Regulation – Rural Water Supply Network

Regulating the private sector

This is the fourth and final post in a series of four blogs entitled “Professional Borehole Drilling: Learning from Uganda” written by Elisabeth Liddle, and a RWSN webinar in 2019 about professional borehole drilling. It draws on research in Uganda by Liddle and Fenner (2018). We welcome your thoughts in reply to this blog below.

Great gains have been made in recent years regarding access to improved water sources in rural sub-Saharan Africa. Concerns have been raised, however, over the extent to which these sources are able to provide a reliable and safe water supply in the medium to long term (for example, Foster et al., 2018; Kebede et al., 2017; Owor et al., 2017; Adank et al., 2014).

There has been considerable focus on post-construction operations and maintenance, but increasing attention is on the quality of the implementation to prevent water point failure in the future (UNICEF/Skat, 2016, Bonsor et al., 2015; Anscombe, 2011; Sloots, 2010).

Skat Foundation and UNICEF have been key actors here, jointly advocating for an increase in drilling professionalism across sub-Saharan Africa. They recently released a guidance note on drilling professionalism (UNICEF/Skat, 2016), highlighting six key areas that need to be addressed to increase the quality of implementation work (see Figure 1).

In this blog I focus on the ‘institutional frameworks’ aspect in Figure 1, with specific attention on the ways in which Uganda has sought to improve regulation of the private sector in recent years by introducing licensing systems for both drilling contractors and consultants.

For the past two decades, Uganda has strongly encouraged the involvement of the private sector in the siting and drilling of rural water points (Danert et al., 2003). Having encouraged privatisation, however, the Ministry of Water and the Environment (MWE) recognised that they had a crucial role to play within this: regulation of the private sector. Regulation efforts began in 1999 with the introduction of drilling contractor licenses. To gain a license, drilling contractors must submit documentation outlining their equipment, their staff and CVs, and their work history. Premises and equipment are then assessed, with the drilling contractor’s technical and financial capacity being at the forefront throughout. Drilling contractor licenses must be renewed annually. Updated lists of licensed drilling contractors are published in national newspapers and online every July.

Recent research in Uganda (Liddle and Fenner, 2018) found that drilling contractor licenses have greatly helped the procurement process within Uganda’s implementing agencies, with the drilling contractor license list typically being the first port of call during bid evaluation.

In recent years, MWE recognised the essential need to extend this licensing system to consultants/hydrogeologists, given the proliferation of ‘briefcase consultants’ in the country (those with no formal geology or hydrogeology training). The issue of briefcase consultants is discussed in blog 1 of this series. Briefcase consultants were bidding for the siting and supervision work, yet evaluation teams within implementing agencies had no way of identifying those that were truly qualified for this work, and those whose bidding documents (e.g. work experience, degrees etc) were fake. Poor quality work then proceeded as briefcase consultants began winning contracts.

To address this problem and provide guidance for evaluation teams, the MWE started the process of issuing hydrogeologist/consultant licenses in 2016 (Tindimugaya, 2016). Consultants can apply for an individual hydrogeologist license or a groundwater firm license. For an individual to gain a license, they must submit their academic documents, CV, and an overview of past work. The individual must have hydrogeology specific qualifications (short course, diploma, or degree); geology qualifications alone are insufficient. Premises and equipment are then assessed and a practical assessment and interview are conducted. For a firm to gain a license, the director must gain an individual license. The firm then needs to submit their company registration details, a list of staff and CVs, and details of past work. By July 2018, licenses had been issued to 65 individuals and 15 firms. As with drilling contractor licenses, consultant licenses are renewed annually and updated lists of licensed consultants are published in national newspapers and online every July.

While these licensing systems have greatly helped Ugandan implementing agencies, similar licensing systems across SSA, especially for consultants, appear to be rare. According to Danert and Theis (2018), of the 14 sub-Saharan Africa countries listed in their report, only three had licensing systems in place for consultants, while ten had licensing systems in place for Drilling Contractors. It is now essential that additional sub-Saharan African governments follow Uganda’s lead, and begin the regulate the private sector, especially consultants given the essential role that siting and supervision are known to play when considering the quality of the implementation work (UNICEF/Skat, 2016; Anscombe, 2011; Danert et al., 2010).

What do you think?

So what do you think? Do you have experiences of trying to select qualified and experiences groundwater professionals? Do you think that licensing professionals is the way forward within your context? Are there any efforts to better regulate the private drilling sector in your country? You can respond below by posting in the reply below, or you can join the live webinar on the 14th of May (register here).

References

Adank, M., Kumasi, T.C., Chimbar, T.L., Atengdem, J., Agbemor, B.D., Dickinson, N., and Abbey, E. (2014). The state of handpump water services in Ghana: Findings from three districts, 37^th WEDC International Conference, Hanoi, Vietnam, 2014.

