Hand Pump Mechanics Associations Improving rural water service delivery

BRIEFING NOTE APRIL2012

Introduction
Thisbriefingnoteistheresultofactionresearchjointly carriedoutbyIRCInternationalWaterandSanitation Centre/SustainableServicesasScale(TripleS)andSNV NetherlandsDevelopmentOrgansiation,tosupportthe functionalitythematicgroupwiththeimplementation ofUndertaking8.Undertheactionresearch,SNVand IRC/TripleStogetherwithsomeinvolvedstakeholders analysetheprocessandissuesthatareencountered duringtheimplementationoftheUndertaking.These learningsaretranslatedintoactionforimprovingthe initiative. ThepurposeofthisBriefingNoteistospecificallypro videinformationontheprocessofformingHPMAs,the challengesfacedandpossiblestrategiesformitigation. Theinformationandfindingssharedinthisbriefing notearebasedonalimitednumberofinterviewsand workcarriedoutsupportingthesecretariatofthefunc tionalityworkinggroupanddoesnotreflectallviews andissuessurroundingtherolloutoftheHPMAs.

functioningoftheCommunityBasedMaintenanceSys tem(CBMS)asthemainissuesaffectingfunctionality ofruralwatersupplies.Thefollowingelementswere identifiedkeytoimprovingfunctionality.Thesein clude;thesupplychainforspareparts;theroleof HandPumpMechanics(HPMs)inCBMS;and,therole ofWaterandSanitationCommittees(WSCs).To strengthentheroleandpositionoftheHPMsinCBMS, theJointSectorReview2011,emphasisedtherollout ofHPMAsvideUndertaking8,whichtargetstheforma tionofHandPumpMechanicsAssociation(HPMAs)in 80%ofthedistrictsinUgandabyJune2012andhaving themoperationalinatleast30%ofthedistrictsbyJune 2013. TheformationofHPMAs(HandPumpMechanics HPMAs)isanundertakingfortheruralwatersubsector agreeduponduringtheJointSectorReviewof2011. Withthepromotionofthisnewplayerinthesectoritis hopedthatthegapintheO&Msupportsystemofwa terusersstrugglingtomobiliseassistancewhentheir waterpointisbroken,canbefilled.IRC/TripleSissup portingthesecretariatofthefunctionalityworking group,whichhasbeentaskedbytheMinistryofWater andEnvironment(MWE)toleadthisundertaking. TheHPMAsshouldstrengthenthepositionoftheindi vidualHandPumpMechanics(HPMs)byproviding themopportunitiesfortraining,improvingtheiraccess tothemarket(asassociation),whileprovidingthewa terusersandthewaterserviceauthoritieswithbetter qualityO&Mservices.least30%ofdistrictsbyFY

Background
Functionalityofruraldrinkingwaterfacilitieshasre mainedstagnantinUgandaataround80%overthe pastyears.However,astudycarriedoutin2011onthe effectivenessoftheCommunityBasedManagement System(CBMS)inUgandarevealedthatfullfunctional ityofthewatersuppliesstandsatonly53%with around24%beingpartlyfunctionalwithsomeprob lemsincludingqualityandquantity.Five(5%)ofthe watersourcesarefunctionalduringtherainyseason and18%areestimatedtobenonfunctional.Witha coveragerateof65%,thisimpliesthatonlyabout35% oftheruralpopulationofUgandahavereliableaccess tosafedrinkingwater. The2010SectorPerformanceReportidentifiespoor OperationsandMaintenance(O&M)practicesand

WhyHandPumpMechanicsHPMAs inUganda?A2009studycarriedoutbySNV
NetherlandsDevelopmentOrganisationfoundthat 50%oftheWSCshavedifficultiescontactingaHPMin theirareawhentheirsourcebreaksdown.

