Part 2 - Business Plan

General information

eThekweni Municipality (ETM), as the responsible Local Authority for the newly consolidated Unicity, has embarked on a Basic Water and Sanitation Programme (BWSP) in the rural and peri urban areas within its jurisdiction.

The ETM has adopted a policy that basic water and sanitation services should be provided under a single programme. Thus, the programme has been designed to provide an acceptable basic level of free potable water, an appropriate and sustainable sanitation service and health and hygiene education to those disadvantaged, predominantly rural and peri-urban communities, where a higher level of service is both unaffordable and inappropriate. The 5-year target as set out in the Integrated Development Plan 2003 to 2007 dated June 2003 (IDP) is to reduce the sanitation services backlog by 25% and to reduce the backlog in potable water supply by 100%.

The ETM piloted a basic Basic Water and Sanitation Programme in the Mzinyathi Area. This represented the first intervention by the Ethekwini Water and Sanitation Department (ETWS) into the newly incorporated areas. Since then a further 19 projects have been identified and are in various stages of development. The programme is in accordance with one of the primary outcomes of the ETM’s Integrated Development Plan 2003 – 2007, which is to extend services to all.

This document provides an overview of the programme and records the adopted adjusted methodologies now employed following a period of trial and adjustment which have now received approval and support from a variety of sources.

Purpose of the Business Plan

The purpose of the Business Plan is to:

• Provide an overview of the Basic Water and Sanitation Programme,
• Document the adopted approach that will ensure consistency in the delivery of integrated basic water and sanitation services in the eThekwini Municipal area.
• Set up an arrangement whereby funds can be obtained from DWAF or CMIP to implement the various projects forming part of Basic Water and Sanitation Programme.
• Set out and record protocols for the implementation of projects forming part of the Basic Water and Sanitation Programme.

2.1.3 Format of the Business Plan

The format of the business plan is set out as follows:-

Part 1 – an executive summary of the business plan for those readers who do not wish to read the details.

Part 2 – a detailed explanation of the programme for the rural areas together with a detailed description of the processes and protocols presently being used in the programme.

Part 3 – appendices in support of Part 2

Area background information of the eThekwini Municipality

2.2.1 Location

The ETM is the only Category A Metro Municipality in the province of KwaZulu Natal. It is bounded by the Ugu District Municipality (DC21) to the south, the Ndlovu District Municipality (DC22) to the west, and the King Shaka District Municipality (DC29) to the north and the Indian Ocean to the east.

The ETM’s area of jurisdiction is the newly demarcated Durban Metropolitan Unicity Municipality area (refer to Map 1). The new area includes the previous Durban Metropolitan area as well as portions of the old Ugu, Ndlovu and Ilembe Regional Council areas, situated within KwaZulu Natal.

2.2.2 Target Areas

The target area for the implementation of the Basic Water and Sanitation Programme is the area lying between the Waterborne Sewerage Line and the outer limits of the Unicity Boundary

The "Waterborne Sewerage Line" is a line, which in turn defines an area, established by the ETWS, within which it is considered that it will be technically and economically feasible to plan for waterborne sewerage as an option to its customers.
Further the basic level of water and sanitation will be implemented in areas;

• Where the basic level of potable water supply is planned, and
• Where conditions are appropriate for installation and operation of dry sanitation systems, and
• That are not serviced by municipal waterborne sewerage and where such provision is not anticipated in the short to medium term or not anticipated at all according to ETM programme for sewering of the Unicity area.

2.2.3 Demographic Data

Large portions of the ETM (ex Durban Metro areas) already have a higher level of sanitation service comprising waterborne sewerage or septic tank sanitation. These areas have been specifically excluded from this business plan and the demographics in the Business Plan only relate to the outlying rural areas with inadequate or no form of sanitation.
The estimated total population of the ETM is approximately 3 million. The estimated population within the Target Area is approximately 364 000 people who currently have inadequate or no basic sanitation. These figures are based on 1996 census figures adjusted to 2000. A zero percent grown rate has been used beyond 2000.

