63501 Promoting Transparency, Integrity and Accountability in the Water and Sanitation Sector in Uganda Maria Jacobson, Sam Mutono, Erik Nielsen, Donal O’Leary & Rosemary Rop Promoting Transparency, Integrity and Accountability in the Water and Sanitation Sector in Uganda Maria Jacobson, Sam Mutono, Erik Nielsen, Donal O’Leary & Rosemary Rop Water Integrity Network (WIN) Water and Sanitation Program (WSP) The Water Integrity Network is an action-oriented WSP is a multi-donor partnership created in 1978 coalition of organisations and individuals promoting and administered by the World Bank to support poor water integrity to reduce and prevent corruption in the people in obtaining affordable, safe and sustainable water sector. Its membership includes the public access to water and sanitation services. WSP provides sector, the private sector and civil society, as well as technical assistance, facilitates knowledge exchange leading knowledge-based organisations and networks and promotes evidence-based advancements in sector in the water sector. WIN is funded by grants from the dialogue. It has offices in 25 countries across Africa, Governments of Germany (BMZ), The Netherlands East Asia and the Pacific, Latin America and the (DGIS), Sweden (Sida) and Switzerland (SDC). Caribbean, South Asia and in Washington, DC. WSP’s The WIN Secretariat is hosted by Transparency donors include Australia, Austria, Canada, Denmark, International in Berlin, Germany. Finland, France, Ireland, Luxembourg, Netherlands, Norway, Sweden, Switzerland, the United Kingdom, www.waterintegritynetwork.net the United States, the Bill and Melinda Gates Foundation and the World Bank. www.wsp.org Acknowledgements This case study was jointly authored by Maria Jacobson of the Stockholm International Water Institute (SIWI), Sam Mutono and Rosemary Rop of the Water and Sanitation Program (WSP), Erik Nielsen of the Water Integrity Network Secretariat (WIN), and Donal O’Leary, representative of Transparency International on WIN’s International Steering Committee. We are grateful for the peer review input by John Butterworth (IRC), Piers Cross (senior consultant), Gilbert Kimanzi (Ministry of Water and Environment, Uganda), Jack Moss (Aquafed), Barbara Magezi Ndamira and Elijah Ayieko Osiro, (World Bank-Uganda). Additional thanks to Jens Christiansen and Tania Dunster from onehemisphere.se for design, Stephanie Debere for editing, Alexandra Malmqvist of WIN for communication coordination and Lucy Mhina of WSP for communication coordination. © 2010 Water Integrity Network / Water and Sanitation Program. All rights reserved. Printed on 100% recycled paper. Cover image: Refugees cross from DR Congo into Uganda at the border village of Busanza. © Sam Downes/Dreamstime Back cover image: Men on bicycles transporting water, wood, pots and other materials. © Frank van den Bergh/IStock The findings, interpretations, and conclusions expressed herein are entirely those of the authors and should not be attributed to the Water Integrity Network, the World Bank or its affiliated organizations, or to members of the Board of Executive Directors of the World Bank or the governments they represent. Every effort has been made to verify the accuracy of the information contained in this report. All information was believed to be correct as of October 2010. Nevertheless the Water Integrity Network and the World Bank cannot accept responsibility for the consequences of its use for other purposes or in other contexts. WIN and WSP, 2010 Uganda Contents 3 Contents SUMMARY 4 1. WHY FOCUS ON TRANSPARENCY, INTEGRITY AND ACCOUNTABILITY IN THE WATER SUPPLY AND SANITATION SECTOR? 5 2. PILOTING WATER INTEGRITY STUDIES IN UGANDA 7 3. SUMMARY OF KEY FINDINGS AND RECOMMENDATIONS 13 4. OUTCOMES AND NEXT STEPS 16 5. IMPLICATIONS FOR SECTOR STAKEHOLDERS AND PRACTICE 19 REFERENCES 22 WIN and WSP, 2010 4 Summary Uganda has placed the fight against corruption high on contractors, private operators, local government the development agenda by establishing a range of officials and staff from the main water utility anti-corruption institutions and strategies. The Uganda experience integrity in the provision of water services. National Integrity Survey III, released in 2008 by the The study would also facilitate development of an Inspectorate of Government, recommended that if updated action plan to address integrity risks. This Uganda was to make real progress in tackling note describes the key ingredients to putting in place a corruption nationwide, individual sectors would need nationwide good governance action plan in Uganda’s to undertake sector-specific studies to identify best water sector, the challenges to be overcome and practice and facilitate scaling-up of anti-corruption lessons learned to date. The implications for practice efforts. In that year, the Good Governance Sub-Sector are discussed from the perspectives of policy makers, Working Group, chaired by the Ministry of Water and regulators and ombudsmen, development partners, Environment, commissioned a Water Integrity Study to water service providers and civil society actors. This establish how citizens in both rural and urban areas, provides guidance for the replication of best practice by stakeholders in other countries and sectors. The children of coffee growers help de-husk coffee with their family after school. © Brian Longmore/Dreamstime WIN and WSP, 2010 5 1. Why focus on transparency, integrity and accountability in the Water Supply and Sanitation Sector? In developing countries, approximately 80 per cent of health problems can be linked to inadequate water supply and sanitation, which claim the lives of 1.8 million children every year. A standpipe in the Bwindi National Park in Uganda. © Prill Mediendesign & Fotografie/IStock WIN and WSP, 