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HPMAs Briefing Note April 2012

Anearlier2007studybySNValreadyidentifiedthefollowingkeyis suesaffectingtheperformanceofHPMs.Theseinclude: ExistenceofHPMsasloneoperators:Becausetheyoperateindi vidually,theyhavelittleopportunitiestolearnfromeachother andarenotrepresentedasstakeholdersinthedistrictsoratany fora.LimitedcommunicationthereforeexistsbetweenWSCs, HPMsandthedistrictwateroffice(DWO;makingitdifficultto hold HPMsaccountabletoboththeWSCsandDWO;limitingHPMs accesstowork.DuetolackofoversightoftheHPMs,complaints aboutmisbehaviour;theftofspares;arenotaddressed;damag ingtheoverallreputationoftheHPMs. Accesstospareparts:TheHPMshavedifficultiesinaccessing qualityspareparts,toolsandknowledge.Asindividuals,theyrely onlocalshopsandtheycannotbenefitfromeconomiesofscale, whichincreasesthecostsofthesespareparts.Theyhavelimited accesstotools,financialservices,subsidiesandknowledge.All theseimpactnegativelyonthepriceofrepairsandcompromises thequalityoftheirwork LegalityofHPMs:HPMslackalegalbasisandcanthereforenot obtainofficialcontractsgivenoutbytheLocalGovernment(LGs) forrehabilitationofwatersources.Thedistrictsthereforeoften contractcompaniesoutsidethedistricttocarryoutmajorrepairs. ThisunderminesthebusinessoftheHMPsandincreasesthe costsoftherehabilitation. Basedonthesefindings,aconceptforHandPumpMechanicHPMAs) wasdevelopedandpilotedinAdjumanidistrict.Basedonitssuc cesses,itwasscaledupto5districtsin2009.Duringtherollout,a veryvibrantHPMAwasformedinKibaaledistrictin1996andsuc cessfullyaddressedmanyoftheissuesraisedbyHPM.TheKibaale HPMAwasthenusedasconsultantforpeertopeerlearningfor otherHPMAs.By2010,HPMAshadbeenformedinthedistrictsof: Kibaale,Jinja,Kaabong,Kyenjojo,Kasese,Arua,Yumbe,Adjumani, MpigiandKiboga. TheformationandoperationalisationofHPMAshasledtoseveral positiveresultssuchasimprovingaccessofHPMstospareparts,im provinginformationflowbetweenWSCsandHPMs,reportingfunc tionalityofwaterfacilitiesandinsupportingDWOsinconductingma jorrepairsforwatersources.Thishascontributedtoincreasedfunc tionalityofwatersources,inparticulartheboreholesinthedistricts.

DWOssupportformationofHPMAs InKabaroletheDWOisstronglymoti vatedtomaketheHPMAasuccess.He affirmsthat,oncetheHPMAisupand runningitwillassisthiminmonitoring theperformanceandfunctionalityof watersources.Wewillseemuchless WSCscomingtoourofficewithcom plaintsaboutthesourceandwillnot havetorunaftereachandeverywater sourcewithaproblem.Wewillbeable tofocusmoreonmonitoringandsu pervisionofO&Maswearesupposed to. TheDWOhasalsosupportedtheKaba roleHPMAregistration(includingfinan cialsupport)asCBOandasacompany. Thecompanyasacommercialarmof theassociationisaprerequisiteforsur vivaloftheassociation,accordingtothe DWO.Hethinkstheassociationwillnot beabletosurviveasbusinessononly theworksthatcomefromtheWSCs andtheDWOalone.Theywillneedto attractassignmentsfromthemarketas well. AnotherareaofsupporttheDWOhas renderedduringthisstartupphaseis capacitybuildingintheformofhelping toformulatetheconstitutionandelec tionsfortheexecutivecommitteeof theHPMA.Healsoprovidesspacein theoffice,secretarialservicesandthe associationcanusethecomputersof theofficewhenneeded.DuringnextFY 2012/13focuswillbeon:developing proposalsforwork;ananalysisbythe HPMAofcommonproblemswiththe watersourcesandastrategytoaddress them(e.g.aimfor100%functionalityin onesubcountyandthenmovetothe nextone);and,capacitybuildingon businessdevelopmentandmanage

