O&M Framework For Rural Water Services - V6 - 24.07.2020

REPUBLIC OF UGANDA
MINISTRY OF WATER AND ENVIRONMENT
DIRECTORATE OF WATER DEVELOPMENT

RURAL WATER SUPPLY AND SANITATION
NATIONAL FRAMEWORK FOR OPERATION

AND MAINTENANCE OF RURAL WATER
INFRASTRUCTURE IN UGANDA a
JULY 2020
b
INFRASTRUCTURE IN UGANDA
JULY 2020
i
CONTENTS
Foreword ................................................................................................................................ iv
Acronyms ................................................................................................................................ vi
Executive Summary ............................................................................................................... viii
1.0 Introduction ............................................................................................................... 1

1.1 Background ................................................................................................................ 2
1.2 Purpose and Objectives of the Framework ........................................................... 2
1.3 The intended users ................................................................................................... 3
1.4 Structure of the National O&M framework ........................................................... 3
1.5 Other complementary materials to the National O&M framework .................... 3
2.0 Legal and Policy framework ..................................................................................... 4

2.1 Policy Framework ...................................................................................................... 6
2.2 Institutional set-up for MWE .................................................................................... 6
3.0 Situation Analysis ...................................................................................................... 8

3.1 Definition of CBMS, its anchorage, success and lessons learnt .......................... 9
3.2 Current Rural Water O&M Challenges .................................................................... 10
3.2.1 CBMS challenges ....................................................................................................... 10
CONTENTS
3.2.2 General O&M challenges ......................................................................................... 10
4.0 Professional Management Approach ..................................................................... 13

4.1 Community Based Management System Plus (CBMS+) ....................................... 14
4.1.1 Description ................................................................................................................. 14
4.1.2 Key features of CBMS+ ............................................................................................. 14
4.1.3 Principles of CBMS+ .................................................................................................. 15
4.2 Back up support ........................................................................................................ 17
4.2.1 Description of backup support ............................................................................... 17
4.2.2 Levels of back upsupport ......................................................................................... 17
5.0 Key Stakeholders, Roles And Responsibilities ........................................................ 19

5.1 Coordination, collaboration and networking for O&M ......................................... 25
6.0 Financing O&M costs ................................................................................................ 27

6.1 Sources of funding for O&M .................................................................................... 28
6.1.1 Water user fees .......................................................................................................... 28
6.1.2 Government mainstream funding ........................................................................... 28
6.1.3 NGOs/CBOs ................................................................................................................ 28
ii
6.2 Seed funding .............................................................................................................. 29
6.3 Equipment and tools ................................................................................................ 29
6.4 Accountability, Transparency and Consequences ................................................. 30
7.0 Cross-cutting Issues .................................................................................................. 31
8.0 Key Considerations ................................................................................................... 34

8.1 Technical Quality ...................................................................................................... 35
8.1.1 Existing systems ....................................................................................................... 35
8.1.2 Design, Installation of new systems ........................................................................ 35
8.1.3 Rehabilitation ............................................................................................................ 35
8.1.4 Refugee settlements ................................................................................................. 35
8.1.5 Pro – poor issues for the vulnerable ...................................................................... 36
8.2 Software steps ........................................................................................................... 36
9.0 Monitoring and Evaluation Mechanisms ................................................................ 40
10.0 Roadmap .................................................................................................................... 42

References ................................................................................................................. 44
List of Figures
Figure 1: Functional Organogram for the RWSD ................................................................ 7
CONTENTS
Figure 2: Multiple approaches & overlaps in rural O&M .................................................. 11
Figure 3: The four principles of CBMS+ ............................................................................... 15
Figure 4: The CBMS+ structure ............................................................................................. 16
Figure 5: Staffing Structure for Area Service Provider ...................................................... 17
Figure 6: Management of water facilities in refugee settlements ................................... 36
List of Table
Table 1: Definition of Terms ................................................................................................. vii
Table 2: O&M stakeholders and their respective roles & responsibilities ..................... 20
Annexes
Annexe 1: Simplified format/model for generating O&M cost prices ............................ 45
Annexe 2: Detailed roll-out of the framework ................................................................... 48
iii
FOREWORD
T
he Government of Uganda is committed to improving the lives of her people
through sustainable supply of safe water. The Ministry of Water and Environment
(MWE) is mandated to ensure sound management and sustainable utilization
of water and environment resources for the betterment of the people of Uganda, by
ensuring that once the water facilities are put in place they continue giving a service to
the intended users. An estimated 28.4 million (82%) of Uganda’s population lives in the
rural areas and depends on rural water and sanitation facilities. The main technologies
of accessing safe water for the rural population is; 44% deep boreholes, 23% shallow
wells, 21% protected springs and 11% piped water schemes (gravity fed) and piped
water schemes (pumped), and rainwater harvesting tanks & others, 1%.
With support from the Royal Danish Embassy and UNICEF, the Ministry commissioned
a study with the objective of developing options and standards for institutionally and
financially sustainable operation and maintenance systems for rural water supply
infrastructure that are currently not adequately covered by existing management
models. The study resulted into the development of the National framework for
operation and maintenance of rural Water infrastructure.
This framework builds on the strength of the current Community Based Management
System (CBMS) model, which has successfully contributed to achieving 85% functionality
FOREWORD
of rural water supply systems. However, there is need for an improved and professional
approach to O&M given that; for the last four years functionality has stagnated at 85%,
the strategic direction to piped water supplies and upgrading high yielding boreholes
to solar powered piped systems, the influx of refugees to the country, reorganising
umbrella organisations to Authorities, these coupled with a number of challenges
facing the current management model of CBMS that include; lack of access to quality
spare parts, unwillingness of users to contribute towards the management of installed
facilities, voluntary nature of WSC and inadequate support to communities, call for
a more professional management approach. The improved CBMS is referred to as
Community Based Management System Plus (CBMS+).
The new management model is anchored on legal provisions stipulated in the water
act (1995) and local government Act (1997). The Water Act allows for the formation of
water user groups, water and Sanitation Committees, water user associations, water
supply areas, and water authorities who have the right to set tariffs (upon approval by
the MWE) and collect revenue for O&M of water and sanitation facilities. According
to the Local Government Act, the provision and maintenance of water facilities is a
responsibility of the District Local Councils in liaison with the Ministry responsible
for natural resources. Central to the new framework is gazetting of districts as Water
Authorities, creation of District Water Supply Boards (DWSB) and contracting Area
Service Provides (ASP) to manage the facilities.
iv
On behalf of MWE, let me express our gratitude to the Sector Development Partners for
the financial & technical support in general and in particular to the Royal Danish Embassy
and UNICEF for the support in the studies & development of the framework. I also wish to
express my gratitude to all individuals who participated and worked tirelessly to ensure
successful completion of the framework
I therefore, implore all the sector players to use the framework as an important tool in
planning and implementation of O&M for improved effectiveness and efficiency in the
management of rural water infrastructure.
Hon. Sam Cheptoris (MP)

MINISTER OF WATER AND ENVIRONMENT
FOREWORD
v
ACRONYMS
ASP Area Service Provider
BoQs Bills of Quantities
CA Collection Account
CAO Chief Administrative Officer
CBMS Community Based Management System
CBMS+ Community Based Management System Plus
CBO Community Based Organisation
CCCC Community Contribution to Capital Costs
CSO Civil Society Organisation
DEC District Executive Committee
DDEG District Discretionary Equalisation Grant
DLG District Local Governments
DP Development Partner
DWSSB District Water Supply Services Board
HPM(A) Hand Pump Mechanic Association
GoU Government of Uganda
IOM Infrastructure Operation and Maintenance
LC Local Council
MFPED Ministry of Finance Planning and Economic Development
MIS Management Information System
MoU Memorandum of Understanding
MP Member of Parliament
ACRONYMS
MWE Ministry of Water and Environment

NGO Non-Government Organisation
NWSC National Water and Sewerage Corporation
O&M Operation and Maintenance
PMA Professional Management Arrangements
PPP Public Private Partnership
PSO Private Sector Organisation
RDC Resident District Commissioner
RWHT Rain Water Harvesting Tanks
RWSD Rural Water and Sanitation Department
RWSRC Rural Water Supply Regional Centre
S/C Sub-County
SCWSSB Sub-County Water Supply Services Board
SDG Sustainable Development Goals
SPR Sector Performance Report
SO Scheme Operator
UA Umbrella Authority
UNBS Uganda National Bureau of Standards
UPMIS Utility Performance Management Information System
UNICEF United Nations Children’s Fund
WASH Water, Sanitation and Hygiene
WMZ Water Management Zones
WSC Water Source Committee
WSSB Water Supply Services Board
vi
Table 1: Definition of Terms
Accessibility Are propotional of people within 1km of an improved water source.
ASP Local expert entity (utility, company, NGO/CBO) that service rural water systems
commercially, under performance contract with the Water Supply and Sanitation
Board (WSSB).
CapManEx Capital Maintenance Expenditure. Capital maintenance (major repairs and

rehabilitation) expenditure. Expenditure on asset renewal, replacement and
rehabilitation costs, based upon serviceability and risk criteria.
Collection Account An account to which the user fees will be banked.
Monitoring The process of collecting data about the usage or quality (access and water
quality) of a water system.
Follow up /back up The process where a government or development partner/NGO/ supports the
support stakeholders to reinforce practices. It also includes helping the management
DEFINITION OF TERMS
structures/committees to fulfil their respective roles and responsibilities.
Functionality % of water sources functional at time of spot-check.
Operation The daily operations of a facility to deliver clean water according to design.
This includes pumping the water or opening the tap. It includes locking and
unlocking the facility or guarding it.
Maintenance Maintenance is the process of running the service such as supply and control
of water collection points/ facilities and carrying out activities /actions required
to ensure continued supply of the water such as preventive, corrective and
crisis maintenance of the water facility(ies) in order to keep it in a good working
condition.
Preventive The activities that are carried out to keep the water facility in good working order
maintenance including routine servicing of the component parts, for example the cleaning of
solar panels or general cleanliness and upkeep of a pump station.
Minor repair Activities done to a fix the water facility component that is not operating as it
should or is broken down including repair of components such as leaking pipes
of replacement of broken taps.
Major servicing / CapManEx should be anything that is expected to have a larger service life
repair/CapManEx (say, 4+ years) and surpasses a % of the cost of the original pump e.g. stainless
Rehabilitation steel pipe, fishing out of broken pipes, replacement pf the rising mains, etc.
Spare parts A complete overhaul or platform overhaul including: cleaning or re-development

of the borehole due to incrustation of the screen, siltation or poor development
at the initial construction phase; replacement of the platform or drain.
Supply Chain Is a system of procuring & supplying spare parts that guarantees a continuous
availability of quality spares within close proximity to the water users.
Water User Community, Institution, etc. vii