2010 6 Corruption in the water sector places the lives and Doing Business surveys, sponsored by the World Bank livelihoods of billions of people worldwide at significant Group, also inter alia pose questions on the extent of risk. The water sector is facing a severe crisis, corrupt practices in doing business. exacerbated by corruption (Transparency International Global experience demonstrates that corruption in the (TI), 2008). Approximately 20 per cent of the world’s water sector can be addressed by a strategy based on population (1.2 billion people) does not have access to promoting transparency, integrity and accountability clean water and more than 40 per cent (2.6 billion (Gonzalez de Asis et al., 2009). people) is without adequate sanitation, with devastating consequences for development and poverty reduction. In developing countries, BOX 1 What are Water Integrity Studies approximately 80 per cent of health problems can be and why are they useful? linked to inadequate water supply and sanitation, Water Integrity Studies can directly help national which claim the lives of 1.8 million children every year. governments to develop evidence-based In Africa, it is estimated that an amount equivalent to strategies to address corruption risks in the water about five per cent of gross domestic product is lost sector. From these, time-bound anti-corruption every year to illness and death caused by unclean action plans can be created, which can be water and poor sanitation facilities. monitored using concrete indicators. A Water While corruption risk in the water sector is manifested Integrity Study has two interrelated components: in various ways, it can be broadly classified as ‘petty’ 1. A Risk/Opportunity Mapping Study which or ‘grand’. ‘Petty’ corruption often refers to corrupt identifies weaknesses in national and regional transactions between a service provider’s staff and its institutions, and opportunities for corruption, consumers, such as bribes to speed up new then develops a set of anti-corruption connections to the water network or ‘inaccurately’ recommendations; metered water consumption. TI (2008) reports that corruption has the estimated potential to increase the 2. A National Baseline Survey which covers all price for connecting a household to a water network the components, actors, practices and by as much as 30 per cent. Meanwhile, ´grand´ institutions that make up the water sector. It is corruption, typically involves bribery in awarding of used to verify major corruption risks as well as large contracts. Recent studies highlight that confirm the efficacy of the action plan corruption is widespread in water sector and other identified under the Risk /Opportunity infrastructure contracts, with bribes often accounting Mapping Study. for 10 per cent or more of the contract value (CoST, Critical to the success of a Water Integrity Study 2009). ‘Grand’ corruption is frequently accompanied by is oversight by a steering committee consisting of poor quality work that can considerably reduce the leading water sector stakeholders and useful life of hydraulic infrastructure. representatives of key accountability organisations Corruption in the water sector exists within the wider from the sector. The steering committee should political economy of the nation state. Therefore when be charged with overseeing the implementation of analysing corruption risks in the sector, it is useful to the anti-corruption action plan, including its refer to broader data, such as TI’s Corruption modification as necessary. Perception Index (which ranks approximately 180 countries and territories in terms of how corruption is perceived among public officials and politicians). WIN and WSP, 2010 7 2. Piloting Water Integrity Studies in Uganda Uganda is one of the few countries in Africa to place corruption in the water sector high on the development agenda by pursuing an explicit anti-corruption strategy in the provision of water supply and sanitation (WSS) services. School child holding water canister. © Claudia Dewald/IStock WIN and WSP, 2010 8 Although Uganda is endowed with rich water 2.1. INTEGRITY ISSUES IN THE WATER SUPPLY resources, the delivery of safe water and sanitation to AND SANITATION SECTOR its citizens is hampered in part by poor governance Uganda is one of the few countries in Africa to place systems and corruption in rural and urban water corruption in the water sector high on the development services (Water and Sanitation Program and the Water agenda by pursuing an explicit anti-corruption strategy in Integrity Network, August 2009). Sixty-five per cent of the provision of water supply and sanitation (WSS) the population has access to safe water in rural areas, services. In 2006, as part of Uganda’s effort to improve although this includes significant regional disparities integrity within the WSS sub-sector, the Ministry of Water and dysfunctional water points. Access ranges from as and Environment (MWE) established a multi-stakeholder low as 12 per cent in north-eastern Uganda to more Good Governance Sub-Sector Working Group (GGSSWG) than 90 per cent in the south-west. In urban areas, tasked with recommending specific measures to access to safe water stands at 67 per cent. This breaks promote and monitor transparency, accountability and down to 74 per cent in large towns, which are under good governance. This process culminated in the the authority of the National Water and Sewerage creation of a Governance Action Plan to improve Corporation (NWSC), and 53 per cent in small towns. transparency and accountability in the sub-sector. (Uganda Water and Environment Sector Performance However, despite these laudable actions, progress in Report, 2010). implementing many of the measures or engaging with other non-state stakeholders