Guidelines For The Development Of Small-scale Rural Water Supply And .

Guidelines for the Development of Small-Scale Rural Water Supply and Sanitation Projects in East Africa PART I: BACKGROUND Introduction This document constitutes general guidelines for the planning and implementation of small-scale water supply and sanitation activities in rural East Africa, which includes both projects funded under the USAID Title II (Food for Peace) Program and projects funded by other donors. It is intended to assist CRS and its partners in improving the effectiveness, environmental protection and long-term sustainability of water and sanitation activities in the rural, and often food-insecure, areas of East Africa. The origin of these guidelines was a cooperative effort between the USAID Mission to Ethiopia and the non-governmental organizations (Cooperating Sponsors) participating in the Title II (Food For Peace) Program to improve water and sanitation project planning in Ethiopia. As a result of a 1999 USAID-funded field study of Title II water and sanitation projects in Ethiopia, many weaknesses in environmental protection and project sustainability were identified. To address these weaknesses, USAID sponsored a March 2003 workshop, organized by CRS/Ethiopia and attended by all Cooperating Sponsors, to formulate guidelines for the development of rural water and sanitation projects in Ethiopia. The resulting guidelines were approved by USAID for use in Ethiopia by all NGOs working under the Title II program1. Upon completion of the Ethiopian guidelines, CRS/EARO decided that the availability of relevant guidelines for all of East Africa would be beneficial to the development of CRS water and sanitation projects in the region. A CRS/EARO regional workshop to review the Ethiopian guidelines and adapt them to a regional framework was held in September 2003 for CRS staff and partner organizations. The regional guidelines resulting from this workshop were designed to be appropriate for all CRS rural water and sanitation projects in East Africa, including both those funded by USAID under Title II and those funded from other sources. 1 USAID and CRS (2003). Guidelines for the Development of Small-Scale Rural Water Supply and Sanitation Projects in Ethiopia: A Policy and Planning Framework for Activities Funded under the Title II (Food for Peace) Program. Addis Ababa: CRS/Ethiopia. 9

10 Guidelines for the Development of Small-Scale Rural Water Supply and Sanitation Projects in East Africa It is expected that the regional guidelines presented here will be used by CRS country offices and revised, as needed, to account for conditions and requirements specific to each country. CRS country offices are encouraged to modify these guidelines to suit countryspecific needs. At the same time, it is recommended that any modifications remain within the parameters set by the Title II program, since USAID is expected to continue as a major source of funds for CRS water and sanitation projects. And finally, the guidelines are not intended to be restrictive but rather to encourage development that is likely to be sustainable and have potential for enhanced health benefits in the project communities. The Need for Water Supply and Sanitation The need for good water and sanitation is widely recognized as an essential component of social and economic development. The provision of water supply and sanitation services addresses some of the most critical needs of people. Safe water and good sanitation are essential to the protection of community health by limiting the transmission of infectious diseases and by assisting in the maintenance of a sanitary home environment. At the same time, they contribute greatly to the enhancement of human dignity and economic opportunity by freeing people, mainly women and young children, from the drudgery of water carrying and providing more time for them to engage in other activities. CRS is particularly concerned with the poor and marginalized populations living in rural settlements and peri-urban slums. These areas have urgent and immediate needs for safe drinking water, appropriate forms of sanitation and excreta disposal, and access to water for agricultural and other domestic purposes. The common factor in all of these needs is health – its maintenance, its protection, and its improvement. Available information paints a grim picture of the water and sanitation conditions in much of the developing world. Out of a global population exceeding six billion people, over twothirds, perhaps four billion people, live in developing countries. In 2002, the latest year for which information is available, one-sixth (1.1 billion) of the world’s population lacked access to improved water supply, while more than two-fifths (2.6 billion) were without access to improved sanitation2. The great majority of these people live in the poorer countries of Asia and Africa. 2 WHO and UNICEF (2004). Meeting the MGD Drinking Water and Sanitation Target: A Mid-Term Assessment of Progress. WHO/UNICEF Joint Monitoring Programme for Water Supply and Sanitation. Geneva: WHO and New York: UNICEF.