EXECUTIVE SUMMARY
Introduction Purpose and Objectives
T
he National Framework for Operation The purpose of this framework is to provide
and Maintenance of Rural Water guidance, strengthen and streamline rural
Infrastructure in Uganda (hereafter water O&M at all levels in order to ensure
called ‘the Framework’) was developed by long-term sustainability of the rural water
the Ministry of Water and Environment in facilities and to ultimately guarantee safe
2019 with financial support from the Royal water supply services to the end user.
Danish Embassy and UNICEF. The objective
was to develop options and standards for
institutionally and financially sustainable The Specific Objectives are:
operation and maintenance (O&M systems
for rural water supply infrastructure that are
(i) To harmonize operation and
currently not adequately covered by existing
maintenance of water systems outside the
EXECUTIVE SUMMARY
management models.
jurisdiction of current public utilities under a
single structure.
The framework is structured into ten
(ii) To create awareness on the need
sections that include: description of the
to plan and balance funding for O&M with
proposed management arrangements
investments in new facilities at an early stage.
whose principles are anchored on
(iii) To improve mechanisms for resource
professionalization of rural O&M.
mobilization & attainment of sustainable
There are also sections on financial
financing for operation and maintenance of
management, including the various
rural water facilities.
sources of funding for O&M and the
(iv) To guide planning, financing,
governance & accountability of O&M funds
implementation and monitoring O&M
are described. The last sections cover the
activities.
cross cutting issues impacting O&M, key
(v) To operationalize the water sector
considerations in O&M, monitoring of the
indicators on O&M of rural water facilities.
framework implementation by the various
(vi) To form the basis for capacity
stakeholders and ends with the road map
building & coordination of stakeholders
to operationalizing the framework. The
implementing rural O&M activities.
framework has annexes on generating
O&M cost prices & detailed roll-out of
the framework. The performance &
management contracts & other requisite Situation Analysis and O&M
documents & formats will be contained Challenges
in a number of operational manuals &
guidelines. An estimated 28.4 million (82%) of Uganda’s
population lives in the rural areas and
The Framework was developed based on depends on both point sources and piped
extensive field investigations, consultations water systems, that range from boreholes
with different key stakeholders, and review 44.3% to rain water tanks 0.4%. and piped
of national and international literature. water at 10.9%. The facilities have been
constructed by a number of stakeholders
that have created and use varying O&M
viii
models. Community Based Management CBMS+ is an approach where the District
System (CBMS) is the most common O&M Water Authority through the Water Service
model for rural water supply facilities that Board, formally outsources the O&M
has been implemented since 1986. At its function to an entity which might be a PSO
core is a strong emphasis on community or NGO, NWSC, the UA, or the HPMA with
responsibility and authority over the the requisite training, skills and experience.
development and management of rural The entity is here referred to as the Area
water supplies. Service Provider (ASP) that operates on a
contract management arrangement.
While over the years CBMS has registered
visible success in O&M of rural water
facilities, the current CBMS is faced with Key features of CBMS+
a number of challenges: Its practical
application suffers from prevailing • All users pay for water on a monthly
shortcomings, changes in social dynamics basis or per volume (both households
and financial challenges that range from and institutions).
irregular contributions towards O&M, • Area Service Provider contracted to
varying community contribution in same operate and maintain all the water
geographical areas, misuse of funds, systems in the area defined by the
EXECUTIVE SUMMARY
mistrust between the WSC and the users, Water Supply and sanitation Board.
lack of financial institutions within close • Sub County Water Supply and Sanitation
vicinity to communities for safe custody of Board, District Water Supply Services
O&M funds. It has become apparent that Board5, and Regional Water Supply and
the current rural development agenda Services Boards
necessitates a move beyond CBMS towards • Strengthened back up support
a Professional Management Arrangement mechanisms.
(PMA) for long-term functionality and • District or Regional Water Authorities
financial sustainability for all rural water
systems in Uganda.
Principles of CBMS+
Professional Management 1. Area based/clustering approach:
Approach The ASP takes responsibility of
operating and maintaining all rural
The Professional Management Approach water facilities within the Sub County, a
(PMA) is where sustainable O&M model of cluster of Sub- counties or a District or
water supply infrastructure is guaranteed a cluster of districts.
through formal contract-based 2. Professional Management
performance management arrangements. Structures with timely follow up
The framework aims to improve CBMS by support:
introducing entrepreneurial and public The professional management
private partnership (PPP) arrangements to structures are categorised as: District
water supply facilities in rural areas that Water Authority operating trough
are currently not under the jurisdiction a District or Regional Water supply
of UA & NWSC. The need to improve services Board, the Sub-county water
CBMS is premised on the weaknesses Supply services board, the Water
registered in its implementation over the sanitation Committees. The Area
years. The professionalization of CBMS Service Provider who is the operator
is here referred to as Community Based with employees such as technicians,
Management System Plus (CBMS+). handpump mechaniss and the
ix
caretakers. The Management Contract The Revenue Collection Account shall be
signed between the DWSSB and the operated exclusively by the ASP pursuant to
ASP will have clear Performance the terms of the Management Contract. The
Indicators. Performance indicators for ASP will be required to maintain accurate
all actors and activities will be clearly and systematic accounts and records in
defined in all contracts, and monitored respect of the Services in such form and
at all stages of the O&M framework. detail, enabling clear identification of all
relevant charges and costs incurred and
3. Financial sustainability:
the basis thereof as well as proper and
The ASP will take responsibility for
timely Technical and Financial Audits. Such
collecting the user fees and bank it
accounts shall be audited by independent
on the Revenue Collection Account.
External Auditors.
At the beginning government funding
is crucial for subsidizing the services
and rehabilitate non- functional water
systems and build capacity of the new Cross cutting Issues and key
structures under PMA. Transfers from considerations
DPs, NGOs and private sector will be
required for full operationalization of The framework will ensure integration of
cross cutting issues in all O&M projects
EXECUTIVE SUMMARY
CBMS+.
in order to register good progress
4. Availability of quality spare parts: in sustainability of installed water
The ASP is responsible for ensuring
infrastructure. Within the MWE, the
availability of quality spare. The RWRCs
cross-cutting issues include i) Gender, ii)
carry out due diligence to the proposed
environment and iii) HIV/AIDs. 1v) Good
suppliers to ensure adherence to
Governance.Key considerations relate
to appropriate designs and during the
construction it is important that quality
Stakeholder Responsibilities is secured to prevent early breakdowns
& Coordination of infrastructure. Before rehabilitation, a
full diagnosis needs to be taken to assess
Coordination will be crucial in the the causes of the breakdown, Other key
operationalisation of the National O&M considerations focus on; water supply in
framework, mainly due to the multi refugee settlements and host communities,
stakeholder nature of O&M activities. In Pro-poor issues for the vulnerable and
addition, the varying approaches in O&M adherence to the software steps.
require close coordination and networking
of stakeholders to ensure adherence to
use of the National O&M framework by Road map for implementation
all stakeholders involved in rural water
infrastructure. The roadmap covers the next steps in
operationalizing the framework. It is
comprised of three phases: The transition
Accountability, Transparency between phase one and phase two provides
and Consequences flexibility within the Framework to respond
to lessons learned in the roll-out and adapt
The ministry will ensure that all stakeholders accordingly to ensure that a strategic and
regional and the lower local governments sustainable Framework is implemented for
introduce and operate rigorous financial long-term success. Phases two and three
control and accountability mechanisms. have therefore not been detailed further
RWSRCs will carry out this task in than the high level objectives shown.
x collaboration with other relevant agencies.
INTRODUCTION
1
1 INTRODUCTION
1.1 Background
N
ational Framework For Operation And Maintenance Of Rural Water Infrastructure
In Uganda, is a guidance document to all sector stakeholders involved in rural water
services. This framework builds on the strength of the current Community Based
Management System (CBMS) model which has successfully contributed to achieving
85%1 functionality of rural water supply systems. However, there is need for an improved
and professional approach to O&M given that the natural sector target for O&M is 95%
as the Sustainable Development Goal (SDG); and looking into the future where higher
technology restricts the CBMS model from being a viable approach to O&M. The improved
CBMS is referred to as Community Based Management System Plus (CBMS+). CBMS+ is
improved CBMS where an Area Service Provider (ASP) approach is introduced in the O&M
of rural water supply infrastructure to ensure that water supply services are paid for by
the all users and the infrastructure is operational all the time through routine preventive
maintenance as well as timely repairs of broken down or faulty system parts.
INTRODUCTION
1.2 Purpose and Objectives of the Framework

The purpose of this framework is to provide guidance, strengthen and streamline rural
water O&M at all levels in order to ensure long-term sustainability of the rural water
facilities and to ultimately guarantee safe water supply services to the end user.
The Specific Objectives are:

(i) To harmonize operation and maintenance of water systems outside the jurisdiction
of UA & NWSC under a single structure.
(ii) To form the basis for capacity building of stakeholders implementing rural O&M by
all stakeholders;
(iii) To raise awareness on the need to plan and balance of O&M issues with investments
in new facilities at an early stage;
(iv) To guide planning, financing, implementation and monitoring O&M activities.
(v) To operationalize the water sector indicators on O&M of rural water facilities.
1
Sector Performance Report 2019.
2
1.3 The intended users
The National Framework For Operation And Maintenance Of Rural Water Infrastructure
In Uganda will serve as a guidance document for all stakeholders involved in planning for
and implementation of rural water supply including: Ministries, Departments and Agencies
(MDA), Development Partners (DPs), Non-Government Organisations (NGOs)/ Community
Based Organisations (CBOs), Faith Based Organisations (FBOs), Humanitarian Agencies,
District Local Governments (DLGs) and the Private Sector/Hand Pump Mechanics Association
(HPMA). The framework is to be used concurrently with other sector documents on policy,
strategies and implementation guidelines.
1.4 Structure of the National O&M framework