THE REPUBLIC OF UGANDA MINISTRY OF WATER AND ENVIRONMENT

HPMAs Briefing Note April 2012

TheWaterandEnvironmentSectorPerformanceRe port(SPR),2010,showsthatKabongHPMAinpartner shipwiththeKabongDWOandOXFAMcontributed towardsimprovedfunctionalityofwatersourcesfrom 20%in2006to96%in2010.Basedontheseexperi ences,thesectordecidedtosetuptheHPMAconcept inallthedistrictsinUganda. areattributedpartlytothelackofaguidelineforthe DWOsonhowtoengageandsupporttheHPMAs.But alsobecauseinsomedistrictsthereisalreadyahistory withanassociation,whichmakesthe(re)startorre vivaloftheHPMAadifferentprocess. Duringthefirst6monthsofimplementationofUnder taking8,focushasbeenmainlyonstartingupthe HPMAsandmuchlessontherolesandcapacitiesof theotherstakeholdersinvolved.MWEhasdevelopeda frameworkasdetailedinTable1thatdefinesmostof theroleswhentheHPMAsarefullyoperattional. Lessthoughthasbeengivensofarontherolesofthe differentstakeholdersduringthemobilisationphase, whichlastsuptothemomenttheassociationcanman ageitsaffairs.TheDWOofKabarolementionedfor examplethatsubcountiesarestillweakinthesupervi soryroleandhavelittleawarenessabouttheoverall concept.ThechairoftheHPMAinKabaroleexpressed needformoreguidancefromtheTSU(theministry)on thewayforward.Itisalsoclearthatfurtherrollout andoperationalisationoftheHPMAswillrequirealot ofsupportfromthedifferentstakeholders,particularly duringthefirstyearsofformationoftheHPMAs.
Undertaking8andfunctionalityworkinggroup Undertakings are actions that are prioritised and agreed uponbytheparticipantsoftheJointSectorReview,which isheldeveryyearinOctober.In2011theundertakingfor rural water supply is Undertaking 8: Strengthen the com munity based maintenance O&M support structures through formation of hand pump mechanics/scheme at tendantsHPMAsin80%ofthedistrictsinFY2011/12,and operationalising them in at least 30% of districts by FY 2012/13, to improve functionality of rural water sources. ThefunctionalityworkinggrouphasbeentaskedbyMWE toguidethisundertaking.

HPMAsfocusofUndertaking8
TheimplementationofUndertaking8isspearheaded byMWEwithsupportfromtheTechnicalSupportUnits (TSUs).TheMWEandTSU6forexampleorganiseda sensitisationmeetinginNovember2011whereallDis trictWaterOfficers(DWOs)wereinvitedtogetherwith anumberofCommunityDevelopmentOfficers(CDOs) andHPMsatacentrallocation.Duringthismeetingthe rationalebehindtheUndertakingwasexplainedand theDWOsstartedtheworkofformationoftheHPMA intheirdistricts.PromotionoftheHPMAvariesacross thedistricts,howevermuchofitssuccesscurrentlyis stilllargelydependentontheDWO.InKabarolefor example,theDWOhasengagedhimselfpersonally withtheprocessandsupportsthedevelopmentand thegrowthoftheassociationdirectlyasdescribedin Box1above.ByApril2012,atleast70districtshades tablishedHPMAs. TheMWEconceptnoteontheformationofHPMAs recommendsthattheHPMAsaretoberegisteredas CommunityBasedOrganizations(CBOs),butallthree DWOsthatwereinterviewedintheRwenzoriregion (Kabarole,KaseseandKyenjojo)supportedthedual registration:asaCBOwithacompanyandasacom mercialarm. ThesupportprovidedbytheDWOtotheHPMAshas alsovariedacrossdistricts.InKibaale,Yumbeand Kaabongdistricts,thesupporttotheHPMAshasbeen intheformofprovisionoftoolkits,awardofcontracts forrehabilitationofboreholes,monitoringoftheper formanceofboreholesandcontributionstowardsthe operationalcostsofHPMAs.Thedifferencesintheap proachesoftheformationoftheHPMAsandsupport

Overcomingchallenges
Undertaking8isaimedtorolloutandoperationalise HPMAsthroughoutthecountryscale.Thisisnotasim pletask,giventhatitreliesonthewillingnessandin terestofHPMstocometogethertoformandsustain theHPMA.AnimportantelementoftheHPMAisthat