Guidelines for the Development of Small-Scale Rural Water Supply and Sanitation Projects in East Africa In Africa, Asia and even in the relatively prosperous region of Latin America, over one-half of the rural inhabitants are without improved sanitation, meaning sanitary forms of excreta disposal. The statistics for rural water supply are only slightly better: one-half of Africans, one-third of Latin Americans and one-quarter of Asians lack improved water systems. In the East Africa Region of CRS, several countries have particularly acute needs for water and sanitation. Approximately 97% of rural dwellers in Eritrea, 96% in Ethiopia and 76% in Sudan have no access to improved sanitation. Similarly, 89% of rural people in Ethiopia, 54% in Kenya and 48% in Uganda are forced to live without improved water supplies3. Water supply and sanitation services are strongly correlated with health statistics for morbidity and mortality. WHO global data for 1996 shows that poor environmental sanitation, which includes the control of both human excreta and other household wastes and the hygienic aspects of domestic water supply, was associated with nearly five billion cases of illness and over three million deaths4. The great majority of these cases were attributed to diarrhea and dysentery, but significant tolls on health were taken by typhoid, dengue, helminths (worms) and cholera. For 2000, WHO estimated that environmental risks, meaning unsafe water, sanitation and hygiene, caused 1.7 million deaths and a total of 49 million years of lost life5. All of these diseases are related to either unsanitary excreta disposal, poor personal hygiene and/or contaminated water supplies. The influence of water and sanitation upon health is shown very dramatically in the case of under-5 child mortality rates. In 2002, approximately 126 children out of every 1,000 live births in the developing countries died before their fifth birthday6. In Sub-Saharan Africa the average child mortality rate stood at 174 per 1,000, but in several East African countries the child mortality rates were much higher – 208 in Burundi and 203 in Rwanda. By contrast, child mortality rates in the industrialized countries, where water and sanitation services approach universal coverage, typically average less than 10 per 1,000 live births. Clearly, the availability of safe drinking water and good environmental sanitation can be a major influence upon both the control of diseases and the reduction of infant mortality. All statistics drawn from WHO and UNICEF (2004). Meeting the MGD Drinking Water and Sanitation Target: A Mid-Term Assessment of Progress. 4 WHO (1997). The World Health Report 1997: Conquering Suffering, Enriching Humanity. Report of the Director-General. Geneva: WHO. 5 WHO 2002). The World Health Report 2002: Reducing Risks, Promoting Health Life. Geneva: WHO. 6 World Bank (2004). World Development Report 2005: A Better Investment Climate for Everyone. New York: Oxford University Press. 3 11

12 Guidelines for the Development of Small-Scale Rural Water Supply and Sanitation Projects in East Africa While health may be the primary rationale in water and sanitation, it is by no means the only reason to invest in these services. Water is needed for a wide variety of domestic, agricultural, commercial and industrial uses. In rural communities, available water must be allocated to irrigation, livestock watering, food processing, beer brewing and other commercial activities supporting the livelihoods of the residents. Water is indeed the element around which much of rural life in the developing countries revolves. At the same time, the indiscriminate disposal of human excreta and other wastes may seriously degrade the quality of groundwater and surface water, affecting not only the immediate community, but also communities in other parts of the watershed. Thus, the misuse of water sources and the contamination of the environment with wastes can lead to disease transmission, economic hardship and intercommunal conflict rather than life and health, which in the end are the goals of water and sanitation. The Need for Guidelines Guidelines are used to direct project development efforts so that positive outcomes are maximized and negative outcomes are minimized. In East Africa, the need for guidance in the planning and implementation of water and sanitation projects has become increasingly evident to CRS in recent years. These guidelines are the result of several major policy changes in USAID and a number of initiatives taken by USAID/Ethiopia, CRS/Ethiopia, and CRS/EARO. The first change was the new global emphasis put on environmental protection by USAID in the late 1990s. Due to growing concerns over the cumulative impact of development activities upon the environment and the health-related effects of toxic contaminants, especially arsenic, in water, small water supply and sanitation projects were made subject to the USAID environmental regulations, most notably 22 CFR 2167. These regulations require the Agency to make threshold decisions concerning the significance of environmental impacts that various types of actions, including water and sanitation activities, may have. In addition to this regulatory role, USAID also became concerned about the effects of adverse environmental consequences upon the sustainability of development activities. The second change was the decision of USAID/Ethiopia to take the initiative in reviewing the environmental consequences of small irrigation and of potable water and sanitation projects funded under the P.L. 480 Title II (Food for Peace) account. This program is used in Ethiopia, as well as in several other East African countries, to address food security issues affecting highly vulnerable rural households. Food-assisted programs are directed at marginal communities to strengthen their economic and social base and to move them from dependence 7 U.S. Government Code of federal regulations. Agency Environmental Procedures. 22 CFR 216.