was slow and FIGURE 1 Situating Uganda within Africa implementation of the action plan missed agreed targets. One of the key recommendations from TI’s 2008 Global Corruption Report: Corruption in the Water Sector was for the development of specific tools for measuring and diagnosing corruption in the sector. The third National Integrity Survey, conducted in 2008 and commissioned by the Inspectorate of Government (the Government of Uganda’s anti-corruption agency), called for sector-specific studies to be conducted in order to combat corruption more coherently. Against the backdrop of both these publications, the MWE’s Water and Sanitation Sub-Sector Good Governance Group initiated a Water Integrity Study in 2008, to better understand corruption in Uganda’s water sector. Supported by the Water and Sanitation Program (WSP) and the Water Integrity Network (WIN), this exercise consisted of two complementary studies designed to update the sector’s existing anti-corruption action plan: 1) a qualitative Risk/Opportunity Mapping Study of the WSS sub-sector, complemented by 2) a National Baseline Survey on how water consumers, providers, contractors and other stakeholders experience integrity in the provision of water.1 WIN and WSP, 2010 1 Additional detailed information regarding the Water Integrity Study design and findings is on the WIN website at: http://www.waterintegritynetwork.net/page/3175 2 Piloting Water Integrity Uganda Studies in Uganda 9 2.2. INSTITUTIONAL OVERVIEW OF UGANDA’S Private water suppliers, the majority coordinated WATER SUPPLY SECTOR through the Association of Private Water Operators (APWO), manage piped water services in small towns The WSS sector is comprised of a number of and rural growth centres. More than 200 NGOs work in institutions as outlined in Figure 2. Several participate the sector, of which approximately 150 are coordinated directly in the development of policy and the provision at the national level through the Uganda Water and of water and sanitation services at national, district Sanitation NGO Network. and community levels. These include the cross- sectoral Water Policy Committee (WPC) and, within The sector is funded by the Government (via the MWE, the Directorate of Water Resources Ministry of Finance, Planning and Economic Management (DWRM), the Directorate of Water Development), by revenue generated by water and Development (DWD), and the National Water and sewerage service provision, and by development Sewerage Corporation (NWSC), which is the largest partners through loans, grants, and earmarked and utility. Several other national-level ministries have general budget support. important roles that complement the mandate of MWE, which is the line ministry for the water sector. These institutions are overseen by four national oversight agencies broadly responsible for promoting good governance through the elimination of corruption. The agencies collectively work to advance independent oversight of government operations and fair, transparent public procurement. Ladies at a market, Kampala, Uganda. © Frank van den Bergh/Istock WIN and WSP, 2010 10 FIGURE 2 Water Sector Institutional Framework NATIONAL OVERSIGHT AGENCIES » Enforce accountability and integrity » Foster elimination of corruption » Promote good governance IGG PPDA OAG DEI » Provide independent oversight of government operations » Ensure fair and transparent public procurement NATIONAL MINISTRIES AND NATIONAL WATER UTILITY MoH MWE MFPED MoLG MoES MAAIF MGLSD » Policy setting » Regulation » Monitoring » Overall planning and coordination DWRM/DWO/NWSC » Quality assurance and guidance » Capacity development » Construction of water facilities in urban areas and water for production GGSSWG » Commercial, government, household and industrial customers DISTRICT LEVEL » Service delivery Local Government Private » Support to communities » Commercial, government, household and industrial customers DWO COMMUNITY AND CIVIL SOCIETY ORGANISATIONS » Operations and maintenance Communities NGOs/CBOs » Service delivery » Watchdog function » Advocacy KEY: CBO Community-based Organisation MFPED Ministry of Finance, Planning and Economic Development DEI Directorate of Ethics and Integrity MoH Ministry of Health DWO Directorate of Water Development MGLSD Ministry of Gender, Labour and Social Development DWRM Directorate of Water Resources Management MoLG Ministry of Local Government GGSSWG Good Governance Sub-Sector Working Group MoWE Ministry of Water and Environment IGG The Inspectorate of Government NWSC National Water and Sewerage Corporation MAAIF Ministry of Agriculture, Animal Industry and Fisheries OAG Office of the Auditor General MoES Ministry of Education and Sports PPDA Public Procurement and Disposal of Assets WIN and WSP, 2010 2 Piloting Water Integrity Uganda Studies in Uganda 11 2.3. WATER INTEGRITY STUDY National Baseline Survey IMPLEMENTATION To validate and substantiate the Risk/Opportunity Risk/Opportunity Mapping Study Mapping Study, a quantitative baseline integrity survey was conducted, focusing on experiences of corruption The overall objective of the mapping study was to among water service providers and consumers. The assess risks and opportunities to promote good survey demonstrated that baselines are useful not only governance in the Ugandan WSS sector, based on for the data they generate, but also the potential they existing data, legislation and interviews with key have to promote awareness among policy and informants. In particular, the study sought to identify decision-makers of citizen satisfaction with weaknesses in the legal and institutional framework government services. In addition, such studies are governing the sector which provide opportunities for important for monitoring and evaluation, as baseline corruption