2.2.4 Existing Sanitation Status

Households

ETWS have recently completed a data gathering exercise during which co-ordinates and addresses of households in the Unicity were collected. Households falling within the Target Area generally have inadequate levels of sanitation and/or water supply.

In addition, there are areas where households have been provided with full pressure water but which have no sanitation and where assistance will also be required.

Note - inadequate sanitation has been defined as the service level where a household has an unimproved pit latrine i.e. long drop or bucket system or no sanitation facilities at all.

2.3 Legislative Framework and Adopted Policies

2.3.1 National Acts and Local Ordinances

The Water Services Act (108 of 1997) and the National Water Act (36 of 1998)
The Water Services Act (108 of 1997) (WSA) and the National Water Act (36 of 1998) (NWA) provide the legislative framework within which water supply and sanitation services and water use need to take place.

The WSA requires the Municipality to draw up and implement a Water Service Development Plan (WSDP) within the framework of Integrated Development Plans (IDP). This brings the right of access to basic water services into the planning and budgeting process.

• The National Sanitation Policy
• The National Sanitation Policy2 contains various definitions relating to sanitation as follows:-
• The term sanitation refers to the hygienic principles and practices relating to the safe collection, removal or disposal of human excreta, refuse and waste water, as they impact upon users, operators and the environment.

The term ADEQUATE SANITATION for a household means the provision and ongoing operation and maintenance of a safe and easily accessible means of disposing of human excreta and waste water, providing an effective barrier against excreta-related diseases, which is used by all members of a household, and does not have an unacceptable impact on the environment.

The term BASIC LEVEL OF SERVICE for a household means a VIP (Ventilated Improved Pit) latrine (in its various forms, to agreed standards) or its equivalent in terms of cost, robustness, health benefits and environmental impact; together with ongoing exposure to readily understandable information about correct hygiene practices.

Prior to determining which sanitation option to proceed with, the Council accepted a policy on sustainability, which was underpinned by the principle that "the only sustainable on-site household sanitation option was one which the householder could sustain himself".

Local Authorities Ordinance (Act No. 25 of 1974)

Cognisance has been taken of the responsibilities and constraints imposed upon the ETM by
the Local Authorities Ordinance with particular reference to:-

• The provision of services
• Access to private property

2.3.2 Policies

Programme Implementation

The provision of basic level water and sanitation services will be implemented under a single programme. An integral part of the programme will be systematic health and hygiene education.

The basic level of sanitation will be implemented in those areas where the provision of the basic level of water supply is planned. These areas will be denoted as Project Areas.

Programme Management

The Construction Branch of the Ethekwini Water and Sanitation will act as the Programme Managers. Staff employed by the Construction division will generally be used to manage individual projects.The Construction Branch will be responsible for the purchase and supply of materials, general supervision and the provision of training.

Utilisation of Service Providers

External consultants will be used to provide additional resources for the implementation of the programme where necessary.

Community Participation

The ETM is committed to ensuring community participation and recognises that it is critical to the success of projects.
A Projects Steering Committee (PSC) will be formed for each project such that the community can be represented. The PSC will act as the channel of communication between the community and the ETM. The PSC will not be responsible for deciding the level of service nor for the financial management of the project but will act as the communication conduit between the
community and the EWS

Education, Training and Capacity Building

Training and capacity building will be carried out through a structured health and hygiene education process. ISD Consultants will be used to train facilitators from the community who will then train the householder. Standard education and training material consisting of posters, pamphlets and handouts developed by ETWS will be made available for use by the ISD consultants.

Focus on Women

The involvement of women is seen as being essential to the success of the programme. At all stages of individual projects the Programme Manager will ensure that the women of the community are involved in decision-making and implementation.

Labour Intensive methodologies

Labour intensive methodologies will be used in all phases of the individual projects.