THE REPUBLIC OF UGANDA MINISTRY OF WATER AND ENVIRONMENT

HPMAs Briefing Note April 2012

itisamemberorganisationanddependsfullyonthe motivationoftheHPMs.Thesectoristriggeringtheir interestandstimulatingandsupportingtheirformation andgrowth.Itisascalingupprocessthatisonly6 monthsoldsofar.Asnewplayersinthesector,HPMAs arebeingintroducedtothesector.Hopefully,theolder stakeholdersinthesectorwillwelcomethem.Thefor mationstageofHPMAshashoweverfacedsomechal lenges.Consultationsinthefieldanddiscussionswithin thefunctionalitythematicgrouphaverevealedsome keyissuesthatneedtobeaddressedinthecoming months.
DWOssupportformationofHPMAs InKabaroletheDWOisstronglymotivatedtomaketheHPMAasuc cess.Heaffirmsthat,oncetheHPMAisupandrunningitwillassist him in monitoring the performance and functionality of water sources. We will see much less WSCs coming to our office with complaintsaboutthesourceandwillnothavetorunaftereachand everywatersourcewithaproblem.Wewillbeabletofocusmore onmonitoringandsupervisionofO&Maswearesupposedto. The DWO has also supported the Kabarole HPMA registration (includingfinancialsupport)asCBOandasacompany.Thecompany asacommercialarmoftheassociationisaprerequisiteforsurvivalof theassociation,accordingtotheDWO.Hethinkstheassociationwill notbeabletosurviveasbusinessononlytheworksthatcomefrom theWSCsandtheDWOalone.Theywillneedtoattractassignments fromthemarketaswell. AnotherareaofsupporttheDWOhasrenderedduringthisstartup phase is capacity building in the form of helping to formulate the constitutionandelectionsfortheexecutivecommitteeoftheHPMA. Healsoprovidesspaceintheoffice,secretarialservicesandtheasso ciationcanusethecomputersoftheofficewhenneeded.Duringnext FY2012/13focuswillbeon:developingproposalsforwork;ananaly sisbytheHPMAofcommonproblemswiththewatersourcesanda strategytoaddressthem(e.g.aimfor100%functionalityinonesub county and then move to the next one); and, capacity building on business development and management issues. The DWO of Kaba roleestimatesthatitwilltakeanotheryearbeforetheHPMAwillbe abletoexistonitsown. TheDWOofKyenjojocomparesHPMAswithUmbrellaOrganisations (UOs)andsaysthatwhentheUOswerestarted,theyhelpedaddress issuesrelatedtothepipedschemes.TheHPMAswillalsohelpto addressissuesrelatedtoruralwatersources

HPMARegistrationandcommercialisation:Atthe
momenttwoissuesthatarerelatedtotheregistration oftheHPMAshavecomeup.Thefirstisclarityonlegal statusofHPMAsandhowtheDWOcanengagewith themandthesecondisthecommercialoperationof theHPMAanditsregistrationasacompany. RegardingthelegalstatusofHPMAs,thecooperation frameworkbetweenDistrictLocalGovernments(DLGs) andNGOs/CBOsprovidesguidelinesonhowtoengage HPMAsasCBOsbutlimitedawarenessontheframe workamongDLGscontinuestocauseuncertaintyon thelegalbasisofengagingHPMAs.Thereisneedto updatetheframeworkanddisseminatetoallDLGsas partoftheDWSCCguidelinesforthefinancialyear 2012/2013.Makingthecooperationframeworkopera tionalwillrequireleadershipatnationalanddecentral isedlevels.FirstofallMWEwithsupportfromtheTSUs shouldprovideclaritytotheDWOsonproceduresand conditionsforengagement.ItisproposedthataMoU betweentheHPMAandLocalGovernment(LG)and NGOswilladdressthisissue. OntheregistrationofacommercialarmoftheHPMA asacompany,theDWOsinterviewedexpressedprefer enceforthistypeofregistrationgivenitspotentialto enableHPMAsbecomemorefinanciallyviablebycarry ingoutworkassignedbyWSCs,thelocalgovernments andfromothersintheprivatesector.TheMWEcon ceptualframework,however,doesnotprovideforthis dualregistration.InKaseseforexample,thisdualregis trationisalreadycausingsomeproblemsastheexist

ingmembersoftheHPMAsdonotwanttoallownew memberstobecomepartofthecompanyaswell.