to arise. surveys can be used to measure change over time. The study focused on: The baseline survey involved structured interviews » identifying corruption risks at both macroeconomic based on seven tailored questionnaires, conducted with and sector levels respondents from seven target groups: » identifying institutional and legal bottlenecks » urban households in fighting corruption effectively » rural households » analysing accountability relationships » local government officials and incentive structures » water authorities » documenting anti-corruption best practice » the National Water and Sewerage Corporation » mapping key sector stakeholders for potential anti-corruption partnerships » private water operators » making specific recommendations on » private contractors strengthening integrity through a revised action The Uganda Bureau of Statistics was consulted to plan to improve transparency and accountability. ensure representative samples. To identify the main areas of opportunity for All questionnaires were translated into multiple local corruption, the mapping study examined how the languages and pre-tested, and the interviewers were sector is regulated, including an assessment of trained in interview techniques by the Inspectorate of external accountability agencies’ capacity to provide Government. The survey was administered and effective oversight of water institutions. In addition, it managed by a Ugandan consulting company. reviewed weaknesses in relation to procurement; the extent of political interference in the allocation of water projects; the capacity of local governments to implement water and sanitation projects under the decentralised system; and the ability of civil society and international development partners to hold the government to account. WIN and WSP, 2010 12 National Action Planning Workshop BOX 2 Why should a government address In September 2009, following completion of the water integrity? studies, a two-day National Water Integrity Workshop was held in Uganda’s capital, Kampala. More than 100 There are numerous salient reasons why a stakeholders validated the findings of the studies and government addresses corruption in the water jointly agreed on selected recommendations to update sector, including: the Ugandan Government’s existing anti-corruption » Improved service delivery and accountability to action plan. Participants included the Minister of State citizens, especially to poor people. for Water, senior MWE leadership, representatives from anti-corruption and oversight agencies, local » Attraction and retention of resources for government officials, utility staff, local and the sector from the government and international civil society and development partners. development partners. Delegates drafted an umbrella statement, supported » Reduced corruption helps original budget by the action plan, to guide enhanced accountability in targets to be met and contributes to the the sector over the coming three years. Participation achievement of the UN Millennium by senior Ugandan government officials ensured that Development Goals. discussions were meaningful, that proposed actions » Proven leadership, through openly tackling were endorsed and that follow-up at all levels of the corruption at sector level, which encourages water services sector would take place. The diversity other sectors and countries to follow suit. and position of Ugandan actors participating in the workshop was a critical factor in building ownership of » Improved status and reputation in the eyes the plan’s development and implementation. of the public. Presentations on global and local anti-corruption best practice provided opportunities for participants to learn and exchange experiences of how to improve integrity in the water sector. The workshop also provided a platform to build and deepen partnerships among the government, civil society and the private sector, as well as to follow up existing work to promote good governance in the sector. Sector Endorsement During the annual Joint Sector Review held in October 2009, the action plan was approved by the Water and Sanitation Sector Working Group, the highest decision- making body in the sector charged with providing policy and resource allocation guidance. In line with requirements, sub-sectors are now reporting progress on the plan (known as the Uganda: Water Supply and Sanitation Good Governance Action Plan) on a quarterly basis. WIN and WSP, 2010 13 3. Summary of key findings and recommendations Services and investments have been targeted towards affluent communities, at the expense of poor people. Housing along open sewer system, Kampala, Uganda. © Frank van den Bergh/IStock WIN and WSP, 2010 14 The study findings (see Box 3A and 3B) demonstrated interference. As a result, services and investments that inadequate integrity in the Ugandan water sector have been targeted towards affluent communities, at has resulted in loss of investment; exploitation of the expense of poor people. contractors; compromised professionalism; contracts To counter these malpractices, a number of key issued for personal gain rather than on the basis of recommendations were proposed for the revised competence or merit; resources lost through poor anti-corruption plan (see Box 4). quality and incomplete works; and political BOX 3A Primary findings of the Risk/Opportunity Mapping Study The Risk/Opportunity Mapping Study highlighted: for example regular value for money studies, a Tracking Study for the Water and Sanitation Risks Sector Cost Variation, and a Fiduciary Risk » According to TI’s Corruption Perception Index Assessment for the Water and Sanitation Sector. 