Guidelines for the Development of Small-Scale Rural Water Supply and Sanitation Projects in East Africa on external food resources to food security and, increasingly, to sustainable development activities. These programs provide not only food but also improve rural infrastructure through the provision of health facilities, drinking water sources, latrines, small-scale irrigation schemes and agricultural training. Water and sanitation projects funded under the Title II account are generally implemented by non-governmental organizations, termed Cooperating Sponsors. The USAID Title II program in East Africa incorporates a variety of potable water and sanitation activities, including the construction of ponds, wells, springs, boreholes, latrines, cattle troughs and washing facilities. These activities are subject to an environmental review, typically under an Initial Environmental Examination (IEE), which usually results in a finding that they do not have significant effects on the environment and hence a formal Environmental Assessment is not required8. Despite such a finding, water and sanitation activities function within the natural environment and cumulatively may have significant harmful effects upon it and the welfare of the people they serve. USAID’s concerns with the environmental effects of Title II-funded activities in Ethiopia led it to commission a Programmatic Environmental Assessment of small-scale irrigation activities in 1998 and an environmental study of potable water and sanitation activities in 1999. The report of the water and sanitation study, completed in March 20009, concluded that water supply and sanitation activities within the Title II program in Ethiopia were subject to various weaknesses in both environmental protection and project sustainability. The major concerns arising from this study were: Sanitation was lacking in most projects. The number of water and sanitation projects being implemented was insufficient to bring about a significant developmental effect. Inappropriate technologies for water systems were sometimes used. Technical design of water systems was sometimes sub-standard. Water quality monitoring was rarely done and never on a regular basis. The integration of Title II projects in community-wide development efforts rarely occurred. Community participation was inadequate to fully involve communities in all aspects of the projects. 8 Warner, Dennis (2002). Environmental Guidelines for Small-Scale Water Supply and Sanitation Projects: The Application of USAID Regulations under Title II. Regulation 216. Atlanta: CARE. 9 Warner, Dennis et al (March 2000). Water and Food-Aid in Environmentally Sustainable Development: An Environmental Study of Potable Water and Sanitation Activities Within the Title II Program in Ethiopia. Prepared for USAID/Ethiopia by Winrock International. Task Order Contract No. PCE-1-00-96-00002-00. 13