Employment Policy

Local labour will be employed on a task basis to carry out construction of the trunk water mains .

The employment policy for task related work will be as follows:-

• The most needy individuals within the community will be identified by the PSC and employed to carry out task related work within the area in which they live.
• In general priority will be given to women, youth, unemployed and single headed households.
• Disabled people will be given an opportunity to participate in this programme, on an equal basis, wherever possible. 

Training

Training will be provided by the Construction Branch to local contractors and workers on how to build toilets

2.4 Levels of Service

2.4.1 Water

The adopted level of service is 200 litres of free potable water supplied by an automated electronic bailiff to a 200-litre ground tank, which is filled daily.  The backbone of the system is a conventional pressurised reticulation. The reticulation is laid within the road reserves of the recognised rural road network. The pipes are laid according to SABS specifications using labour-based construction methods.

Communal mains are laid from the council mains along the footpaths and tracks used to access people’s homes. These are small diameter plastic pipes and extend to within 200 metres of every house. Community mains usually supply between 15 and 30 consumers.  The homeowner is required to excavate a 300mm deep trench and lays a 15mm plastic pipe from the tank to the community main – the laying of this pipe is the responsibility of the household. A local contract plumber installs and connects a 200-litre tank on a plinth at their house. The tank inlet is controlled by a float valve arrangement, its maintenance is the responsibility of the home owner.

2.4.2 Sanitation

The adopted level of service is a urine diversion toilet consisting of two chambers or vaults constructed above or slightly below the ground.  The vaults consist of a block work chambers with an impervious floor – the size of the vault is 0.926 m3 (generally smaller than a conventional pit toilet).

The superstructure consists of a brick walls having internal dimensions of 1160mm by 910mm wide. The roof is galvanized IBR profile 0.6mm thick sheeting. The floor of the toilet consists of 40mm thick reinforced precast panels that are transported to site and then, once placed in position, receive an in-situ structural topping.

Pipework (32mm diameter) is cast into the structural topping and is designed to allow urine to be diverted to an external soakaway positioned some meters away from the toilet.

Holes in the floor slab allow a pedestal to be position over one of the vaults while the other is covered with a plug. The pedestal is designed to allow urine to be collected separately and flow, via the soakaway, into the surrounding soils (as opposed to being allowed to mix with the faecal matter). The pedestal is designed such that it can be moved from one vault to the other.
While the faecal matter is being collected in the one vault, the other is kept empty. Additional sand (ash, lime or soil) is added to the faecal matter to assist in drying. The contents of a chamber needs to be regularly agitated e.g. the pile needs to be flattened.

When first the vault is full, the pedestal is moved and positioned over the second vault. The first vault is then sealed off, and the contents allowed to dehydrate and solidify until the second vault is full. When the second vault is full, the contents of the first vault are then emptied and disposed of. The first vault is then used to collect the faeces while the contents of the second vault is allowed to dehydrate and solidify. The cycle is then repeated as many times as required.

2.5 Genearal Management of the Programme and the Projects

2.5.1 Programme Management

The Basic Water and Sanitation Programme is managed by Ethekwini Water and Sanitation in close collaboration with the eThekwini Health Department.

2.5.2 Project management

The Construction Branch of Ethekwini Water and Sanitation will act as the programme manager, using their own staff to project manage and using local labour on a task basis to carry out construction activities. The project manager appoints the ISD consultant and a site agent.  For project specific tasks, ISD consultants, engineers and hydrogeologists are employed. Specialist civil consultants and hydrogeologists are used as required for geotechnical and environmental inputs. The adopted simple design ensures that the need for engineering consultants is limited.