MemorandumofUnderstandingbetweenHPMAs andLGsorNGOs:TheMWEconceptnoteonforma
tionandutilisationofHPMAsproposesthattheDWOs engagetheHPMAsinconductingrehabilitationand majorrepairs.Forthistoworkout,aMemorandumof Understanding(MoU)shouldbedevelopedbetween theLGsandtheHPMAsstipulatingtheobligationsof bothparties.TheMWEcooperationframeworkpro videsatemplatethatcanbeadaptedforthiskindof MoU.NGOsworkinginpartnershipwithDLGsonop erationandmaintenanceofwatersourcesshoulduse thesameMoUtoengageHPMAsandcommunities shouldbeinformedoftheirresponsibilitiestherein.

THE REPUBLIC OF UGANDA MINISTRY OF WATER AND ENVIRONMENT

HPMAs Briefing Note April 2012

ProcurementoftoolkitsforHPMAs.HPMAshavesofar beenformedin70districts.Inprincipleeachsubcounty issupposedtohaveitsowntoolkitandshouldagreewith theHPMsonhowtomanageit.TheDWOsshouldcon ductanassessmentontheavailabilityoftoolkitsatsub countylevelandprocuretoolkitsforsuchsubcountiesif required.ThecostofatoolkitisaboutUGX2,000,000. MostoftheHPMAswillnotbeabletoraisethismoneyto supporttheirmembers,giventhattheyarestillat buddingstage.TheMWEcouldconsiderauthorisingdis trictsthathavefunctionalHPMAstosupportprocure mentofstartuptoolkitsthroughtheDWSCC.Inaddition, theMWEcouldconsiderprovidingclearspecificationsfor thetoolkitgiventhatthedifferenttypesofpumpsfor examplerequiredifferentsetsoftools.TheMWEcould restrictthepumptypesusedinthedistrictsoastosim plifyO&M.Aplanisrequiredonhowtheprocurementof toolkitswillbephasedtoensurethattheHPMsandthe HPMAsformedarenothamperedintheirworkbylackof toolkits. CapacitybuildingofHPMAsandinvolvedstakeholders: TomaketheHPMAspartnersintheprovisionofsaferural watersources,capacitybuildingoftheassociationsas welltheinvolvedstakeholdersisrequired.Capacitybuild ingoftheHPMAsshouldfallintwoparts.Thefirstis buildingthecapacityoftheexecutiveoftheassociation. Thisshouldinclude;areasofgovernance,management, andbusinessdevelopmentandrelationmanagement.The latterisparticularlyimportantbecausetheassociationisa memberorganisation,whichisbasedontrust.Thefact thatmanyHPMAsseemtooptforalsoregisteringasa companymakesgovernance,managementandtranspar encyevenmorecrucial. ThesecondiscapacitybuildingoftheHPMs,intermsof skillsandnewtechnology.Althoughtrainingsandrefresh ersareprovidedcontinuouslytoHPMs,thedemandisstill there.HPMscanfurtherbenefitwhenallstakeholders thathavetocollaborateandengagewiththeHPMAs knowandpracticetheirroles.Thisisparticularlyvalidfor theDWOsandthesubcountyWASHofficersgiventheir supervisoryrole.GeneralawarenessfortheWSCsand politicalleadersisalsorequired. MembershipoftheHPMAs:Inprincipletheconditionsfor membershipofHPMAsareestablishedintheconstitu tionsoftheHPMAs.Butthisisnotsufficientguarantee thatallprocessesandissuesaredealtwithinatranspar entway.AsinKasese,inadditiontoresistingnewmem berstojointhecompany,existingmembersalsoresistthe membershipofschemeattendantsbecausetheyarebet tertrainedandskilled.Oneoftheargumentsheardisthat theyarenotHPMs,yettherealreasonisthatHPMsfear thecompetition.Thefollowingpointsrelatedtomember shipneedattention: GuidanceonhowrecruitmentofHPMAsmembersis doneandwhichcriteriashouldbeused Theroleofthesubcountyinsupportingandoversee ingtherecruitmentprocess Handpumpsarenottheonlytechnologyinusefor ruraldrinkingwaterservices,therearealsosprings, wellswithsolarpumpsandafastgrowingnumberof pipedschemes.Thisraisesthequestionofthename HPMwhichneedstoberevisited.Proposalsinclude RuralWaterArtisans FinancialsupporttoHPMAs:AnumberofDWOspropose thatfinancialsupporttoHPMAsshouldbeincludedinthe operationalbudgetofthedistrictwateroffice.TSUscould alsocoordinatethisactionduringtheAprilbudgetproc essandadviseonallthedistrictbudgets.Thiswouldin cludeabudgettoorganisefollowup/awarenessmeetings withstakeholdersandtrainingoftheexecutivecommit teeandthemembers. Qualityofthetriggeringprocessandcommunication: SomeDWOsfeelthatthequalityofthetriggeringofthe HPMAwasnotoptimal.InRwenzoriforexampleitwas carriedoutinacentrallocationforalldistricts,whichin volvedonlyafewstakeholders.Theactualtriggering needstohappenatdistrictlevel,whichisthelevelwhere theactualHPMAsareformed.SomeDWOshavealso complainedthatsofartheyhaveneverheardoforre ceivedtheframework,whichissupposedtobetheguid ingdocument.Itisrecommendedthatforthefurtherroll outoftheHPMAsacommunicationstrategybedesigned thattakesintoaccounttheinformationneedsofallstake holdersinvolved.