14 Guidelines for the Development of Small-Scale Rural Water Supply and Sanitation Projects in East Africa Water and sanitation committees were generally weak and unable to properly manage the systems. Women did not fully participate in project development or have responsible leadership roles. Health and hygiene education was inadequate for raising awareness or changing health-related behaviors. It was noted by the March 2000 report that neither USAID nor the Government of Ethiopia had technical guidelines for the design, construction, operation and maintenance of water and sanitation schemes. To correct these weaknesses, the report recommended a number of improvements in program development and project implementation. These improvements were to be undertaken by both USAID, which was the source of Title II funds, and by the Cooperating Sponsors, the implementers of Title II activities. In March 2003, CRS/EARO organized a USAID-financed workshop in Dire Dawa, Ethiopia to review the 1999 environmental study of potable water and sanitation projects and to formulate guidelines for future project development in Ethiopia10. The resulting guidelines, which were approved by USAID in July 2003, were prepared with inputs from the Cooperating Sponsors that were recipients of Title II funds in Ethiopia, as well as representatives of the Government of Ethiopia and USAID11. It was in the preparation of these planning guidelines for Ethiopia that CRS/EARO decided to move ahead with the development of a regional strategy for water supply and sanitation in East Africa. Such a strategy was initially recommended in a CRS/EARO regional workshop held August 2001 in Dira Dawa, Ethiopia. Recent difficulties in program and project preparation and the heightened concerns of USAID for environmental protection and project sustainability underlined the need for CRS/EARO to have a comprehensive regional strategy for the development of water supply and sanitation activities. As a result, CRS/ EARO decided to hold a regional workshop for its regional and country staff and partner organizations to develop a draft regional strategy for water and sanitation and to adapt the Ethiopian water and sanitation guidelines for use by CRS programs in other countries of East Africa. CRS/Ethiopia (2003). Proceedings of the USAID/Ethiopia Training Workshop on the Multiple Uses of Water Supply and Sanitation in the Title II Program. Dira Dawa, Ethiopia, March 17-22, 2003. 11 CRS/Ethiopia (2003). Guidelines for the development of Small Scale Rural Water Supply and Sanitation Projects in Ethiopia: A Policy and Planning Framework for Activities Funded by USAID under the Title II (Food for Peace) Program. USAID/Ethiopia and CRS/Ethiopia. July 31, 2003. 10

Guidelines for the Development of Small-Scale Rural Water Supply and Sanitation Projects in East Africa The workshop on regional strategy was held September 8-13, 2003 at Mbita, Kenya and was attended by staff from CRS country offices and partner organizations in East Africa, as well as CRS staff from Headquarters and five other CRS regions12. One output of this workshop was the first-ever CRS strategy for water supply and sanitation13. Although the strategy was specifically developed for East Africa, it was strongly supported at the workshop by participating staff from CRS offices and partner organizations outside the region. A second output was agreement on the elements necessary to adapt the Ethiopian water and sanitation guidelines into a regional guidance document applicable to CRS projects throughout East Africa. These elements were used to revise the Ethiopian guidelines for use throughout the region. This document contains general guidelines that incorporate and build upon the recommendations found in the March 2000 report on environmental and sustainability problems in Ethiopia, the March 2003 workshop on guidelines for Ethiopia and the September 2003 workshop on a strategy and guidelines for East Africa. It is not an engineering manual, but rather a policy and planning framework within which CRS water and sanitation projects, and especially those funded by Title II, should be implemented. Although the regional guidelines were formulated by CRS staff for CRS projects in East Africa, they are based upon procedures and guidelines established by CRS, Cooperating Sponsors, Government of Ethiopia, and USAID. As such, these guidelines represent a broad consensus on the approach that water and sanitation activities should follow in East Africa generally and, in particular, under the Title II program. USAID Regulations As of 1998, all PVO/NGOs submitting a new Development Activity Proposal (DAP) or a Previously Approved Activity (PAA) proposal for Title II funds are required to submit environmental documentation for each program. As of 1999, all new Transitional Activity Proposals (TAPs) also need to include environmental documentation. These USAID environmental procedures are included under the Foreign Assistance Act, Section 117, Title 22, Code of Federal Regulations, Part

sanitation programs and projects in East Africa. A companion CRS document, Water Supply and Sanitation Strategy: Developed in East Africa, provides the principles that underline the CRS approach to development and the overall objectives and strategic considerations that are used to direct the formulation of regional water and sanitation programs.