The framework is structured into 10 Sections: Section 1 provides an introduction, goal
and objectives of the framework, Section 2, covers the situation analysis of the rural O&M,
including current challenges ; Section 3 outlines the legal and policy framework; Section 4
deals with the description of the proposed management arrangements whose principles
are anchored on professionalization of rural O&M; Section 5 looks at the Institutional
arrangements for rural O&M including the roles & responsibilities of the stakeholders in
O&M; Section 6 covers financial management, including the various sources of funding
for O&M and the governance & accountability of O&M funds; Section 7 outlines the cross
cutting issues impacting O&M, Section 8 covers key considerations in O&M, Section 9 covers
INTRODUCTION
monitoring of the framework implementation by the various stakeholders and Section 10
covers the road map to operationalizing the framework.
1.5 Other complementary materials to the National

O&M framework
The National Framework For Operation And Maintenance Of Rural Water Supplies
Infrastructure In Uganda provides the overall guidance in the O&M of the rural water
infrastructure. Details of the day to day operations for the stakeholders as well as requisite
documents and formats are contained in a number of Operational Manuals and guidelines
ranging from; Volume 1- Cost areas for O&M, Volume 2 - Community Engagement, Volume
3 – Operational Manual for ASP and WSSBs (DWSSBs & SCWSSBs) and Volume 4 – O&M
Manual for Solar/Motorised systems.
3
LEGAL, POLICY AND
INSTITUTIONAL FRAMEWORK
4
2
LEGAL, POLICY & INSTITUTIONAL FRAMEWORK

LEGAL, POLICY AND
INSTITUTIONAL FRAMEWORK
O
peration and Maintenance in general and CBMS of rural water facilities in Uganda
is anchored in a number of international conventions mainly the Sustainable
Development Goals (SDGs) 2016 – 2030, GoU laws, policies, strategies and
planning documents and the Uganda Vision 2040 operationalizes the national vision of
“a transformed Ugandan Society from a peasant to a modern and prosperous country
within 30 years”. Vision 2040 singles out water development as one of the opportunities
that can foster socio-economic transformation.Key legal docummnets nclude but not
limmited to the folowing:
The Constitution for the Republic of Uganda (1995) lays down the national objectives, the
overall principles of state policy, and provides the framework for key policies relevant to
WASH such as the decentralisation policy. Clean and safe water as a right is enshrined in
the Constitution as objective 21.
The Water Act, Cap 152(1997) provides for formation of Water User Groups /Associations
who manage their respective water facilities including collecting user fees from persons
using the water supply system for the maintenance of the system.
The Water Policy (1999); provides for the Water Source Committees/water boards to
collect funds for preventive maintenance and repairs.
The Local Government Act (1997); defines roles for different levels of government in
provision and management of water and sanitation. The provision of water and maintenance
of facilities is in the act determined to be a role of District Local Councils in liaison with
the Ministry responsible for national resources. The Act empowers the different levels of
government to plan and implement development interventions according to identified
local priorities, i.e. planning and allocation of resources towards O&M support activities,
and together with extension staff monitoring and follow-up support to established
community structures. The Act also empowers Local Councils to make bye-laws, subject
to certification by the next higher Council or the Attorney General In this context a WUC
may propose a bye-law to be adopted by the Village Council regarding the management
and maintenance of their communal water facility.
The land Act (1998);vests all rights to water resources in the Government. It empowers
the Minister responsible for water to regulate the management and utilization of such
water. The Act allows for reasonable use by the occupier or owner of a piece of land,
of water for domestic and small scale agricultural purposes. The Land Act provides for
a mutual agreement with the occupier or owner of land for execution of public works.
Where agreement is not reached the Minister may compulsorily acquire the land and
pay compensation to any person having an interest in the land for any damage caused to
crops or buildings.
5
The public Health Act (2000); consolidates the laws and regulations on public health. It is
relevant especially during implementation and enforcement of Hygiene and Sanitation

Standards, necessary to attain any desired outcomes from WASH programs and projects.
2.1 Policy Framework
N
ational Water Policy (1999); promotes an integrated approach to managing
water sources sustainanbly to benefit the people of Uganda. It anchors O&M as
an important component in attaining water and sanitation goals. It provides for
capacity building at all levels for equitable and sustainable water supply in line with the
decentralization policy. It provides for women‘s involvement at all stages and ensuring
equal opportunities. It provides for user ownership and management of rural point water
facilities. It stipulates an expected functionality rate of 80-90%, and promotes CBMS. All
point water facilities are required to have WUCs with half the membership being women,
and at least two caretakers. It stipulates the roles and composition of WUCs , Sub-County
Water and Sanitation Committees (SCWSCs), DWO and supports establishment of private
hand pump mechanics and spare parts dealers.
The National Gender Policy (1999) enshrines the affirmative action by GOU in support of
gender equity in the national socio-economic activities and encourages women to play a
major role in decision-making. With respect to water, the policy recognises women and
children as the key stakeholders in water provision and use.
National Development Plan II (2015/16 – 2019/20) is the second in a series of six year
plans aimed at achieving the Uganda Vision 2040. The Goal of the NDP II is to propel the
country towards a middle income status by 2020. The focus of the water and sanitation
sector during NDP II is to increase access to safe water, sanitation and hygiene levels,
functionality of water supply systems, and promotion of catchment based integrated
water resources management.
2.2 Institutional Set-up For MWE
Current institutional Set-up
The Water and Environment Sector consists of three sub sectors: Water Supply and
Sanitation (WSS) and Environment, Natural Resources (ENR), and Climate Change (CC).
The WSS Sub sector, where this framework belongs, comprises of two directorates: Water
Development and Water Resources Management. The Directorate of Water Development
comprises of four departments namely; i) Rural Water Supply and Sanitation Department
(RWSD), ii) Urban Water Supply and Sanitation, iii) Water for Production and iv) Water
Utilities Regulation. The O&M of Rural Water Infrastructure is under the department of
Rural Water Supply and Sanitation, within the Infrastructure, Operation and Maintenance
Division. CBMS+ will be anchored within the existing Institutional arrangements. See
below the functional organogram for the RWSD:
6
Figure 1: Functional Organogram for the RWSD
Commissioner Rural
Water & Sanitation
Asst Commissioner Assistant

Asst Commissioner
Technical Support Commissioner
R & D (1)
Infrastructure O&M
Principal Eng.
Technical Support Principal Eng. R&D Principal Eng. R&D Principal Eng. Principal Water Principal
(6 RWSRCs) Water Supply Sanitation (1) O&M (1) Officer (1) Sociologist
Social
Environment Finance & Senior Senior Senior Senior
Technical Community Senior Data Senior Data Senior Water Senior
& Public Administration Engineer Environment Engineer Engineer O&M
Unit Development Analyst (1) Analyst (1) Officer (1) Sociologist (1)
Health Unit Unit Research (1) Health Officer Sanitation (1)
Unit
. 2 Senior
. 1 Senior . 1 Senior
Engineers . 1 Senior S/CDO
Environment/ Personnel
. 2 Engineers . 2 S/CDO Engineer
Senior Public Officer
1- Electro Mech Planning (1)
Health Officer . 1 Accountant
I Engineer
. 2 Environment/ . 1 Secretary
.1
Public Health . 1 Procurement
Hydrogeologist
Officer Officer
. 1 Surveyor
. 1 Security
. 1 Draftsman
Guard
. 4 Drivers
Trainees Trainees Trainees
7
SITUATION ANALYSIS
8
3 SITUATION ANALYSIS
C
urrently there are mainly three models promoted in carrying out O&M of rural
facilities; i) Community Based Management System (CBMS) for point water sources
and small piped water systems2 outside the currently gazetted areas, ii) Umbrella
Authority for small to medium & Large GFS sized piped water systems in gazetted areas
and iii) National Water Sewerage Corporation (NWSC) model in gazetted rural areas,
LGFS and Rural Growth Centres (CBMS). In addition, the Private Sector (PSOs) and NGO/
CBOs promote a number of approaches ranging from no management system at all, to
organisationally managed O&M, to CBMS. The main technology options used for water
supply improvement in rural areas include Deep boreholes (44.3%), shallow wells (23.4%),
piped water supply systems (10.9%), protected springs (21.0%) and Rain Water Harvesting
Tanks (RWHTs) (0.4%). The facilities have been constructed by a number of stakeholders
SITUATION ANALYSIS
ranging from MDA, DLGs NGOs/CBOs/FBO/PSO and Humanitarian Agencies under
emergency situations. Consequently, these institutions have created and use varying
O&M models.
CBMS is the most common O&M model for rural water supply facilities that has been
implemented since 1986. At its core is a strong emphasis on community responsibility
and authority over the development and management of rural water supplies. While over
the years CBMS has registered visible success in O&M of rural water facilities, the current
rural development agenda necessitates a move beyond CBMS towards a Professional
Management Arrangement (PMA) for long-term functionality and financial sustainability
for all rural water systems in Uganda.
3.1 Definition of CBMS, its anchorage, success and

lessons learnt
The Community Based Management System (CBMS) is the process in which community
members are empowered to take the lead role in decision making right from planning3,
implementation, O&M of rural water facilities. The CBMS model provides for a voluntary
Water and Sanitation Committee (WSC), composed of 3-94 elected members. The WSC
is responsible for the management of the rural water systems in the community. The
caretaker executes day to day O&M activities at the respective water sources. In a particular
sub-county there are trained Hand Pump Mechanics (HPMs) who execute repairs on
demand. In design HPMs are also expected to execute preventive maintenance but in
practice this function is not common due the intermittent payment of user fees.
2
Boreholes (motorised & hand pump), micro irrigation schemes, Gravity Flow Schemes (GFS) – both large &
small, shallow wells, springs, Rain Water Harvesting Tanks (RWHTs).
3
Application for a water source.
4
The WSC is comprised of a Chair person, Secretary and Treasurer, Caretaker, 3 -4 Committee members, LC1
chairperson is an ex-official.
9
3.2 Current Rural Water O&M Challenges
In-spite of the achievements registered over the years in using CBMS, as water systems
increase in technical complexities and changes in social dynamics where rural communities
have shifted to a cash-based society, the CBMS in its current form is faced with a number
of challenges.
3.2.1 CBMS challenges

