External Assessments: Uganda Baseline Survey on Water Integrity

1. External Assessments: Uganda Baseline Survey on Water Integrity Maria Jacobson, UNDP Water Governance Facility, SIWI

2. Improved Service Delivery and Accountability to Citizens By taking a proactive stand against corruption will attract new and maintain existing donors By reducing corruption original budget targets can be met contributing to the achievements of the MDGs Showing leadership by openly tackling corruption at the sector level will make other sectors and countries follow Status/reputation in the eyes of the public Why Should a Government Conduct a Water Integrity Study?

3. Promote awareness among policy and decision-makers on citizen satisfaction with government services Monitoring and evaluation as baseline surveys can be used to measure change over time Baseline Surveys are Useful Tools to:

4. Quantitative survey to validate/substantiate corruption risks identified in the Risk Opportunity Mapping Study by service users and providers Pre-coded questionnaires with seven respondent categories: Rural and Urban water consumers Local Government staff Water Authority representatives Contractors The main water utility Private Operators Uganda National Baseline Integrity Survey

5. Scope Identify approximate levels of financial resource leakages/corruption in the management of WSS systems experienced by respondent groups Assess the level of transparency in decision making processes related to allocation of water resources Determine the extent of illegal costs that consumers incur in the course of their interactions with WSS service providers Assess the levels of integrity among water authorities experienced by contractors and consultants in the sector Assess the poverty and gender impacts of corruption in the water sector

6. Implementation • MWE guidance right from inception, (e.g on sampling frames, questionnaire design) • Utility consulted on sampling frames-customers • Ombudsman’s officeinvolved during training of survey research assistants on interview techniques • Input from respondent groups to questionnaires design • Translation into local languages, pre-testing • Survey administered and managed by a Ugandan consulting company, guidance by Transparency International and the World Bank on survey design

7. Methodology • Sample design in consultation with Statistics Bureau • The survey covered rural and urban areas from the western, eastern, central and northern regions of Uganda • A three-stage sample design was adopted in the selection of interviews outside Kampala (District-Zones-Households)‏ • A total of 1883 respondents (1608 were consumers /85%, 275 institutions)‏ • Interviews conducted in discrete places and without discussions on on-going corruption cases. Names of interviewees were not recorded • Results triangulated between respondent categories and validated with documentation review

8. Urban Consumers Access to water services (type of connection) Consumer satisfaction with service provision (water quality, regularity of water flow, accuracy and timeliness of billing, speed of service) Knowledge on complaint procedures and satisfaction with handling of complaints Experiences of reporting corruption/reasons for not reporting Experiences of paying bribes to get a water connection, meters by-passed, quick service, avoid being disconnected Size of bribes- to see how poor households are affected by corruption

9. NWSC • Integrity in Human Resource Management (HRM), transparency of recruitment process‏, basis for promotion • Existence of code of conduct/ethics and disciplinary action in case of breach of the code • Existence of anti-corruption strategy and/or regulations handle conflict of interest situations • Management commitment to fight corruption • Existence of complaints mechanism, nature of complaints, duration to acknowledge complaints • Ranking of Departments and staff positions in terms of corruption • Most common forms of corruption • Experience of reporting corruption

10. NWSC • Budget and financial management: staff participation in budgeting, transparency and/or fraud in budget administration decisions, auditing • Procurement: awareness of procurement guidelines, existence and compliance to procurement plan, transparency during pre-qualification and tendering exercise, contracts variations/amendments • Political and/or personal interference in procurement • Causes of and solutions to corruption

11. Private Operators • Integrity in HRM, transparency of recruitment process‏, basis for promotion, existence of employment contracts • Existence of code of conduct/ethics and disciplinary action in case of breach of the code • Existence of regulations to handle conflict of interest situations and to protect whistleblowers • Management awareness of corruption • Access to services • Existence complaints mechanism, nature of complaints, duration to acknowledge complaints

12. Private Operators • Procurement: awareness of procurement guidelines, existence and compliance to procurement plan, type of procurement method, transparency during pre-qualification and tendering exercise, access to procurement info contracts variations/amendments • Political interference in the selection of the private operators • Percentage of contract value paid to win the contract • Management commitment to fight corruption • AC-clauses in Management Contract between Private Operator and Water Authorities • Staff participation in budgeting and financial management

13. Rural Consumers Access to water and type of water source used Satisfaction with water quality Community participation in planning, design and contract management of water facilities (location), (supervision, handover of the facility, display of contract details) Existence of and trust in Water User Committees (complaint mechanisms, accountability for operation and maintenance fees) Access to information– breakdowns, new projects, release of funds for water Factors influencing location of water facilities Value-for-Money in the Facility

14. Water Authorities Adherence to guidelines in selection of board members to avoid abuse and interference by local politicians Satisfaction with Remuneration Existence and adherence to business plans and/or documents spelling out rules/regulations Awareness of procurement regulations Transparency in the Selection of Private Operators Initiators of payment for Bribes Declaration of correct information by Private Operators Causes of corruption

15. LocalGovernments • Integrity in HRM - transparency of recruitment process‏, basis for promotion, satisfaction with salaries, disciplinary action taken against officials involved in corrupt practices • Factors influencing the allocation of water facilities • Procurement: use of biased tender documents, contract variations, political interference in tendering process, issuance of completion certificates to poorly constructed facilities • Budget and Financial Management: Community participation in budget processes, declaration of District water funds to the public, level of fraud & embezzlement

16. Contractors • Awareness of procurement regulations, type of procurement methods used • Information about Tender Opportunities • Pre-qualification process:conflict of interest resulting from participating in both preparation of technical bid documents and bidding, time for bidding • Contracting Process: transparency in the bid evaluation process, time taken to have invoices paid • Payment of a bribe as a proportionof contract value

17. Cross Cutting Issues - Gender • Participation of women in water management activities/decision-making processes • Coverage and access to safe water- implications for women

18. Cross Cutting Issues - Poverty • Correlation between distance to water source and income levels • Correlation between problems experienced with the water supply service and income levels • Problems worse in informal settlements for the urban poor

19. Citizen Report Cards