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TABLE1.
Level Ministryof Water& Environment Roles&Responsibilities Formulatepoliciesassociatedwiththe HPMA DevelopandformalizeguidelinesforLGsfor engagingHPMAs MonitorprocessofHPMAformation& Operationalization FacilitateannualmeetingsoftheHPMAsat regionallevel EnsurethatpoliciesassociatedwithHPMAs areimplemented Tasks Management Operational FacilitatetrainingofHPMs

RegionalLevel Technical SupportUnits

Capacity building/strength eningofthe HPMAsatthe districtlevel

AdvisetheLGonhowto regulatethedistrict HPMAsactivities Coordinatetheactivitiesof thedistrictHPMAs regionally Createplatformfor experiencesharingand capacitybuilding

NGOs/CBOs

DistrictWater Office

FacilitatetrainingofHPMAon organizationaldevelopment SupportMWE/DLGsinequippingthe HPMAswithtools Supportthegovernmentsinproviding financialsupporttodistrictsfor rehabilitation&majorrepairs FacilitateRegistrationofHPMAs FacilitatemeetingsoftheHPMAsatdistrict level EnterintoMoUwithHPMA EnsuretheHPMAisaddressingthe functionalityneedsofthecommunities Managethedisbursementofspareparts andengageHPMAsinmajorborehole repairs

Regulationand ensurequality assurance Procureservices ofHPMAs Superviseon goingworksof theassociation

DistrictHPMA

TheHPMAtosuperviseallthesubcounty HPMandverifytheirworks Toprocureandstockspareparts. Overseeregularcollectionofreportson functionalityofwatersources/facilities

Coordinatetheactivitiesof theHPMAsinthesub counties Monitorstandardsof membersubcountyHPMs SupportHPMAinprocuring spareparts Seek opportunities/activitiesfor implementationbetween LGs,Developmentpartners andCSOs CommunicatewithSub countiesengagementswith HPMA Enroll/recruitnewHPMs& keepupdatedregisterof HPMsindistrict Supportregistrationof HPMAsasCBOs

Subcounty office Subcounty HPM

THESUBCOUNTYOFFICE MonitoractivitiesofHPMAs THESUBCOUNTYHPM Carryoutroutinevisitstothesources Carryoutpreventivemaintenance, Maintainadiaryofallwatersourcerepairs andcosts Ensurefullfunctionalityofparticipating HPMs. WaterSourceCommittee Initiatetherepairofwatersources Planforthepreventivemaintenance, Maintainawatersourcediary Openandmaintainfinancialrecordsfor O&Mfees. MakepaymentstoHPMincaseofminor repair Setbyelaws UserCommunity MakecontributiontoO&Mfunds

Supervise ongoingHPMs assignments Ensurethe respectiveHPMs maintainahand pumpdiary

Monitorimplementationof assignments Deployandregulatethe HPMsonassignments

Villagelevel

Maintainadiary ofthewater source

EnsuretheHPMperform theroutinechecks EnsuretheHPMcarriesout theperiodicmaintenance

Source:MWE2011:ConceptnoteforformationandUtilizationofHandPumpMechanicHPMAsinimproving functionality(edited)