Shortcomings in O&M management models ranging from management structures that
are weak, lines of responsibility that are at times unclear, declining spirit of volunteerism
which leads to lack of participation, high turnover of the WSC members, inadequate and
uncoordinated messages on O&M from the stakeholders.
i. Financial and social challenges ranging from irregular contributions towards O&M,
varying community contribution in same geographical areas, misuse of funds, lack of
accountability, mistrust between the WSC and the users, lack of financial institutions
within close vicinity to communities for safe custody of O&M funds, political
SITUATION ANALYSIS
interference/intervention etc.
ii. Poor planning for O&M; currently communities collect money after a breakdown of
facilities consequently leading to long down time. Coupled with inability/unwillingness
to pay or charge for O&M by the users has impacted CBMS.
iii. Lack of technical capacity to manage the complex water systems under CBMS
especially the motorized systems such as the electro mechanical components in
technologies in solar systems.
iv. The spare parts supply chain has been limited in reach and the quality of the spare
parts has been poor. Often spare parts are available only in major towns and this has
often led to delays in access and subsequently leads to the long down time of the
non-functioning water facilities.
3.2.2 General O&M challenges

In addition to the challenges faced specifically through implementation of the CBMS
model, there are various general challenges rural O&M faces.
i. Multiple O&M approaches currently implemented by the various stakeholders

involved in rural water supply services creating challenges especially if the approaches
are promoted in the same community.
ii. Overlapping modalities (NWSC/UA/CBMS/PPP/NGO/Refugees): This is mainly caused

by overlap in mandates and roles & responsibilities of the various stakeholders
involved in implementation of rural water supply services.
10
Figure 2: Multiple approaches & overlaps in rural O&M
CBMS Local Government NG)s/CBOs UA NWSC
Point Water Sources Solar Powered Piped Gravity Schemes Grid/Generator

Water System Powered Piped Water
System
WATER USERS
SITUATION ANALYSIS
iii. Within the refugee settlements, there are varying solutions utilised to provide water
ranging from hauling untreated water, shallow wells, and boreholes which are either
manual or motorized through solar energy or diesel pumping. Currently the water is
provided free of charge and the O&M costs are borne by the implementing agency or
subsidized by UNHCR in some cases.
iv. Development challenges ranging from, in some cases, poor quality of design,
construction, or installation supervision of the water infrastructure resulting in
potentially low quality or inferior construction materials or system efficiency
leading to lower quality systems that break down easily and regularly.
v. Water quality and quantity emanating from poor Water Resources management
practices which render some sources unusable. Water quantity is supposed to be
regulated through issuance of abstraction permits, however very few developers have
applied for permits. On the other hand, the water quality monitoring is supposed to
be undertaken by a number of stakeholders ranging from the operator/developer,
DLG, RWSRCs/ WMZ/DWRM but due to limited funding this activity is done irregularly.
vi. Asset management arrangements (UPMIS) do not include the rural water facilities,
thus there is no central inventory for the rural water facilities. The information about
the facilities is scattered in various documents kept by the various sector players
who utilize varying data asset management methodologies thus making it difficult to
bench mark or promote shared learning among the respective stakeholders.
11
vii. Regulation is a critical function in ensuring adherence to sector standards, however
currently there is weak regulation of water supply services in general and none
existent for the rural water supply sub –subsector.
viii. Monitoring is a crucial function to keep track on progress on implementation and

also to guide realistic planning and timely remedial action. Currently the monitoring
function is carried out at MWE, Regional/TSU and districts. It is inadequately funded.
MIS does not at present fulfil the role of streamlining, collecting and organizing social
and technical data at all levels for meaningful use.
ix. The current lack of a single operation and maintenance framework results in a
confusing array of management systems including no management or maintenance
at all, leading to lack of operational efficiency or functionality.
x. Gender issues are incorporated in all the relevant sector documents including the
Sector Measurement Framework with clear indicators to monitor and report progress.
However, the effectiveness of women involvement in management has been minimal
due to underlying issues such as household chores, cultural norms and dynamics.
SITUATION ANALYSIS
As a result of these challenges, it has become apparent that the CBMS O&M model is ill-
suited for more complex systems, does not provide for long-term sustainability due to the
lack of a financial model, and needs to be restructured for reliability and functionality into
a Professional Management Approach (PMA). This is the basis for the new Rural Operation
and Maintenance Framework outlined in this document.
12
PROFESSIONAL
MANAGEMENT APPROACH
13
4 PROFESSIONAL MANAGEMENT
APPROACH
PROFESSIONAL MANAGEMENT APPROACH
T
he Professional Management Approach (PMA) is where sustainable O&M model
of water supply infrastructure is guaranteed through formal contract-based
performance management arrangements. Currently there are two types of PMAs
promoted in the water sector; NWSC for large, small towns & RGCs and UA is for mainly
small towns and RGCs.
This National O&M framework for Rural water supply infrastructure aims to improve CBMS
by introducing a PMA to water supply facilities not under the managemnet of UA & NWSC
non-gazetted rural areas. The need to improve CBMS is premised on the weaknesses
registered in its implementation over the years. The professionalization of CBMS is here
referred to as Community Based Management System Plus (CBMS+).
4.1 Community Based Management System Plus (CBMS+)
4.1.1 Description
CBMS+ is an approach where by a community formally outsources the O&M function to
an entity which might be a PSO or NGO, NWSC, the UA, or the HPMA with the requisite
training, skills and experience. The entity is here referred to as the Area Service Provider
(ASP) that operates on a contract management arrangement.
4.1.2 Key features of CBMS+

CBMS+ is characterized by the following features:
• All users pay for water on a monthly basis or per volume (both households and
institutions).
• Area Service Provider contracted to Operate and Maintain all the protected water
facilities in areas which are not under the jurisdiction of other water authorities.
• Sub County Water Supply and Sanitation Board and District Water Supply and
Sanitation Board5.
• Strengthened back up support mechanisms.
• District & Regional Water Authorities.
5
Co-opt some members of the existing and complimentary committees or strengthen existing Water Boards.
14
4.1.3 Principles of CBMS+
The Principles of the Rural O&M Framework are intended to respond directly to the
weaknesses identified in the existing CBMS model:

1. Area based approach.
2. Professional Management Structures with timely follow up support.
3. Financial sustainability.
4. Availability of quality spare parts.
Figure 3: The four principles of CBMS+
Professional
Management
Area Based
Approach with
Approach timely follow-up
up support
CBMS+
Financial Availability of
Sustainability Quality Spare
Parts and Tools
4.1.3.1 Area Based Approach

An area-based approach means operating and maintaining all rural water facilities within
the Sub County, a cluster of Sub- counties or a District or a cluster of districts. The ASP
will take responsibility for operating and maintaining all water systems including all point
sources within in the area.
4.1.3.2 Professional Management Structures with timely

follow up support
The professional management structures can be categorized into two parts, the
Community Management structures and the ASP. The Community management structure
is comprised of three levels; i) WSC, ii) SCWSSB, and iii) DWSSB. The ASP is comprised of
the i) Caretaker/Scheme Operator, ii) HPM/Technician and iii) ASP/Contract holder. These
structures are established to ensure timely follow up & regulatory support, increased
functionality and water reliability to all users for both point and piped water supply at all
times. There will be clear monitoring mechanisms involving all actors. The Management
Contract signed between the DWSSB and the ASP will have clear Performance Indicators.
15
Figure 4: The CBMS+ structure
MWE- DIRECTORATE OF WATER DEVELOPMENT

Water For Water Utility Development
Rural W&S Urban W&S Production Regulation Parners
NGOs
Support &
Supervision
Performance
Public Utilities
Contract RURAL WATER SUPPLY
Umbrella NWSC REGIONAL CENTRE
Authority
Drilling & Support to
O&M Rehabilitation Districts
Supervision
Support &
Handover of Schemes in
Refugee Settlements
Support &
Supervision
LOCAL GOVERNMENT AS A WATER AUTHORITY

AREA SERVICE PROVIDER
Board Laison District Water District O&M (ASP)
Office Supply Board Forum
Company NGO HPMA
Management
Local Contract
Government LG Represented at the Boards Represented
Monitoring & Information Technician/

Sub County Sub County HPM
Water Board O&M Forum
Scheme
Operator
Represented
NGOs/ CBOs Monitoring & Information

Support & Information Caretaker
Water & Sanitation
Committee
Represented
Water Users
Information & Service
4. 1.3.3 Financial sustainability

Access to water is a human right as stipulated in the Constitution of Uganda (1995). Water
is also an economic and social good, and to operate and maintain the service require
finances. Under the PMA all water users6 (households, institutions & businesses) will
be required to pay for the service of water in addition to the Community Contribution to
Capital Costs (CCCC) which is contributed at the time of construction or rehabilitation. The
GSPublisherEngine 0.16.100.100
operations and capital maintenance expenses to be covered by the users should consider
affordability with appropriate use of tariff structures. The ASP will take responsibility for
collecting the user fees and bank it on the Revenue Collection Account.
16
4.1.3.4 Availability of quality Spare parts
Quality spare parts are a prerequisite for O&M and to ensure functionality of facilities.
The ASP is responsible for ensuring availability of quality spare parts therefore it is

important that the spare parts are procured from certified Uganda National Bureau of
Standards (UNBS) suppliers. The ASP is encouraged to enter into a MoU with reliable
suppliers or through establishing a framework contract with a private supplier to
continuously replenish the spare parts.
The RWSRCs will carry out due diligence to the proposed suppliers to ensure adherence
to sector standards.
Figure 5: Staffing Structure for Area Service Provider
Service Area Manager

(Minimum qualification: Advanced diploma
in an Engineering field)
Head Finance & Administration

(Minimum qualification: diploma in
accounts, business administration)
Head Technical Services Commercial/Social development

(Minimum qualification: (Minimum qualification: Diploma
Ordinary Diploma in in Social/Community Development/
Engineering field) Marketing)
Scheme Operator:
Hand Pump Mechanic
Caretaker
17
4.2 Back up support
4.2.1 Description of back up support

Back up support refers to the process where a government or development partner/NGO

supports the stakeholders to reinforce practices, capacity development and adherence to
sector standards. It also includes helping the management structures/committees to fulfil
their respective roles and responsibilities for O&M.
4.2.2 Levels of back up support