Anscombe, J.R. (2011). Quality assurance of UNICEF drilling programmes for boreholes in Malawi. Lilongwe, Malawi: Ministry of Agriculture Irrigation and Water Development, Government of Malawi.

Bonsor, H.C., Oates, N., Chilton, P.J., Carter, R.C., Casey, V., MacDonald, A.M., Etti, B., Nekesa, J., Musinguzi, F., Okubal, P., Alupo, G., Calow, R., Wilson, P., Tumuntungire, M., and Bennie, M. (2015). A Hidden Crisis: Strengthening the evidence base on the current failure of rural groundwater supplies, 38^th WEDC International Conference, Loughborough University, UK, 2014.

Danert, K., Armstrong, T., Adekile, D., Duffau, B., Ouedraogo, I., and Kwei, C. (2010). Code of practice for cost effective boreholes. St Gallen, Switzerland: RWSN.

Danert, K. and Theis, S. (2018). Professional management of water well drilling projects and programmes, online course 2018, report for course participants, UNICEF-Skat Foundation Collaboration 2017-2019. St Gallen, Switzerland: Skat.

Danert, K., Carter, R.C., Rwamwanja, R., Ssebalu, J., Carr, G., and Kane, D. (2003). The private sector and water and sanitation services in Uganda: Understanding the context and developing support strategies. Journal of International Development, 15, 1099-1114.

Foster, T., Willetts, J., Lane, M. Thomson, P. Katuva, J., and Hope, R. (2018). Risk factors associated with rural water supply failure: A 30-year retrospective study of handpumps on the south coast of Kenya. Science of the Total Environment,, 626, 156-164.

Kebede, S., MacDonald, A.M., Bonsor, H.C, Dessie, N., Yehualaeshet, T., Wolde, G., Wilson, P., Whaley, L., and Lark, R.M. (2017). UPGro Hidden Crisis Research Consortium: unravelling past failures for future success in Rural Water Supply. Survey 1 Results, Country Report Ethiopia. Nottingham, UK: BGS (OR/17/024).

Liddle, E.S. and Fenner, R.A. (2018). Review of handpump-borehole implementation in Uganda. Nottingham, UK: BGS (OR/18/002).

Owor, M., MacDonald, A.M., Bonsor, H.C., Okullo, J., Katusiime, F., Alupo, G., Berochan, G., Tumusiime, C., Lapworth, D., Whaley, L., and Lark, R.M. (2017). UPGro Hidden Crisis Research Consortium. Survey 1 Country Report, Uganda. Nottingham, UK: BGS (OR/17/029).

Sloots, R. (2010). Assessment of groundwater investigations and borehole drilling capacity in Uganda. Kampala, Uganda: Ministry of Water and Environment, Government of Uganda, and UNICEF.

Tindimugaya, C. (2016). Registration of groundwater consultants in Uganda: rationale and status. RWSN Forum, 2016, Abidjan, Côte d’Ivoire.

UNICEF/Skat (2016). Professional water well drilling: A UNICEF guidance note. St Gallen, Switzerland: Skat and UNICEF.

La réglementation du secteur privé

Il s’agit du dernier d’une série de quatre blogs intitulée “Le forage professionnel de puits d’eau: Apprendre de l’Ouganda” de Elisabeth Liddle et d’un webinaire en 2019 sur le forage de puits professionnel. Cette série s’appuie sur les recherches menées en Ouganda par Liddle et Fenner (2018). Nous vous invitons à nous faire part de vos commentaires en réponse à ce blog ci-dessous.

Si l’accès à des sources d’eau améliorées a été amélioré de manière progressive dans l’ensemble de l’Afrique subsaharienne rurale, plusieurs études ont soulevé des problèmes concernant la capacité de ces sources à fournir des quantités d’eau sûres et adéquates à long terme (Foster et al., 2018 ; Kebede et al., 2017 ; Owor et al., 2017 ; Adank et al., 2014).

Le secteur se focalise sur l’exploitation et l’entretien après la construction, mais également de plus en plus sur la qualité de la mise en œuvre afin de prévenir la défaillance des points d’eau dans l’avenir. (UNICEF/Skat, 2016, Bonsor et al., 2015; Anscombe, 2011; Sloots, 2010).

La Fondation Skat et l’UNICEF sont des acteurs clés dans ce domaine, plaidant conjointement en faveur d’une professionnalisation accrue du forage en Afrique subsaharienne. Ils ont récemment publié une note d’orientation sur le professionnalisation en matière de forage (UNICEF/Skat, 2016), soulignant six domaines clés qui doivent être abordés pour améliorer la qualité du travail d’exécution (voir Figure 1).