ISD consultants play a more substantial role throughout the project cycle. They are responsible for "informing the community about the project, confirming demographic data, awareness creation, promotion of health and hygiene, training of local community committees and liasing with tribal structures (where applicable), and councilors". Local facilitators are employed by the ISD consultants to carry out health and hygiene education, training and capacity building.
A Project Steering Committee is formed for each project to allow local representation and participation and to act as a communication mechanism between the community and the programme manager. In order to initiate the process either the Ward Councillor or the Project Manager acts as a temporary Chairperson and initiates a process whereby a Chairperson for the PSC is elected by the community.

Members of the PSC are paid for attending monthly committee meetings - all other services are voluntary.

• Households are involved in a number of ways as follows:-
  They decide with the contractor where the toilet will be constructed.
• They are required to excavate the trench from the communal supply point to the position of the water supply tank
• They are responsible for backfilling the trench once the pipe has been laid
• They are required to operate the urine diversion toilet and empty the vault contents as required.

2.6 Project Implementation

2.6.1 Introduction

There will be a significant number of projects undertaken under the Basic Water and Sanitation Programme. Thus, it is considered necessary that a standard methodology is adopted in the way the projects are implemented. The Programme Manager will be responsible for ensuring that the various projects follow this methodology.

Each project will be divided into two phases viz. The Planning Phase (task groups 1 and 2) and the Implementation Phase (task groups 3,4 and 5). The sequencing of tasks within each phase is seen as being critical to the success of each project.
Note: An Implementation Protocol Guideline for the Programme Manager has been developed which gives a detailed description of the phases and tasks associated with a Water and Sanitation Project.

2.6.2 Task group 1 - prioritisation of projects

Projects will be prioritized based on the following headings: -

• Health related incidences – this will generally carry the highest weighting factor.
• Technical feasibility
• Provision of funding,
• Availability of resources.

The Programme Manager will be responsible for final decisions regarding the prioritization of projects.

Health

The eThekweni Health Department has noted that the incidence of cholera re-occurs every 3 – 5 years in areas that do not have access to potable water and sanitation. Intervention programmes consisting of intensive health education are not as successful as the provision of suitable water and sanitation. With this in mind, criteria for the prioritisation of water and sanitation projects have been drawn up. The criteria listed below would each be given a weighting factor and then each area would be allocated a weighted point score based on the prevalence of pathogens and the absence of rudimentary infrastructure.

The criteria, which would be used for evaluating the status of the areas, are as follows: -

• The incidence of cholera and other diarrhoeal and water borne diseases.
• Source of water e.g. river, dam, groundwater etc
• Existing sanitation
• Walking distance to the water source
• Solid waste disposal practices within the community

A list of projects has been prioritised and has been presented to eThekweni Council for approval and implementation.

Technical feasibility

The listed project areas would initially be prioritised based on health factors. The technical feasibility would involve an assessment of the complexity of providing water to an area (location of reservoirs, bulk supply lines etc) and the cost of implementing such a service.

It is envisaged that the order of the projects would not be significantly altered by the technical feasibility study but could be significantly altered by the availability of funding and of resources.

Funding and availability of resources
Whilst it is recognised that the health and technical aspects will dictate the order in which projects are undertaken, it is recognised that the availability of funding will determine whether a project proceeds.

Certain projects may receive specialised funding and then the availability of resources would dictate whether the project proceeds or otherwise.

2.6.3 Task group 2 – project planning

This involves the upfront investigations and engineering, budget developments and council approvals.

External consultants are used to carry out field assessments, the results of which are then assessed and intervention strategies developed. Once the intervention strategy is fully developed, funding and approval by Council is sought.

Typically the answers to the following key questions will be considered during this phase:

1. Is there a need for sanitation in the area?
2. Is ground tank water supply appropriate and acceptable?
3. Are there areas within the project boundaries where on site sanitation is unsuitable or where special precautions needs to be taken?
4. Are the sites or plots less than 250m2 in size?
5. Is the average slope of the ground is greater than 1:3?
6. Is there a risk of polluting the groundwater?
7. Do the soils have a permeability of less than 50 mm/hr?
8. What special precautions need to be taken to protect the environment?
9. What Environmental Management Plans during Construction need to be put in place?
10. Is the political environment conducive to the implementation of a basic water and sanitation project?