Back up support is key in the sustainability of the water facilities. This support will be
provided at all levels by, MWE, RWSRCs, DLGs and Sub-county levels.
At national level MWE/IOM will ensure that the O&M function is adequately resourced
and the necessary policies/strategies are developed and disseminated. In addition, they
are responsible for monitoring performance of the implementation modalities. It will
carry out coordination of national level sector players.
At the regional level, RWSRCs will play a pivotal role in the back up support. A specialized
person will be appointed to be in charge of O&M activities at that level. She/he will be
complemented by the relevant RWSRCs staff. RWSRCs will continue to boost its capacity
to handle O&M issues and this will enable them to carry out tasks ranging from;
i. Building capacity of stakeholders in O&M.

ii. Monitoring.
iii. Technical guidance.
iv. Coordinate asset assessments in DLGs for CAPMANEX for piped and point water
sources
v. Institutional strengthening.
vi. Ensure transparency and accountability mechanisms are established and enforced
by all stakeholders, etc.
vii. Ensure to adherence of standards, policies and guidelines.
viii. Advocacy
ix. Strengthening governance for O&M systems and structures.
Details on the roles and responsibilities of the various stakeholders in O&M see Section 5.
18
KEY STAKEHOLDERS,
ROLES AND RESPONSIBILITIES
19
KEY STAKEHOLDERS, ROLES & RESPONSIBILITIES
5 KEY STAKEHOLDERS, ROLES AND

RESPONSIBILITIES
The proposed roles and responsibilities of the various stakeholders in O&M are explained
in details below;
Table 2: O&M stakeholders and their roles & responsibilities

Entity Stakeholders Roles and responsibilities
MWE/RWSD Minister, Permanent • Policy and strategy on O&M

Secretary, Director development.
Assistant Commissioner • Strategic planning for O&M issues
IOM, Principal • Mobilization of resources for O&M.
Sociologist, • Capacity building of stakeholders.
Principal Engineers, • Carry out Technical assistance in O&M.
Senior Sociologists, • Coordination and collaboration
Senior Engineers O&M with different actors (Development
expert partners, NGOs and private sector)
• Spearhead Research and
Development of O&M issues,
• Spearhead development of the spare
parts supply chain policy,
• Develop a functional O&M
Management Information System
(MIS) including as asset registry,
• Technical back stopping to RWSRCs,
• Support access to technicians and
other specialized support that is
required
• Continued awareness creation of
national level stakeholders for O&M
i.e. DPs, Private sector, NGOs, the
Academia/Researchers,
• Ensure that transparency and
accountability are embedded within
the established management
structures,
• Put in place an asset analysis and
management policy,
• Approve the members of the District
& Regional level water boards
• Approve the tariff structures
• Document experiences in the use of
national O&M framework to inform
updating the next version of the
National framework.
20
Regional Water Principal Engineer • Carry out continuous engagement of

Supply Centres (Team Leader) regional and DLG stakeholders,
(formerly TSUs) All technical staff (as • Provide the capacity building necessary
indicated in the for DLG stakeholders in O&M & to
Organogram). One of regional/district level stakeholders,
the senior technical • Conduct asset analysis,
staff members will • Carry out assessment of O&M costs for
be given a full time the rural WSS facilities in the respective
assignment as the DLGs enforce compliance of O&M
O&M specialist. guidelines,
• Support DLG in planning, budgeting and
reporting on O&M,
• Monitoring and supervision of rural
WASH facilities,
• Carry out coordination of regional and
district level stakeholders,
• Support the development of Ordinances
and By-laws at the District and S/County
respectively,
• Carry out Monitoring and Evaluation of
O&M,
• Disseminate of policies, strategies and
research and new technologies
• Organise Regional Rural Water
Coordination Committee meetings,
• Review of O&M management structures
and financial processes for viability,
• Technical back stopping,
• Water quality surveillance and
monitoring, & Quality assurance.
• Participate in evaluation of bids for
procurement of ASPs
• O&M of equipment at regional centres.
DLG District Council & • Nominate names of the members to the

DEC DWSSB
CAO, DWO, ADWOs, • Mobilise resources for the activities of
Environment Officer, the DWSSB & ASP
DEO, Technicians • Formulate ordinances & policies
(BMT). • The DLG, under the department of
water and sanitation, is responsible for
planning and budgeting for O&M.
• Provide capacity building to lower
local government staff (at SC Level) in
planning and O&M of WASH activities.
• Provide GoU procurement services to
DWSSB for ASP procurement.
21
• Continued sensitization and mobilization

of S/Cs and communities for O&M.
• Train, guide and monitor HPMAs/ HPMs.
• Technical support to SCs and the
established structures for O&M
namely; HPMs, Water Technicians, SO,
and the SCWSSB, WSC, etc.
• Resource allocation for O&M.
• Monitoring and regulation of all water
and sanitation activities in the district.
• Support and regulation to the O&M
management structures.
• Water quality surveillance and
monitoring.
• Enacting and enforcement of
ordinances & other relevant laws.
District Water District WSSB is between • Procures an Area Service Provider

Supply services 5-7 members comprised (ASP) to carry out O&M for all
Board (DWSSB) of the following: • the Water sources using the GoU
2 – 3 nominated members procurement guidelines.
from SCWSSBs. • Contract the ASP on a performance-
1 – nominated by CAO based contract.
from district staff • Approves workplans and reports
1 - Representative of the submitted by the ASP
director of DWD. • Monitor and oversee activities of the
1 - Representative of ASP.
Institutions (schools, • Recruit the Liaison Office.
health facilities, prisons or • Convene and hold annual review
businesses) meetings (forum)
1 NGO and I MP & RDC • Appoint external auditors.
will be ex officials to the • Review and approve or comment upon
DWSSB. all reports submitted by the ASP
NB: The members of the • Submitting reports to the district
DWSSB nominated by the Local council and to District water &
council and approved sanitation forum
District Council and
approved by the Director
DWD.
NB: The Chair Person and
Secretary shall be elected
from within the DWSSB or
RWSSB by themselves.
The NGO ex official will
be nominated by the
DWSCC & the MP will be
nominated by the DEC.
22
Board Liaison Officer • Liaison between DLG, DWSSB, S/C and

Coordination SCWSSBs.
Office NB: The Liaison Officer • Provide technical oversight/support to the
is employed by the DWSSB and SCWSSBs.
DWSSB, is a graduate, • Ensure constant communication and
a minimum of 5 years feedback/information among the
of experience in WASH, stakeholders.
knowledgeable in • Coordination and communication on the
Local Government activities of the WSSB.
operations, possessing • Organise and convene annual performance
coordination, review meetings.
management and • Compile monthly reports.
people skills.
Area Service Local expert entities • Collect user fees and bank it on the
Provider (ASP) that manage rural water Collection Account.
systems professionally • Hire staff to operate and manage water
under a performance facilities.
contract with the • Carry out preventive maintenance and repairs.
DWSSB or RWSSBs. • Use control and safe guard system
installations.
Trained and sufficiently • Ensure adherence to the performance
experienced Local Firms indicators6 as set out in the management
(PSOs), NGOs, or HPMA. contract & the performance contract.
• Maintain technical records.
• Responsible for submitting periodic reports
as stated in the contract
• Maintain accurate and systematic accounts
and records in respect of the Services in such
form and detail enabling clear identification
of all relevant charges and costs incurred
and the basis thereof as well as proper
and timely Technical and Financial Audits.
Such accounts shall be audited by External
Auditors.
• Pay for Technical and Financial Audits
from Project Funds as long as the Project
is effective. After such date, Technical and
Financial Audits shall be payable from the
Revenue Collection Account.
• Financial facilitation of the activities of the
board.
6
i) Technical functionality and reliability of the facilities (system repair downtime no greater than 24 hours).
ii) Compliance to water quality standard.
iii) Collection efficiency (progress from 70% in year 1, 80% year 2 and 90% year 3).
iv) Cost of water to the end user (for both individual household and institutions).
23
Technician HPMs/motorized • To carry out curative maintenance

scheme Technicians. and repairs of the water systems.
• Liaises, coordinates and collaborates
Employed or contracted with stakeholders of the regulation
by the ASP. system.
• Reports to the ASP.
NGO/CBO NGOs/CBOs operating • Operation and Maintenance through

in the area. contracts with SCWSSB/DWSSB.
• Advocacy
• Capacity building
• Resource mobilization
Sub-county Local The SAS/S/C chief and • Plan for and pass necessary budgets
Government extension staff have a for WASH activities.
mandate to monitor • Sensitization and training to the water
WASH activities. users/WSCs/ SWSSBs.
• Monitoring/Follow up for WASH
services provided at community level.
• Approve local bye-laws of each water
source when they are submitted.
• Technical back stopping to
established management structure.
• Continued sensitisation and
mobilization of communities.
NB: The Sub-County Chief’s/SAS’s annual

performance contract should have
functionality as one of the parameters for
assessment to ensure adequate follow up.
Sub-county Water The SCWSSB which is a • Monitor and oversee activities of the
and Sanitation representation of the ASP and ASP staff i.e. HPMs/SO.
Board (SWSSBs) WSCs, is comprised of • Coordinate with the Liaison Officer.
5 members, elected by • Attend quarterly review meetings/
the users (represented forum.
by WSCs) and vetted by • Disburses allowances for the
S/C council: respective WSCs (on a quarterly basis)
• Oversees all Water and Sanitation
1 - Representative of Committees (WSCs).
Institutions • Provide for security of the assets,
1 - Representative of S/C • Facilitate conflict resolution &
1 - Secretary for Works management and resolve issues
2 - Representatives of which are not resolved at WSC levels.
Community.
24
Water User Community Institution • Pay for water for water services.
etc. • Protect the infrastructure.
• Take active part in community
meetings.
• Observe and monitor the proper
functioning of the water point and
report to caretaker and/or WSC
member(s).
• Discuss and approve the local
bye-laws proposed by the WSC in
community meetings.
WSC A 3 person Water and • Mobilise the users to pay for the
Sanitation committee monthly user fees/ unit of water.
(WSC) comprised of: • Mobilise for hygiene and sanitation.
Chairperson, Secretary,
Treasurer
Caretaker/ An employee or • Carry out the functions of the ASP