2008, Uganda scored 2.6 out of 10, indicating a » The National Water and Sewerage Corporation high propensity for corruption countrywide. (NWSC), as one of the main institutions in the » There is an impressive institutional and legal urban water sector, was rated in the Third National accountability framework in place, but a huge Integrity Study as the one of the best institutions gap between this and levels of implementation. by the Ugandan public in terms of quality services. The NWSC leadership has demonstrated Opportunities commitment to fighting corruption and stands as » MWE has demonstrated commitment to combat an island of excellence in this respect. corruption by establishing a multi stakeholder, » The media in Uganda operate relatively freely Good Governance Sub Sector Working Group and and there is increasing recognition of the role of by putting in place an good governance action civil society. plan. MWE has also undertaken research through, WIN and WSP, 2010 Uganda 3 Summary of key findings and recommendations 15 BOX 3B Primary findings of the Baseline Study The Baseline Study confirmed: » The pervasiveness of ‘grand’ corruption in » For urban consumers, the implementation of the Uganda’s water sector. This finding was connections policy for new consumers sometimes confirmed by the Surveys of Private Contractors involves corruption. This finding was confirmed in (PCs) and Private Operators (POs): the Survey of Urban Households: » According to the PCs interviewed, » 46 per cent of all respondents had paid extra the average bribe related to contract award was money for connections. 10 per cent. » For rural consumers, Water User Committees » According to the POs interviewed, the average are perceived as corrupt and non-functioning. bribe needed to win PO management contracts This finding was confirmed by the Survey of was also reported as 10 per cent. Rural Households: » The pervasiveness of ‘petty’ corruption in » 90 per cent did not trust that their committee Uganda’s water sector This finding was used the maintenance fee correctly. confirmed by the Survey of Urban Households » The award of management contracts to private served by the National Water and Sewerage operators to run the WSS systems in small Corporation (NWSC) and POs: towns is subject to political interference. This » 58 per cent of PO customers and 56 per cent finding was confirmed in the Survey of POs: of NWSC customers knew of somebody who had » More than 80 per cent of the interviewees paid a bribe to get a meter bypassed. reported that political interference ranged from » Bribes to speed up access were more ‘common’ to ‘very common’ in the award of common under POs (69 per cent) than NWSC management contracts. BOX 4 Integrity Study main recommendations » Strengthen political will to ensure integrity in the » Support the right to information and adoption water sector at all levels. of consumer charters and innovative outreach programmes. » Introduce independent regulation functions to remove conflicts of interest in oversight agencies. » Improve procurement and contract management processes. » Strengthen corporate governance of urban water providers. » Adopt the use of Integrity Pacts – a signed promise between the government and bidders » Enforce MWE sector guidelines to local that neither side will offer, demand or accept government and ensure high-quality rural water bribes during the bidding for and execution supply facilities. of contracts. » Build the capacity of civil society organisations, » Strengthen and formalise links between the development partners and the media to monitor water sector and integrity institutions, including and hold the sector to account. the Public Procurement Development Authority, » Build local government capacity in contract the Directorate of Ethics and Integrity and the handling and management. anti-corruption courts. This should be done through joint training, and whistleblowing and outreach initiatives. WIN and WSP, 2010 16 4. Outcomes and next steps A common understanding of how corruption harms the sector and what can be done to reduce it was developed. Children in Uganda go off to fetch water; this may mean walking for many kilometers. © Duncan Purvey/IStock WIN and WSP, 2010 Uganda 4 Outcomes and next steps 17 4.1 Main Achievements Communication and media strategy An independent media is a critical tool in the fight against corruption. Although it is early to draw final conclusions, it is clear However, in order to manage interaction with the that the overall process of conducting a Water Integrity media effectively, a comprehensive communication and Study in Uganda has contributed to more than just the media strategy is needed. Such a communication revised action plan in the sector. So far, three main strategy should make explicit which information outcomes have been achieved: should be made publicly available, when and to whom, » First, the attempt to document the extent of water- for example, through press releases, press related corruption through a baseline survey led to conferences or the development of media-friendly open acknowledgement by top policy makers of materials in local languages for dissemination by radio corruption as a problem for the sector. and in the print media. In Uganda, the absence of such a strategy led to sensationalized, negative reporting in » Second, the inclusive and participatory manner in the press, although in fact a lot had been done to take which the studies were undertaken contributed to the sector forward. wide ownership of the findings. In addition, a common understanding of how corruption harms the sector Lack of political will Apart from the National Water and what can be done to reduce it was developed. and Sewerage Company which has actively pursued and dismissed personnel involved in petty corruption, » Finally, the workshop provided a unique forum for one of the challenges that