Dans ce blog, je me concentre sur l’aspect “cadres institutionnels ” de la Figure 1, avec une attention particulière sur la manière dont l’Ouganda a cherché à améliorer la réglementation du secteur privé ces dernières années en introduisant des systèmes de permis pour les entrepreneurs et les consultants en forage.

Fig. 1: Six domaines d’engagement pour l’exploitation professionnelle des eaux souterraines (Skat/ UNICEF, 2018)

Des recherches récentes en Ouganda (Liddle et Fenner, 2018) ont montré que les permis d’entrepreneur de forage ont grandement facilité le processus de passation de marché au sein des organismes d’exécution de travaux en Ouganda, la liste des permis d’entrepreneur de forage étant généralement le premier point de contact pendant l’évaluation des offres.

Ces dernières années, le Ministère de l’Eau et de l’Environnement a reconnu le besoin essentiel d’étendre ce système de permis aux consultants/hydrogéologues, étant donné la prolifération des “consultants à mallette” dans le pays (ceux qui n’ont aucune formation formelle en géologie ou en hydrogéologie). La question des consultants en mallettes est abordée dans le premier blog de cette série. Les consultants en mallettes soumissionnaient pour les travaux d’implantation et de supervision, mais les équipes d’évaluation au sein des organismes d’exécution n’avaient aucun moyen d’identifier ceux qui étaient réellement qualifiés pour ces travaux et ceux dont les documents d’appel d’offres (par exemple, expérience professionnelle, diplômes, etc.) étaient des faux. Le travail de qualité médiocre s’est ensuite poursuivi car les “consultants à mallette” remportaient de plus en plus de contrats.

Pour résoudre ce problème et fournir des conseils aux équipes d’évaluation, le Ministère de l’Eau et de l’Environnement a entamé le processus de délivrance de permis d’hydrogéologue/consultant en 2016 (Tindimugaya, 2016). Les consultants peuvent demander un permis individuel d’hydrogéologue ou un permis d’entreprise en lien avec les eaux souterraines. Pour qu’une personne obtienne un permis, elle doit soumettre ses documents universitaires, son CV et un aperçu de son expérience professionnelle. La personne doit posséder des qualifications spécifiques en hydrogéologie (cours de courte durée, diplôme ou licence) ; des études en géologie seulement sont insuffisantes. Les locaux et l’équipement sont ensuite évalués, et une évaluation pratique ainsi qu’un entretien sont menées. Pour qu’une entreprise obtienne un permis, le directeur doit avoir un permis individuel. L’entreprise doit ensuite fournir les détails relatifs à l’inscription de son entreprise, une liste de son personnel et de leurs CV, ainsi que les détails de ses travaux antérieurs. A compter de juillet 2018, 65 personnes et 15 entreprises avaient reçu des permis. Comme pour les permis d’entrepreneur de forage, les permis des consultants sont renouvelés chaque année et des listes de consultants autorisés mises à jour sont publiées dans les journaux nationaux et en ligne chaque année en juillet.

Si ces systèmes d’octroi de permis ont grandement aidé les organismes d’exécution ougandais, des systèmes d’octroi de permis similaires, en particulier pour les consultants, semblent être rares dans le reste de l’Afrique subsaharienne. Selon Danert et Theis (2018), sur les 14 pays d’Afrique subsaharienne énumérés dans le rapport, seulement trois avaient mis en place des systèmes de permis pour les consultants, tandis que dix avaient mis en place des systèmes de permis pour les entreprises de forage. Il est maintenant essentiel que d’autres gouvernements d’Afrique subsaharienne suivent l’exemple de l’Ouganda et commencent à réglementer le secteur privé, en particulier les consultants, étant donné le rôle essentiel qu’ils jouent dans la qualité du travail d’exécution, l’implantation et la supervision des forages (UNICEF/Skat, 2016 ; Anscombe, 2011 ; Danert et al., 2010).

Qu’en pensez-vous?

Alors, qu’en pensez-vous? Avez-vous de l’expérience dans la sélection de professionnels qualifiés et expérimentés dans le domaine de l’eau souterraine ? Pensez-vous que l’octroi de permis aux professionnels est la voie à suivre dans votre contexte ? Y a-t-il des efforts pour mieux réglementer le secteur privé du forage dans votre pays ? Vous pouvez répondre ci-dessous en postant un commentaire, ou vous pouvez participer au webinaire en direct le 14 mai (inscriptions ici)

Références

Anscombe, J.R. (2011). Quality assurance of UNICEF drilling programmes for boreholes in Malawi. Lilongwe, Malawi: Ministry of Agriculture Irrigation and Water Development, Government of Malawi.

Danert, K., Armstrong, T., Adekile, D., Duffau, B., Ouedraogo, I., and Kwei, C. (2010). Code of practice for cost effective boreholes. St Gallen, Switzerland: RWSN.