Scheme Operator contractor of the ASP including collecting the user fees.
• Keeping the water source clean,
maintain the fence & security of the
facility.
• Carry out preventative maintenance.
5.1 Coordination, Collaboration and Networking

for O&M
Coordination will be crucial in the operationalisation of the National O&M framework,
mainly due to the multi stakeholder nature of O&M activities. In addition, the varying
approaches in O&M require close coordination and networking of stakeholders to ensure
adherence to use of the National O&M framework by all stakeholders involved in rural
water infrastructure.
The MWE is responsible for coordinating national level agencies, the RWSRCs responsible
for regional and DLGs stakeholders and the DLGs responsible for their respective district
and sub-county levels stakeholders. Funding to facilitate coordination activities is critical
in ensuring timely and effectiveness of coordination activities.
25
At the National level:
i. Re- establish and strengthen the functionality thematic working group and ensure that
it is reinvigorated.
ii. An annual consultative meeting on O&M with the implementing agencies/DPs, NGOs
to share lessons, bench mark and share strategic direction on O&M issues.
iii. National learning forums which used to be funded by NGOs but now will be hosted by
MWE/RWSD.
iv. The UWASNET NGOs O&M working group which brings together NGOs to discuss O&M
issues.
v. Participate and ensure that the annual Joint Sector Reviews/Joint Technical Reviews
fora incorporate O&M strategic issues,
vi. The annual Water officers’ meeting: O&M will form part of the agenda items.
At the regional level the RWSRCs will carry out the following;
i. Hold Regional Rural Water Coordination Committee which will take-place bi- annually
to review progress, coordination and guidance.
ii. Facilitate learning forums to share experiences as well as receiving feedback on O&M
activities.
Option of Management of Water Infrastructure by Regional Water Boards
Article 178 of The Constitution provides that 2 or more districts may cooperate to form
a regional government which shall be a cooperate body (with powers to sue or be sued)
having political, legislative, executive, administrative and cultural functions in the region.
The article guides that with a) approval of majority of two-thirds of members of the district
council and, b) at least two-thirds of the sub-counties in the district having ratified the
decision of the council, a district can enter into agreement with other districts to form a
regional government. Among others, such a government would;
i. Develop and manage regional infrastructure for instance roads and hospitals but not
those managed by national institutions.
ii. Coordinate, monitor and supervise activities related to agriculture, forests (but not in
national parks and wildlife reserves managed by government), cultural and traditional
lands.
iii. Promote water and sanitation.
iv. Perform functions and services surrendered voluntarily by district councils, however
such government can impose tax only with approval of central government.
At the District Local Governments:

O&M should become an agenda item in the fora for water boards at different levels.
26
FINANCING O&M COSTS
27
6 FINANCING O&M COSTS
6.1 Sources of funding for O&M
U
nding for O&M is usually through tariffs, taxes and transfers (3Ts), At the start
government funding will be crucial for subsidizing the services, rehabilitating non-
functional water systems and build capacity of the new management structures
under PMA. Transfers from DPs, NGOs and private sector are required to contribute
towards full operationalization of CBMS+ .
FINANCING O&M COSTS
6.1.1 Water user fees

Fees from user charges will form the base for the cash flows. The main source of funding
will therefore be generated through the collection of user fees and CCCC for new water
sources and rehabilitation collected from the respective communities. The ASP will collect
water user fees. The CCCC will be collected by the WSC & deposited on the Collection
account to cover O&M shortfalls as required and will be supplemented with government
subsidies and NGOs/DPs.
The ASP will be remunerated for O&M services based on the proposal made at the
contracting stage and performance based on agreed Key Performance Indicators (KPIs).
The payments will be drawn from the Collection Account and the subsidies provided
therein.
The Liaison Officer is a paid position, paid out of the Collection Account.
6.1.2 Government mainstream funding

National level: Provide subsidy to top up O&M costs. The funding from MWE for subsidies
will be channelled through the respective RWSRCs and based on the assessment and
negotiated process will remit the subsidy to the respective DWSSBs on a need basis.
DLGs: District receives funding from MFPED as DWSCG and of the total, 15% is set aside
for O&M mainly rehabilitation or buying spare parts. All districts get District Discretionary
Equalisation Grant (DDEG) and part of it could be spent on O&M (only through lobbying).
28
6.1.3 NGOs/CBOs
These will support O&M either directly or acting as ASP or provide funding to the respective
DWSSBs accounts who in turn disburse it to the ASP who in turn use the funds for O&M.
Documentation and dissemination of guidelines. Capacity building of stakeholders etc.
6.2 Seed funding

Seed funding will be required to establish the DWSSBs and SCWSSBs. Once seed funding,
valued as 6 months estimated operating expenses plus necessary equipment will need to
be established, DWSSB and SCWSSB will shift into full operational mode where revenue
covers expenses.
6.3 Equipment and tools
FINANCING O&M COSTS

HPMA and ASP will be expected to provide their own equipment and tools. However,
mobility will be key to the success of the DWSSB and SCWSSB. Seed funding for
establishment should include items such as necessary office and mobility equipment.
NB:
• The SCWSSB should be housed within the Sub-County offices.
• The DWSSB should be housed within the District offices.
6.4 Accountability, Transparency and Consequences

The RWSRCs will ensure that all stakeholders regional and the lower local governments
introduce and operate rigorous financial control and accountability mechanisms. RWSRCs
will carry out this task in collaboration with other relevant agencies. The operations will
follow the Public Finance and Management Act.
The DWSSB will grant the ASP for the Management Contract Period the care and control of
the Revenue Collection Account, which shall be operated exclusively by the ASP pursuant
to the terms of the Management Contract.
The ASP will be required to maintain accurate and systematic accounts and records in
respect of the Services in such form and detail, enabling clear identification of all relevant
charges and costs incurred and the basis thereof as well as proper and timely Technical
and Financial Audits. Such accounts shall be audited by independent External Auditors.
Pay for Technical and Financial Audits from Project Funds as long as the Project is effective.
After such date, Technical and Financial Audits shall be payable from the Revenue
Collection Account.
29
CROSS-CUTTING ISSUES
30
7 CROSS-CUTTING ISSUES
C
ross cutting issues have the potential to enhance or impede service delivery if not
taken into consideration in the planning, implementation as well as O&M phase.
Thus, the National O&M framework for rural water infrastructure will ensure
their integration in order to register good progress in sustainability of installed water
infrastructure. Within the MWE, the cross-cutting issues include i) Gender, ii) environment
and iii) HIV/AIDs.
Gender:
Within the water sector, gender equality and women empowerment are considered both
a human right and a pre-condition for sustainability of the WASH interventions. Gender
refers to the percentage of women on the WSC. The Gender performance indicator is
the % of Water user committee with at least one woman holding a key position. They key
positions include the Chairperson, Treasurer and Secretary. To this end, a performance
indicator on gender mainstreaming is part of the Sector Measurement Framework (SMF)
and thus reported upon annually. SPR 2019 indicates that 85% of all the WSCs have
women holding key positions. However, it has stagnated at 85% for 3 years. It is expected
that at least 1 woman will hold one of the three positions on the WSC, 2 for the DWSSBs
and SCWSSBs.
Environment:
In Uganda has experienced poor environment and natural resources management and
yet water supply facilities depend on the natural resources to ensure adequate water
quality and quantity for all users. Thus, environment mainstreaming is meant to ensure
that the water catchments are protected and safe guarded from pollution as well as ensure
water availability throughout. Operationalization of environment protection is through
implementation of Water Source protection at the source level and catchment planning
and management at a bigger scale. The National O&M framework will work in tandem
with other sector strategies such as the Water Source Protection and the Catchment
Management guidelines of 2013.
HIV/AIDS:
The Uganda National Development Plan 11(2015-2020) recognizes HIV/AIDS as a cross-
cutting issue in Uganda’s development process. The fight against HIV/AIDS requires a multi-
sectoral approach and has to be part of each Sector’s efforts in poverty eradication and
development. Mitigations measures against HIV/AIDS are among the basic interventions
designed for the achievement of the Uganda vision 2040.
31
Activities of O&M expose MWE staff, DLG staff and communities to the risk of HIV
transmission. It is therefore, important that HIV/AIDS prevention and impact mitigation
strategies are mainstreamed in the sector activities to reduce the vulnerabilities of the
actors at all level. HIV/AIDS mainstreaming activities in the water sector includes capacity
building of stakeholders at the national, regional, DLGs and S/Cs in mainstreaming,
inclusion of HIV/AIDS mainstreaming in the Bills of Quantities (BoQs) for construction of
works and this should include water facility rehabilitation activities. In addition, appropriate
partnerships are developed to facilitate awareness creation/sensitization, voluntary HIV/
AIDS testing, counselling and treatment.
The RWSRCs will monitor and guide stakeholders at regional level to plan and allocate
budget for the implementation of the cross-cutting issues. They will also spearhead
capacity building of stakeholders in situations where the capacity is inadequate.
32
KEY CONSIDERATIONS
33
8 KEY CONSIDERATIONS
8.1 Technical Quality
8.1.1 Existing systems
O
&M of water supply infrastructure will be easier and cheaper if the water supply
infrastructure is planned, designed and built based on O&M aspects and needs
ahead. In design, it is important to ensure that future O&M costs will be met by the
users, as subsidies for O&M are increasingly difficult to secure for the long-term. During
the construction it is important that quality is secured to prevent early breakdowns of
infrastructure. Facilities and services such as bulk meters, maintenance schedules,
KEY CONSIDERATIONS
provision of O&M kits, training of technicians, establishing supply chains and linkages,
which enhance O&M need to be incorporated and should be well documented and
included in project hand over reports.
8.1.2 Design, Installation of new systems

Currently there is no integrated approach to address O&M issues, the focus of programmes
and projects is on new water sources instead and including O&M. Thus there is need for
planning and budgeting for inclusion of O&M in new systems, system extensions and
rehabilitation of existing systems.
8.1.3 Rehabilitation
Government with support from Development Partners (DPs) subsidises the costs of
rehabilitation water supply facilities. Before rehabilitation, a full diagnosis needs to be
taken to assess the causes of the breakdown this will be done by DLGs and the RWSRCs
will verify the reports before the rehabilitation. Funds towards rehabilitation are budgeted
for under the DWSCG and the RWSRCs.
8.1.4 Refugee settlements