persists is the absence of frank public discussion regarding corruption sustained, high level political will in the fight against between stakeholders who rarely share the same corruption. Political will is evident when the country's table. Since corruption is multi-faceted and involves leadership verbally denounces corruption, not only many diverse actors, this cross-sectoral, multi- dismissing errant officials, but allows them to face stakeholder dialogue was an important mechanism prosecution. When found guilty, seriousness is shown for effecting change. when such officials are barred from holding public If sustained, these three achievements will continue office within the sector or elsewhere in future. Raising to build integrity and reduce the level of tolerance the political will to fight corruption in the sector is one for corruption. of top priorities within the GGSSWG action plan. 4.2 Key challenges to date 4.3 Key ingredients for success to date Despite important achievements, key challenges still National ownership and an enabling environment need to be addressed in order to maximise success: The enabling environment and support for this work backed up by the national anti corruption strategy and Civil society capacity Civil society in Uganda is weak provided by the MWE, as demonstrated through the and has little capacity or confidence to hold the existence of the Good Governance Sub Sector Working government to account. This is particularly true for Group, created an excellent forum for involving key water sector NGOs, most of which are engaged in stakeholders from government, the private sector and service delivery rather than playing a watchdog role. civil society, and for obtaining their buy-in to the Uganda’s civil society weakness is further exacerbated process right from the beginning. The leadership by the poor links between water sector and within the government, as shown by the chairman of governance NGOs. The fact that water sector NGOs this group, was also critical to winning support from obtain a considerable share of their funding from the the top leadership of the Ministry. Similar government further threatens their independence and arrangements may not yet exist in other countries. may have prevented them from playing a more Even in favorable contexts such as Uganda, it took a meaningful role in the overall process. Therefore one lot of time to bring these issues to the table and to talk of the key recommendations of the Water Integrity about them in the open. Study was to build the capacity of NGOs to monitor and better hold to account the water sector. WIN and WSP, 2010 18 Relevance Undertaking a well-designed Water to be accepted by an array of actors. Within the Integrity Study is an important tool for developing anti- Ugandan process, this demanded dedicated staff with corruption strategies in the water sector. However, considerable time and resources, not only to oversee success depends not only on the content of such the survey design and subsequent analysis, but also to studies, but also on their process and timing. These communicate the process to stakeholders, to ensure it include setting up a multi-stakeholder group to was participatory and inclusive. oversee the preparation and implementation of the Partnership The entire process benefited from study. If not well-anchored within the government, the partnership within the GGSSWG whose members study can easily be refuted and its impact minimised. comprised the Ministry of Water and Environment Non-confrontational approach Tackling corruption is a (chair), the National Water and Sewerage Corporation, challenging and difficult task that can potentially the Inspectorate of Government, various local private endanger the relationship between governments, sector and civil society organizations, WIN and WSP. development partners and other stakeholders. The The partnership also benefited from the expertise Good Governance Sub Sector Working Group which brought on board by the Uganda Bureau of Statistics. comprises a diverse range of stake holders, led the Each organisation was able to tap into its respective initiative which reduced the risk that individuals or networks and skills in order to support and advance the organizations would feel unjustly targeted. In Uganda, process. WSP experience and established relationships this challenge was mitigated by a variety of factors, with the Government provided a critical entry point for such as the engagement of diverse stakeholders to WIN, whose specialised technical expertise on water own the findings of the Water Integrity Studies, as well integrity and survey design was key to the overall as the non-confrontational approach employed. No success of the programme. ‘naming and shaming’ took place and the focus was on Development partner engagement and support As identifying institutional weaknesses rather than with most development projects and programmes, individual cases of wrongdoing. This is based on a international development partner support is critical. belief that in order to improve integrity and effect Development partners, whether bilateral or change over time, maintaining the trust of all parties multilateral, provide important financial and political is critical. In addition, the positive concept of support and resources to in-country initiatives. promoting integrity in the water sector, rather than Ongoing dialogue with these agencies is essential, not explicitly combating corruption, was an integral only to achieve long-term goals, but to ensure a feature of the strategy in Uganda, in order to engage harmonised sector approach, rooted within national diverse actors. Anti-corruption actions are sensitive, government strategy. In Uganda, international and without new and improved strategies, combating