ISD Consultants are then appointed and facilitators from within the community are selected and trained. A Project Steering Committee (PSC) is established. Ideally, the PSC members will be elected from existing development committees in the project area. ETM officials will address gaps in knowledge of the technical issues of water and sanitation supply during PSC meetings. Each project committee will be briefed on the roles and responsibilities expected from members during the implementation of the particular project which forms part of The Programme.

PSC members will be paid a fixed amount to offset their cost of attending meetings– it is intended that their services are voluntary and that the payment is for transport costs etc. A Technical Management Committee (TMC) will also established as a smaller sub committee of the PSC. The TMC members attend to daily issues and as such receive payment for their services on a daily basis.

Note that the cost associated with the bulk supply lines and reservoirs will be funded by the Council.

2.6.4 Task group 3- project implementation

This involves the mobilisation of the project management and construction teams, ordering of materials and setting up a central construction camp within the community. The facilitators that have passed the training programme are then sent into the community, households are visited, the project explained, and the prescribed health and hygiene awareness programmes are initiated.
The application procedure for individual households to receive a water connection and assistance in provision of a toilet, requires a commitment to the sweat equity principles and connection fees for water supply

In order to meet the production rates and keep the cost of the toilets units as low as possible, local contractors will be used to construct the toilets. All materials are managed and supplied by the ETWS.

In order for the householder to obtain a free water supply, the trenches must be excavated from the communal mains to the position of the ground tank. Further, the pipe work must be laid and the ground tank positioned. ETWS will only make the final connection to the water main after all work is inspected and complete.

It is recognised that production rates are dependant on material supply, weather conditions and site accessibility but the goal is to provide between 600 to 1000 water units per month.
Once the work on site is complete, a final inspection is held whereby the facilities are handed over to the householder and become the householders responsibility to maintain.

2.6.5 Task group 4 – capacity building and education

Technical skills during construction

All construction work for the laying of the bulk mains reticulation, community mains and construction of the toilets will be conducted using local contractors and labour supported by the Construction Branch. Local building contractors will be identified and trained to manage the pipeline laying contracts and the construction of toilets. The labour will be changed every 1 to 2 weeks to enable every household in the scheme an opportunity to earn money to pay for the connection fees.

Operations and Maintenance skills

The scheme will be operated and maintained by ETM Operations Department. Registered plumbers in the community will be encouraged to apply to this Department for inclusion on the roster of private contractors employed to complement municipal employees in attending to faults in the reticulation system.

Affirmative Procurement Principles and Tendering

All orders placed for materials and services for this contract will be subject to the eThekwini Councils affirmative procurement regulations.

Small Business Development

Site Agents will ensure that local plumbing and concrete block making businesses are developed and that guidance and necessary training is provided such that these businesses deliver goods and services on a sustainable basis. It is anticipated that there will be an ongoing demand for these goods and services in the community and surrounding areas after the contract is complete.

SD Consultants and community facilitator training

Training at household level is done by facilitators who live within the community. An ISD Consultant is appointed and is then provided with a set of training materials prepared by the ETWS. The ISD Consultant is then responsible for selecting (in consultation with the PSC and the Councilor) a number of facilitators who undergo a two-day training programme at an ETWS training venue.

All facilitators receive the same training and materials thus consistency is maintained. Once the facilitators have been trained and have passed the required tests, the ISD Consultant is then responsible for coordinating the individual household visits and the dissemination of information throughout the community.

Disposal of greywater and vault contents

Greywater disposal and drainage issues in general and their impact on health will be addressed as part of the education program. Households will be trained on the safe disposal of grey water.
Major problems with the disposal of greywater are not foreseen in areas where the plots are larger than 500m2 (>500 m2) bearing in mind that the quantity of water on a site will be limited to 200 litres a day. For plots less than 350m2, a purpose built soakaway will be included in the construction.