Currently the WASH players in Refugee settlements are promoting varying approaches in
both construction as well as O&M of the facilities. In most settlements, the users are not
contributing costs to O&M. For sustainability purposes the policy direction by MWE and
stakeholders namely OPM, UNHCR and the implementing partners, is that the refugees
need to start contributing towards O&M of the water.
34
For schemes which are gazetted, the MWE will provide more clarity and guidance around
the allocation of schemes between NWSC and the UAs, considering the cost implications
to refugee settlements under the management by either institution.
For the non-gazetted refugee settlements and within the refugee host communities,
it is envisioned that O&M management will mirror this framework. In the short-term
consideration for cross subsidisation of the water provision. This can be done through
issuing/ adoption of a “water voucher” system in order to avoid distortion in the payment
system. The vouchers could be paid/subsidised by the UNHCR or its partners. In order to
ensure buy-in of partners to subsidize the refugees, a mechanism of quantification of the
impact of their support will be developed.
Special consideration will be given to the economic position of the refugee population and
particularly the most vulnerable instituting protection and subsidisation measures put in
place by the partners protecting these populations.
KEY CONSIDERATIONS
35
36
KEY CONSIDERATIONS
Figure 6: Management of water facilities in refugee settlements
MWE/DWD
Urban W&S Rural W&S Water Utility

Regulator
performance Contract
SUPPORTIVE ROLE
for non-gazzetted Piped water schemes
UMBRELLA AUTHORITY
Executive
Secretariat Committee AGM
Umbrella acting as Water Authority for gazzetted schemes
Local Water Supply

Government as MANAGEMENT ROLE
and Sanitation collects
Facilitates Are represented
Water Authority Board Contracts &
revenue &
supervises
Supports
Collects
Contracts Revenue Scheme Monitors Local W&S Local
Operator Committee Government
ASP
Direct Pay
for service Provides Pay for
Scheme Operator/ to Umberella service service
Caretaker
Are represented
Users
GSPublisherEngine 0.15.100.100
8.1.5 Pro – poor issues for the vulnerable
There may be a consideration by the WSC to subsidize the user fees for the proven
vulnerable households. Vulnerable households include the poor, child headed households,
the sick, the frail. This can be done through issuing/adoption of a “water voucher” system
to guarantee access to a minimum of 20 litres per person per day for the vulnerable
members of the community.
8.2 Software steps

MWE developed a document entitled Steps in Implementation of Water and Sanitation
Software Activities (2012), referred to as the Software Steps to guide District and Lower
local Governments in general planning and advocacy, pre-construction mobilisation and
training, construction and post-construction support of communities. It is essential that
the software steps be carried out with communities at each water source constructed.
Software is an umbrella term used to cover the activities of awareness creation, community
KEY CONSIDERATIONS
sensitization, mobilization and post construction follow up with respect to water supply
and sanitation. These activities are undertaken to change behaviour and attitudes towards
effective community management of water facilities as well as improved hygiene and
sanitation around the water source and in the respective homes. As the planning stage
these issues are emphasized and code named the 6 Critical requirements which every
user community has to fulfil before a new facility is provided.
37
Summary of 6 Critical Requirements
1. Signed Memoranda of Understanding (MoU), which specify roles and

responsibilities of the signatories. MoUs are required between:
a. GoU and Districts.
b. Districts and Sub-Counties.
c. Communities, Sub-Counties and Districts.
2. Meaningful involvement of women.

Before any construction goes ahead, community mobilisation should have
achieved the following requirements:
a. The composition of Water User Committees (WUCs)/Water and Sanitation
Committees (WSCs) shall include at least 50% women.
b. Women should take up key positions in the WUC/WSC (i.e. chair, secretary,
treasurer).
c. Half of the water point attendants and handpump mechanics shall be women;
d. Training shall target women and their male colleagues.
e. The entire community shall be involved in discussing the siting of water
KEY CONSIDERATIONS
sources with men and women initially consulted separately.

f. All communications to communities shall be to both men and women.
3. Hygiene Promotion and Sanitation.

a. All households of community leaders shall have latrines that are safe, clean
and used.
b. Latrine coverage should increase by 30% during the mobilisation phase.
c. A plan should exist of how the community intends to increase latrine coverage
to 95% in four years.
d. There should be evidence that Districts and Sub-Counties are putting health
and sanitation ordinances in place where applicable, and enforcing them.
4. Community Contributions.
A minimum community contribution towards the construction cost is required in
cash.
5. Settlement of Land and Ownership Conflicts.

Communities shall be required to satisfactorily prove (e.g. with written agreements,
land titles) that all potential and foreseeable land access and ownership issues
have been resolved beforehand.
6. Operation and Maintenance Plan.

There must be a 3-year realistic8 and viable plan to ensure continuous and reliable
operation of the completed facilities. The community ‘O&M Plan’ shall be prepared
by the community. The process is to be facilitated by District and Sub-County
officials.
8
The OP5 states that the O&M plan should be for 8-years. However, this was revised in 2006 in light of lessons
learned from District local Governments.
38
MONITORING AND
EVALUATION MECHANISMS
39
9
MONITORING AND EVALUATION MECHANISMS
MONITORING AND EVALUATION

MECHANISMS
M
onitoring of the O&M framework is a critical function because it informs the
updating and taking corrective measures during the implementation. Monitoring
will be carried out at all levels – national/MWE, RWSRCs, DLGs, S/C and community
levels through the respective structures.
Performance indicators for all actors and activities will be clearly defined in all contracts,
and monitored at all stages of the O&M framework.
National level
MWE will monitor the Objectives of the framework: The IOM division is the lead in carrying
out monitoring at national level. It will bi-annually monitor and track progress at the
RWSGCs/TSUs level to determine the extent to which the specific framework objectives
are being implemented.
The national level will also monitor the extent to which the guidelines are utilized by
the various stakeholders. They will also monitor the extent to which the O&M policies
and strategies are facilitating effective and efficient implementation of O&M by the
stakeholders.
Regional level
The regional level will monitor the following:
1. The establishment and functioning of the CBMS+ approach.
2. Compliance of districts and other stakeholders O&M activities to the national O&M
framework.
3. How O&M activities are budgeted for in the annual planning/work-plan development.
4. Establishment of Asset management in districts. (Asset management involves having
an asset registry, analysing their status and utilizing the output to plan for maintenance
and carryout maintenance of the assets).
5. Adherence to DWSCG guidelines regarding O&M of rural facilities.
6. Process of data collection feeding in to Sector performance indicators on functionality
and Management.
7. Adherence to water supply Sector Standards (water quality, water quantity, specs for
spare parts etc).
40
District
MONITORING AND EVALUATION MECHANISMS

The district will organise and host quarterly District forums as one of the mechanisms
which will bring together the stakeholders for, monitoring, experience sharing and shared
learning;
The District level monitoring will focus on the following:

1. Functioning of the DWSSB and SCWSSB.
2. Monthly collection account reconciliation.
3. Lower local governments to ascertain functionality of water facilities.
4. Financial management of the SCWSSB.
5. Adherence of the SCWSSB to performance contract.
6. Compliance of the ASP activities to the management contract.
7. The functioning of the WSC.
SCWSSB
The Sub-county will organise and host quarterly forums which will bring together all the
WSCs for experience sharing, shared learning. During this forum the WSCs will report
progress from their respective sources, receive their allowances in order to link the reports
to work at the community level.
The SCWSSB will monitor the following:

1. Review and reflect on their functioning
2. Functioning of the WSCs
3. The remittance of the funds by the WSCs.
4. The performance of the ASP & adherence of the ASP to management contract
5. Adherence of the caretakers to their roles
6. The functioning of the water facilities
The sub county

The sub county will monitor the following:
1. The functioning of the SCWSSB
2. Functioning of the ASP
3. The functioning of the WSCs
4. The remittance of the funds by SCWSSB to the SCWSSB.
Evaluation
1. The Mid Term Evaluation will be carried out after 3 years, to coincide with the end of
the performance contract and the management contracts for the DWSSB and the ASP
respectively.
2. The Evaluation of the framework will take-place after 2030.
41
ROADMAP
42
10 ROADMAP
The roadmap covers the next steps in operationalizing the framework. It is comprised of
three phases:
ROADMAP
Phase One rolls out the Framework Nationally with the collaboration of all stakeholders
as follows. A detailed spreadsheet of expected roles and responsibilities of each of the key
stakeholders in the roll-out of the Framework is attached as Annex 10.5.
43
Jan - June 2020 April - Sept 2020
IOM
• Preparation of the Operation Manual and
Supporting Manuals.
• Resource Mobilization
• Collaboration internally and with stakeholders.
• Support Capacity development of the RWSRCs
Disseminate and WSSBs
Framework at all RWSRCs

• Coordinate with NGOs, DLGs, SCs and
Levels •
Communities in formation of WSCs and WSSBs.
Support Management, Government and Fiscal
Training of all WSSBs
NGOs
• Coordinate with RWSRCs, DLGs, SCs and
Communities in formation of WSCs and WSSBs
• Support Management, Government and Fiscal
2021 June - Dec 2020

IOM IOM
• Resource Mobilization (ongoing).
• Resource Mobilization (ongoing).
• Collaboration internally and with stakeholders
• Collaboration internally and with stakeholders
(ongoing).
(ongoing).
• Monitoring and Evaluation of Year 1 activities/ RWSRCs
progress. • Support Management Governance and Fiscal
Training of all WSSBs.
RWSRCs
• Identify, strengthen and prepare ASPs for
• Support Management Governance and Fiscal
formal contract adoption.
• Ongoing Capacity Development and Technical
• Identify, strengthen and prepare ASPs for
Support of WSSBs and ASPs.
formal contract adoption.
ROADMAP
• Budget support to WSSBs.

• Ongoing Capacity Development and Technical
Support of WSSBs and ASPs. NGOs
• Budget support to WSSBs. • Coordinate with RWSRCs, DLGs, SCs and
Communities in formation of WSCs and WSSBs
NGOs
• Support Management, Governance and Fiscal
• Coordinate with RWSRCs, DLGs, SCs and
Communities in formation of WSCs and WSSBs.
• Strengthen and prepare ASPs for formal
• Support Management, Governance and Fiscal
contract adoption
The transition between phase one and phase two provides flexibility within the Framework
to respond to lessons learned in the roll-out and adapt accordingly to ensure that a
strategic and sustainable Framework is implemented for long-term success. Phases two
and three have therefore not been detailed further than the high level objectives shown.