Liddle, E.S. and Fenner, R.A. (2018). Review of handpump-borehole implementation in Uganda. Nottingham, UK: BGS (OR/18/002).

Sloots, R. (2010). Assessment of groundwater investigations and borehole drilling capacity in Uganda. Kampala, Uganda: Ministry of Water and Environment, Government of Uganda, and UNICEF.

Tindimugaya, C. (2016). Registration of groundwater consultants in Uganda: rationale and status. RWSN Forum, 2016, Abidjan, Côte d’Ivoire.

UNICEF/Skat (2016). Professional water well drilling: A UNICEF guidance note. St Gallen, Switzerland: Skat and UNICEF.

Remerciements

Ce travail fait partie du projet Hidden Crisis du programme de recherche UPGro – cofinancé par le NERC, le DFID et l’ESRC.

Le travail de terrain entrepris pour ce rapport fait partie de la recherche doctorale des auteurs à l’Université de Cambridge, sous la supervision du Professeur Richard Fenner. Ce travail sur le terrain a été financé par le Ryoichi Sasakawa Young Leaders Fellowship Fund et UPGro : Hidden Crisis.

Merci à ceux d’entre vous de l’Université de Makerere et de WaterAid Ouganda qui m’ont apporté un soutien logistique, y compris sur le terrain, pendant que je menais les entretiens pour ce rapport (en particulier le Dr Michael Owor, Felece Katusiime et Joseph Okullo de l’Université Makerere et Gloria Berochan de WaterAid Uganda). Merci également à tous les répondants d’avoir été enthousiastes et disposés à participer à cette recherche.

Photo: E.S. Liddle

Leo Heller on : Regulation of water and sanitation services

by Léo Heller, UN Special Rapporteur on the human rights to safe drinking water and sanitation

Re-posted from: https://medium.com/@SRWatSan/regulation-of-water-and-sanitation-services-bef44401caf4

Report A/HRC/36/45, submitted by the Special Rapporteur to the Human Rights Council in September 2017, focuses on the role regulatory frameworks play in the implementation of the human rights to water and sanitation at national level.

Regulatory frameworks comprise the rules or standards defining how services should be provided to individuals in a given context, and the institutions responsible for monitoring service providers’ compliance with these norms and standards.

The number of States with a regulatory framework for water and sanitation services is increasing and so is the contingent of regulatory actors. However, there is no universal regulatory model. Regulation should be adapted to local circumstances, needs and challenges.

States have interpreted the role of regulation in various ways depending largely on the norms applicable to their particular context and corresponding needs, leading to a range of different institutional arrangements and regulatory models including self-regulation, regulation by contract and regulation by a separate regulatory body.

Being at the interface between policy-makers, service providers and users, while acting as guarantors of accountability, regulatory actors play an essential role in the realisation of the human rights to water and sanitation.

Continue reading “Leo Heller on : Regulation of water and sanitation services”

RWSN Discussion – Groundwater Regulation/La réglementation des eaux souterraines 27Jun/juin – 17 Jul/jul

Discussion and Webinar – Groundwater Regulation – 27^th June to 17^th July 2016

Much remains to be learned about groundwater regulation. Zambia is a case in point: with the enactment of the Water Resources Management Act in 2012, the new Water Resources Management Authority (WARMA) is currently developing regulations (statutory instruments) that cover the licencing of drillers and consultants, permitting and groundwater protection. Once these are passed into law, for the first time in the country’s history, groundwater will be regulated.

Continue reading “RWSN Discussion – Groundwater Regulation/La réglementation des eaux souterraines 27Jun/juin – 17 Jul/jul”

Realities of water well drilling in Africa: e-discussion highlights so far

RWSN is currently hosting a 3 week discussion on ‘Cost Effective Boreholes’ as part of our Sustainable Groundwater Development Theme. Here are some highlights so far:

It is very interesting to read the inputs so far from Kenya, Zambia, Sudan, Nigeria, Ethiopia and Uganda.

From the discussions so far, it seems that the Kenya and Ethiopia have established regulatory frameworks for water well drilling (thanks Chrispine and Tesfaye). In the Kenyan case, government regulation, which is limited by capacity constraints is augmented by the monitoring of activities by the drillers association. It will be interesting to hear more on this from Chrispine and others in Kenya. In contrast Zambia (thanks Daniel) lacks any regulation with respect to groundwater resources. There is thus no registration of boreholes in the country whatsoever and even drilling records must not be collected. Although a water resources management act was passed in Zambia 2011 it still awaits launch and implementation. Perhaps there are also others with ideas for Zambia. In Sudan, we hear from Harm Bouta about a very fragmented drilling sector with no strict regulations in place, but that there are other initiatives taking place in Sudan from which we could learn more.
Continue reading “Realities of water well drilling in Africa: e-discussion highlights so far”