The disposal of the chamber contents will necessitate particular attention. Whilst it is established technology that the chamber contents, if allowed to dry over a period, will transpose into friable compost, the success of this will depend on the care that is given by the householder in ensuring that the toilet is properly used initially and later in ensuring that the chamber contents remain dry.

The rate of kill –off of pathogens and the factors affecting this needs further research and the WRC has been approached in this regard for assistance. A disposal policy will be developed in time as further experience is gained both on the ground and as a result of the research through WRC. It is however envisaged that the development of small business operations, offering an emptying service will be part of the solution. Those households who chose not to empty the chambers themselves and who have the money may employ the services of others to do the work.

It is accepted that an ongoing intervention programme with each community receiving a toilet system will be necessary. The ongoing programme will be designed to correct usage patterns and address any cultural issues.

2.6.6 Task group 5 - Monitoring and evaluation

The ETWS has appointed the Human Sciences Research Council (HSRC) to monitor the effectiveness and acceptance of the project goals and health and hygiene education.

Facilitators are tested, a few weeks after they have completed their training, on their knowledge of the project and on health and hygiene aspects of their training. Households that the facilitators have visited are also interviewed to determine the effectiveness of the facilitators presentations. Results of these surveys are assessed by ETWS and intervention measures put in place e.g. certain facilitators could be asked to attend additional training.

In addition community focus groups are interviewed in order to continue the process of monitoring peoples understanding of the water and sanitation project. The main purpose of this process is to understand the community reaction to the Basic Water and Sanitation Programme and to identify problems at an early stage such that interventions can be put in place.

2.7 Financial

2.7.1 Financial Policy

The source of funding for the Basic Water and Sanitation Programme will be grant funding from DWAF and/or CMIP supplemented by ETM monies for the bulk water supply portion of the project. The ETM will provide bridging finance as required.

In delivering a combined package of both water and sanitation, the consumer will receive an enhanced service at a reduced cost.

2.7.2 Grant funding requirements per installation

The cost of delivering the proposed water and sanitation installation per household is indicated below

2.7.3 Capital Cost Estimate for the target area

Based on an estimated 62800 households within the target area requiring assistance over the envisaged programmes duration (10 years) and making provision for 6% escalation on costs, a total of R 460 million is required.

2.7.4 Breakdown of Capital Cost Requirements and Grant Funding Requirements

Table 8.4 below indicates the activities within the basic water and sanitation programme to be funded by the eThekwini Municipality, using their own resources and those activities for which grant funding is required. 

Table 8.4

2.7.5 Operating and Maintenance and Provision for Recurrent Expenditure

Sanitation beneficiaries will be trained through workshops and awareness campaigns on the correct procedure and use of the toilets and how to operate and maintain them.  The responsibility for emptying the pits will rest with the homeowner. The cost implications of emptying the pit will not be high and will only cost the homeowner time and manual labour.

Formal transfer of the sanitation infrastructure to the household will take place and thereafter full responsibility for operation and maintenance will rest with the homeowner. Based on assessments conducted in the field the requirement for ongoing support has been identified. This support will be provided for by the ETWS in the form of facilitators who were involved in the project being temporarily employed by the ETWS

2.8 Reporting

2.8.1 Monthly reports

Monthly reports will be provided by the Programme Manager to the Councillors. The reports will deal with progress, problems, cash expended and labour employed.

2.8.2 HSRC Reports

HSRC reports on field monitoring will be presented to ETWS such that the results can be reviewed and additional intervention strategies developed as required.

Integrated Development Plans are strategic planning instruments which form the centre of planning for service provision of local government and guides all planning, budgeting and decision making in a municipality in terms of Chapter 5 of the Municipals Act 32 of 2000
National Sanitation Policy - Draft White paper prepared by the National Sanitation Task Team, November 1995