REFERENCES
1. Draft National O&M framework for Rural water supply infrastructure May 2019.
2. Republic of South Sudan – Framework and Hand-Book for the O&M of Rural Water
Supply services 2015.
3. Ethiopia – Rural Water Supply O&M Strategic framework, 2015.
4. A National framework for Operation & Maintenance of Rural Water Supplies 20O4.
5. Guidelines for management of O&M funds for rural water facilities in Uganda.
6. Compressive Refugee Response Framework.
44
ANNEX 1
SIMPLIFIED FORMAT/
MODEL FOR GENERATING
O&M COST PRICES
45
Introduction/Background
Communities need to be facilitated to understand the basis for charging the fees for
O&M. The starting point for the discussions should be to explain the cost areas which
culminate into how much is needed to sufficiently operate, maintain and replace worn
out or damaged parts of the water supply system.
Goal
To facilitate communities to understand and plan for O&M costs for their respective water
facilities.
Objectives
i. To facilitate community discussions and arrive at the community contributions,
ii. To transparently demonstrate what constitute Operational and minor maintenance
expenditure (OpEx) - recurrent
Target Group
ANNEX 1
• Community/water users
• Water Source Committee (WSCs)
• District Water Supply Services Board (DWSSB)
• Area Service Provider (ASP)
• District Local Governments (DLGs)
• Sub-County Water Supply Services Board (SCWSSBs)
Process
1. The Community members are facilitated to discuss the various cost areas for their
respective water sources as shown in the table below.
46
Technology Maintenance Minor Major
Borehole • Clearing drains and • Repair of • Fishing of

(with hand- surroundings. damaged parts dropped pipes
pump) • Maintaining fence. outside routine and rods.
• Periodical checking service. • Desilting of
and service of hand- • Replacement of borehole.
pump. damaged slow • Repairs to
• Periodical wearing parts borehole casing
replacement of (handle, chain, and screens.
fast wearing parts few pipes and/or • Replacement of
(buckets, valves, etc). rods, cylinder). platform and
• Repair of cracks to drain.
platform or drain. • Replacement of
rising mains.
Protected • Clearing intake Repair of cracks Re-protection (due to

Spring area, drains and to retaining wall, diversion or major
ANNEX 1
surroundings. platform or drain. failure).
• Maintaining fence.
Gravity Flow • Clearing intake • Repair of minor • Rebuilding of

Scheme area, drains and leaks in structures intake works
surroundings. or components. or other major
• Maintaining fence(s). • Repair of pipe structures.
• Periodical checking bursts. • Replacement
of components for of long pipeline
proper functioning. sections damaged
• Periodical by landslides, etc.
replacement of fast
wearing parts (taps,
etc).
Pumped and • Clearing intake area, • Repair of minor • Rebuilding of

Piped drains, fence and leaks in structures intake works
Scheme surroundings. or components. or other major
• Periodical checking • Repair of pipe structures.
and service of pump. bursts. • Replacement
of long pipeline
sections damaged
by landslides, etc.
2. The calculation of the minimum costs to keep the water supply functioning basic fees,
i.e. small repairs.
Operation costs + Administration costs + Maintenance costs
Basic Fees =
No. of users
3. Once the cost is arrived at in calculations, the next step is to agree how often the
members want to spay either per month or per volume.
4. Agree on the need for by-laws to ensure that all users contribute towards O&M cost.
47
ANNEX 2
DETAILED ROLL-OUT OF
THE FRAMEWORK
48
Detailed roll-out of the framework
Lead Agency Activity Details Partipants Time frame Location Type of intervention Source of Funding
MWE - IOM IOM Operational Manual for n/a Outsourced IOM Division
the WSSBs.
O&M Manuals - General n/a General Manual is existing, IOM Division

Manual, Manual for Solar Solar Manual to be
Systems. published November 30
Preparation of Support Community engagement All November 15-Jan n/a There are a lot of IOM Division
Materials: manuals guideline. 15, 2020 community sensistization
supporting the materials around, this
Framework; Guidelines, should be developed
etc internally
Handover procedures n/a This seems premature. We IOM Division

for facilities beyond the need a transition plan
CBMS+ to either UA or
NWSC.
IOM Division Disseminate the National level January 30, 2020 Kampala 1 day Workshop IOM Division
framework at national stakeholders - MWE
level. staff, UWASNET, DPs,
Humanitarian Agencies,
National level NGOs,
PSOs
IOM Division MWE deconcentrated 1 day workshop/Region IOM Division

& Taskforce structures (RWSRCs,
Disseminate the UAs, NWSC)
framework nationally to
all government structures RWSRC to work with DLG and Sub-County 1 day workshop/District IOM Division
RWSRCs DLGs to disseminate
framework
IOM Resource mobilization National or RWSRC DPs Ongoing Writing proposals IOM, NGOs
for the operationalization level funding for
of the framework dissemination,
Capacity Development,
Mobilization and
Operationalization of
framework.
49
ANNEX 2
50
ANNEX 2
Detailed roll-out of the framework continued
National or RWSRC
level funding for
dissemination,
Capacity Development, MFPED Ongoing Budget Allocation MFPED
Mobilization and
Operationalization of
framework.
Specific funding
or interventions in
general support of the Joint proposal writing, DPs
framework. For example: NGOs Ongoing Lobby meetings
Formation of WSSBs
at Sub-County level;
Capacity Development of
Technical staff.
Internal MWE
collaboration and
networking e.g. UPMIS,
IOM billing software, cash MWE/departments Ongoing Snr Management Meeting, MWE
book system and mobile O&M Technical Working
money platform, sharing Group, and relevant
Stakeholder of resources, resource meetings
Collaboration mobilization.
External collaboration
and networking with the
development partners, DPs, NGOs, private Ongoing UWASNET, O&M Forum IOM
NGOs, private sector, sector, finance and relevant Meetings
finance institutions. institutions.
implementation of the
framework.
RWSSRC All Regions • Disseminate the RWSRC to work with
framework to DLG DLGs to disseminate
and Sub-County. framework. DLG and Sub-County 1 day workshop/District IOM Division
• Establish regular
meetings with DLGs
and Stakeholders.
Detailed roll-out of the framework continued
RWSRCs Establish financial Opening accounts,
management establishment of financial
mechanisms procedures, accountability,
transparency, training in
financial management &
book keeping
RWSRCs Training of the O&M

and NGOs management structures.
Build capacity • Roles & ASPs/NGOs

responsibilities.
• Polices, strategies &
guidelines.
Provide Back-up support Technical support for

complex systems where
UA/NWSC/ASP are
unable to provide
Establishment of S/C to facilitate the IOM

management structures formation of WSCs for each
including recruitment of water source. DLG and
liaison officers. SC to facilitate formation
of WSSB. NGO support
DLG/SC/
for formation of WSC and
Community
WSSB essential.
Agreement on Service
Provider
Negotiation of user fees
Community sensitization
Formation of WSCs
Formation of WSSBs
Capacity Development
NGOs
Ongoing O&M during
transition
Formal O&M support
Resource Mobilisation
51
ANNEX 2
52
ANNEX 2
53
Government of Uganda, Ministry of Water and Environment

INFRASTRUCTURE IN UGANDA
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REPUBLIC OF UGANDA

MINISTRY OF WATER AND ENVIRONMENT

DIRECTORATE OF WATER DEVELOPMENT

NATIONAL FRAMEWORK FOR OPERATION

1.0 Introduction ............................................................................................................... 1

2.0 Legal and Policy framework ..................................................................................... 4

3.0 Situation Analysis ...................................................................................................... 8

3.2.2 General O&M challenges ......................................................................................... 10

4.0 Professional Management Approach ..................................................................... 13

5.0 Key Stakeholders, Roles And Responsibilities ........................................................ 19

6.0 Financing O&M costs ................................................................................................ 27

7.0 Cross-cutting Issues .................................................................................................. 31

8.0 Key Considerations ................................................................................................... 34

9.0 Monitoring and Evaluation Mechanisms ................................................................ 40

10.0 Roadmap .................................................................................................................... 42

Hon. Sam Cheptoris (MP)

MWE Ministry of Water and Environment

Accessibility Are propotional of people within 1km of an improved water source.

CapManEx Capital Maintenance Expenditure. Capital maintenance (major repairs and

Collection Account An account to which the user fees will be banked.

Functionality % of water sources functional at time of spot-check.

Spare parts A complete overhaul or platform overhaul including: cleaning or re-development

Water User Community, Institution, etc. vii

Introduction Purpose and Objectives

1.2 Purpose and Objectives of the Framework

The Specific Objectives are:

1.4 Structure of the National O&M framework

1.5 Other complementary materials to the National

LEGAL, POLICY & INSTITUTIONAL FRAMEWORK

relevant especially during implementation and enforcement of Hygiene and Sanitation

2.1 Policy Framework

2.2 Institutional Set-up For MWE

Current institutional Set-up

Asst Commissioner Assistant

Trainees Trainees Trainees

3.1 Definition of CBMS, its anchorage, success and

3.2.1 CBMS challenges

3.2.2 General O&M challenges

i. Multiple O&M approaches currently implemented by the various stakeholders

ii. Overlapping modalities (NWSC/UA/CBMS/PPP/NGO/Refugees): This is mainly caused

CBMS Local Government NG)s/CBOs UA NWSC

Point Water Sources Solar Powered Piped Gravity Schemes Grid/Generator

viii. Monitoring is a crucial function to keep track on progress on implementation and

4.1 Community Based Management System Plus (CBMS+)

4.1.2 Key features of CBMS+

PROFESSIONAL MANAGEMENT APPROACH

Figure 3: The four principles of CBMS+

4.1.3.1 Area Based Approach

4.1.3.2 Professional Management Structures with timely

MWE- DIRECTORATE OF WATER DEVELOPMENT

LOCAL GOVERNMENT AS A WATER AUTHORITY

Monitoring & Information Technician/

NGOs/ CBOs Monitoring & Information

4. 1.3.3 Financial sustainability

PROFESSIONAL MANAGEMENT APPROACH

Figure 5: Staffing Structure for Area Service Provider

Service Area Manager

Head Finance & Administration

Head Technical Services Commercial/Social development