooperaing Sponsor. The waer supply and saniaion commiee should be responsible for carrying ou he mainenance plan. Managemen and mainenance of he sysem should be he primary coninuing responsibiliy of he waer supply and saniaion commiee. - 27
Guidelines for Rural Waer and Saniaion Projecs in Ehiopia C.3. Communiy Managemen The communiy should ensure ha he waer supply and saniaion commiee repors regularly on he saus of he waer and saniaion sysem. Reporing on sysem saus and operaions is an essenial par of long-erm susainabiliy. The waer supply and saniaion commiee should repor o he communiy (and possibly o he local governmen echnical bureaus, and he Cooperaing Sponsor) annually and preferably more ofen. The Cooperaing Sponsor may, in urn, need o repor o he USAID. C.4. Insiuional links The Cooperaing Sponsor should assis he communiy o mainain effecive links wih local governmen echnical bureaus. In he even ha he communiy is unable o esablish or mainain he necessary close working relaionships wih he local governmen echnical bureaus, he Cooperaing Sponsor should assis his process wih all appropriae measures. C.S. Monioring The communiy should have a plan for he rouine monioring of sysem operaions and communiy saniaion and hygiene pracices. As in he case of rouine mainenance and repairs, he communiy should have a plan for carrying ou monioring of sysem operaions, waer qualiy, saniaion aciviies and he adopion of hygiene and behavioral change pracices. The Cooperaing Sponsor should help he communiy o prepare his plan and provide minor amouns of assisance in carrying i ou. 28
Guidelines for Rural Waer and Saniaion Projecs in Ehiopia The waer supply and saniaion commiee should be responsible for carrying ou he monioring plan. The monioring of he waer and saniaion sysem, environmenal healh, and he communiy hygiene pracices is anoher imporan prioriy for he waer supply and saniaion commiee. C.6. Program evaluaion The Cooperaing Sponsor should carry ou an exernal evaluaion of projecs a he compleion of he overall program. An exernal evaluaion should be commissioned by he Cooperaing Sponsor a he end of is DAP (Developmen Aciviy Proposal) cycle. If necessary, a mid-erm evaluaion may also be required.!:; e: : e e e e PART Ill: REVIEW AND REVISION OF GUIDELINES The indicaor measures and relaed guideline values conained here should be seen as advisory and inended o encourage he planning and implemenaion of waer and saniaion projecs ha improve healh, proec he environmen, and lead o long-erm susainabiliy. These guidelines, however, are no infallible or expeced o be permanen. They should be periodically reviewed and revised on he basis of field experience and heir conribuion o he developmen of Tile II waer and saniaion aciviies. Over ime, as experience wih he use of guidelines in Tile II programming accumulaes and boh USAID and he Cooperaing Sponsors find ha he guidelines conribue o beer waer and saniaion aciviies, he various guidelines values can be srenghened o promoe even beer projecs. In his manner, he guidelines can be employed as a consanly evolving ool serving o "pull" waer and saniaion aciviies o higher levels of service and effeciveness. 29