development partners fund a considerable portion of corruption will remain challenging. the national budget and are influential partners in Sufficient time and human resources Accurately relation to the country’s development agenda, and this measuring corruption is complex, and results can be role proved to be valuable during the water integrity refuted; this is often the case with governance process. Apart from providing financial support and assessments based primarily on public perceptions or being active participants at the workshop, the when assessments have been undertaken exclusively development partners also played a critical role by by external actors. In addition, contributions from applauding the government for its efforts and by experts may be questioned due to perceived encouraging it to maintain momentum. The subjectivity or bias. Therefore the quality of the Development partners and GoU have accepted to methodological process and the manner in which include the follow of the implementation of the revised results are communicated is crucial if the results are action plan in the Joint Budget Framework (JBSF)/Joint Assessment Strategy (JAF). WIN and WSP, 2010 19 5. Implications for sector stakeholders and practice Typically action is hindered by a lack of coordination and accountability; apathy or fear of reprisal from the beneficiaries of the status quo, or outsider entrenched interests. Dam on the White Nile, Jinja, Uganda. © Klaas Lingbeek- van Kranen/IStock WIN and WSP, 2010 20 The representatives, stakeholders and partners in the conflicts of interest by separating functions of policy water and sanitation sector at the 2009 Kampala formulation, implementation and regulation. All these Water Integrity Workshop acknowledged that steps are elaborated in the action plan. corruption is real and that it was hurting the sector. In The GGSSWG is a demonstration of policy makers’ a joint closing statement they asserted that corruption recognition of their interdependence on the anti- had in many ways hampered sector growth and corruption skills of non-sector government agencies, damaged the trust of ordinary citizens. They further NGOs and development partners. The outputs of the agreed that the battle was too big for any one action plan will be as much an indicator of policy stakeholder to win alone, and that it would need to be makers’ willingness to be influenced and to change, as tackled jointly by government, service providers, anti- it will be of the motivation and effectiveness of non- corruption bodies, civil society, contractors, the media, governmental and cooperating partners in the development partners and the general public. GGSSWG, and members of the overall water sector In spite of this commitment, the danger remains, as is working group. often the case with difficult tasks, that the promise inherent within the GGSSWG action plan is not fulfilled. 5.2. WATER REGULATION Typically action is hindered by a lack of coordination and accountability; apathy or fear of reprisal from the Currently, in contrast to Uganda’s electricity sector, beneficiaries of the status quo, or outsider entrenched there is no independent regulator for the water sector. interests. This section discusses the implications of The action plan calls for a road map for moving sector implementing the action plan and suggests how regulation from within the MWE to an independent stakeholders can ensure that the momentum gained regulatory agency to oversee services in cities and by the Water Integrity Studies and the newly endorsed small towns. The independent regulatory unit within action plan is not lost. the ministry would do well to advocate for this road map to be in place by the end of the second year, while implementation should be pushed by members 5.1. POLICY MAKERS of the GGSSWG. There is a traditional proverb that says ‘a fish begins to The GGSSWG action plan prioritises this as an rot from the head’, which implies that leaders are important step to promoting good governance in the accountable for corruption that occurs under their sector. Its essence is separating the roles of policy watch, and if they do not tackle it, directly implicated. makers, service providers and regulation. Regulation For this perception not to apply to water sector policy should protect consumers from abuse by institutions makers, their leadership and commitment need to be with exclusive power; guard the sector from arbitrary unquestioned. The ministry responsible for water government action and promote economic efficiency. It affairs should embrace its leadership role and regularly would guide sector standards, provide a channel for communicate progress in implementing the GGSSWG citizen complaints and act as an impartial referee: action plan. By setting up the GGSSWG and launching balancing, judging and adjudicating various an action plan with the public, the ministry took a first stakeholder interests. This demands decision-making step in promoting accountability around this difficult without ulterior motives. For this reason, the ministry topic. It will make further progress by partnering with providing services cannot regulate itself. An anti-corruption institutions, giving priority to the larger established regulatory agency, with an independent risks in procurement and contract management budget that provides security of tenure for professional processes, implementing sanctions on corrupt staff, is needed. Its employees would then be free to individuals or firms, enforcing sector guidelines in both make and enforce unpalatable though necessary rural and urban services, and removing existing decisions to take the sector forward. WIN and WSP, 2010 5 Implications for sector Uganda stakeholders and practice 21 5.3. DONORS AND INTERNATIONAL of Uganda, the Uganda Anti Corruption Act, 2009, the DEVELOPMENT PARTNERS Uganda Access to Information Act and the Uganda National Anti Corruption Strategy. Donors are partners with government and, by extension, its citizenry. By supporting the implementation of the In spite of this, one sobering finding from the Uganda good governance action plan they are protecting Corruption and Risk Assessment is that an enabling citizens’ interests, especially those without voice and policy framework does not lead to action where there is influence. Donor partnership in the sector can help in no political will. Civil society must respond to the two ways. Firstly, it can sustain attention to the realisation that its role goes beyond small-scale service implementation of the action plan at policy level within delivery, in a sector that at district level spends many working groups and bilateral dialogue. And it can times the average Civil Society Organisation (CSO) promote local demand for good governance by annual budget. Instead, CSOs should focus on raising the supporting the role played by civil society. profile of political action against corrupt practices in the water sector. They should invest in understanding and using evidence to object to practices that reduce returns 5.4. UTILITIES, LOCAL GOVERNMENT AND on investment, allow unfair allocations and neglect poor DECENTRALISED IMPLEMENTING UNITS FOR people, and mismanage sector resources. CSOs will also RURAL AREAS need networks that engage grassroots communities and The Water Integrity Studies indicated that the priority in general strengthen citizens’ voices to create the for governance transformation at decentralised levels political will for change from the ground upwards. is the adoption of modern management practices. The GGSSWG action plan elaborates five steps to These include performance contracts, service increase CSO capacity – a demonstration of sector provision agreements and licences with incentives and commitment to recognising and exploiting the potential enforceable sanctions. Although these actions involve of the CSO role in catalysing good governance. The the local government, small towns and urban service action plan elaborates measures to enhance CSO bodies, initiation is the mandate of higher tiers of ability to work collectively, improve skills in advocacy, government. Within local power, however, is the enhance access to and understanding of sector establishment of forums to enable stakeholder information, and ensure they are taken seriously by discussion around plans, budgets and progress, and of improving CSO’s own internal transparency and mechanisms for representation and participation by accountability. CSOs must take advantage of these citizens and other stakeholders. These ensure that GGSSWG commitments to ensure that the action plan citizens’ voices, especially of poorer people, are is used to uphold the state-provider-citizen compact. channelled and acted on. Finally local level institutions will need to build public confidence by developing anti- corruption plans to guide staff using standard codes of 5.6. CONCLUSION conduct, and demonstrate zero tolerance for While this process is ongoing and has faced various corruption by dismissing wayward personnel. challenges, it has nonetheless been highly constructive in practice and for learning. A diverse range of 5.5. CITIZENS, INTERNATIONAL AND LOCAL stakeholders, including government, civil society, the CIVIL SOCIETY, AND COMMUNITY-BASED private sector and development partners, have all played ORGANISATIONS key roles and developed an important sense of ownership in the design and implementation of the Rarely have sector anti-corruption and good governance Water Integrity Study and subsequent action planning. goals been so clearly articulated and publicised as was This programme has exemplified an entrepreneurial the case in Uganda. Beyond this, a host of international, spirit, involving unique collaboration among all partners, regional and national commitments support the case which has promoted an innovative mechanism to tackle for the GGSSWG action plan’s implementation. corruption and promote integrity in the water sector. Important policies are beyond national legislation. Examples include the United Nations Convention against Corruption, the African Union Convention on Preventing and Combating Corruption, the Constitution WIN and WSP, 2010 22 REFERENCES CoST, 2009. The Construction Sector Transparency Initiative. London, CoST Secretariat, PricewaterhouseCoopers LLP. Gonzalez de Asis, Maria, Donal O’Leary, Per Ljung and John Butterworth, 2009. Improving Transparency, Integrity and Accountability in the Water Supply and Sanitation Sector. Washington, DC, The World Bank. Transparency International, 2008. Global Corruption Report 2008: Corruption in the Water Sector. New York, Cambridge University Press. Winsor Consult Ltd, August 2009. Baseline Survey on Integrity in the Uganda Water Supply and Sanitation Sector (Executive Summary and Main Report). Water and Sanitation Program and the Water Integrity Network. Water and Sanitation Program and the Water Integrity Network, August 2009. UGANDA: Risk/Opportunity Mapping Study on Integrity and Accountability in the Water Supply and Sanitation Sector (Executive Summary). WIN and WSP, 2010 23 Boy in canoe, Bunyonyi lake Uganda. © Dmitryp/Dreamstime WIN and WSP, 2010 WIN Secretariat WSP Water and Sanitation program c/o Transparency International Water and Sanitation Program - Africa Region Alt Moabit 96, 10559 Berlin, Germany The World Bank Group, Upper Hill Road Phone: +49 30 3438 20413 P.O. Box 30577, 00100, Nairobi, Kenya Fax: +49 30 3470 3912 Phone: +254 20 3226300 info@waterintegritynetwork.net Fax: +254 20 322 6386 www.waterintegritynetwork.net www.wsp.org