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To cite this article: Guy Howard , Sam Godfrey , Sarah Tibatemwa & Charles Niwagaba (2005)
Water safety plans for piped urban supplies in developing countries: a case study from Kampala,
Uganda, Urban Water Journal, 2:3, 161-170, DOI: 10.1080/15730620500236567
{Department for International Development (DFID), United House, 10 Gulshan Avenue, Gulshan 1, Dhaka 1212,
Bangladesh
{Water, Engineering and Development Centre (WEDC), Loughborough University, Leicestershire LE11 3TU, UK
National Water and Sewerage Corporation, Jinja Road, Kampala, Uganda
}Public Health and Environmental Engineering Laboratory, Department of Civil Engineering, Makerere University,
Kampala, Uganda
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The World Health Organisation (WHO) promote the use of water safety plans (WSPs) in
the 3rd edition of the Guidelines for Drinking-Water Quality (2004). WSPs place an
emphasis on risk assessment coupled with risk management, with simple indicators to
monitor process control and periodic verication through audit and microbial indicators.
A WSP was developed for the Kampala piped water supply in Uganda by the National
Water and Sewerage Corporation. The use of risk maps was found to greatly aid the
identication of hazardous events in the distribution system. A validation exercise was
performed that showed the WSP was properly designed. The study shows WSPs can be
successfully developed for utilities in developing countries and oer signicant cost
savings in water quality control. Senior management endorsement was found to be
essential to provide the authority to develop and implement the activities required for
eective water safety management.
1. System assessment
Identication and printing of maps Senior engineer I A R I A
Field work Engineers I A I R A
Reporting and data analysis Engineers I A I R I
Transport arrangements Principal analyst R A A A I
Management of logistics Principal analyst R A A A I
Co-ordination Principal analyst R A I I I
2. WQ assessment
Laboratory analysis Principal analyst R A A I I
Sampling Principal analyst R A A I I
Transport Principal analyst R A A A A
Co-ordination Principal analyst R A I I I
Report and data analysis Principal analyst/Quality R A I I I
control manager
Logistics Principal Analyst R A A I I
Training for WQ analysis Consultant I A A I R
WQ assessment preparation Consultant I A I I R
However, the relatively limited industrial development in this alone was not adequate. Even more dicult was
Kampala and the nature of source suggests that chemical to assign the severity component in the distribution
threats remain relatively insignicant. systems. To do this, rstly the team had to be sure where
For each hazardous event, a qualitative risk ranking water from any single point where a hazardous event may
exercise using the approach developed by Deere et al. occur would travel and therefore how many people would
(2001) shown in table 2 was performed to determine the be aected.
level of priority that should be allocated to the event. This was further complicated by the variability of service
For the treatment works, this process was relatively level enjoyed by the population. Some households had
simple as records were adequate and expert judgment water supplied with multiple taps, some households had a
allowed denition of likelihood of event occurrence. As a single tap in their yard and some households relied on
failure in treatment can be expected to aect all the system communal taps. In the latter category in particular, there
served by the system, the severity component was also was further complication as many such households do not
relatively straightforward. rely solely on tap water for domestic needs but also use
For the distribution system, this exercise represented a alternative sources (Howard et al. 2002). Socio-economic
considerably greater challenge due to the lack of visibility status also varied signicantly within the population, which
of buried pipes and the lack of quantitative leakage data in has been shown to be linked to vulnerability to infectious
the Kampala system. Zoning of the system into 6 major disease (Payment and Hunter 2001, Howard and Bartram
supply zones, based on service reservoirs and treatment 2005). Therefore, evaluation of socio-economic status of
works, and 22 sub-zones was undertaken to allow the the population was included as a means of dening severity
system to be assessed in a systematic way. Historical of impact.
sanitary inspection, water quality and consumer complaints To overcome these problems, the team developed risk
provided some indication of the likelihood of contamina- maps of the distribution system that brought together
tion events occurring. However, as the nature of some environmental, infrastructure and socio-demographic data
events was highly dependent of the wider environment, to assist in dening hazardous events, likelihood of
Water safety plan in Kampala, Uganda 165
Microbial Birds faeces enter through vents because covers Likely Major Very high
dislodged
Microbial Birds faeces enter through open inspection hatches Likely Major High Very high*
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occurrence and severity of impact (Godfrey et al. 2004). As The operational audit at the treatment works involved
described in detail by these maps used physical attributes as assessing the performance by the operators of key tasks. It
a means of dening the vulnerability of the pipes to is also involved measurements of ow rates and retention
hazardous events and this was combined with environ- times through each treatment step and assessment of dosing
mental data to determine the nature of the hazardous procedure and concentrations. The team used a proforma
events and the likelihood of occurrence. based on examples of materials from the UK Drinking
Water Inspectorate and a proforma originally developed
for application in Zimbabwe.
3.4 Validation
Within the distribution system, water analysis was
The WSP was validated through a water quality assessment restricted to E. coli and faecal streptococci. C. perfringens
and audit exercise that was designed to evaluate whether was not included because it was considered that positive
the WSP had correctly identied hazardous events and results would be dicult to interpret because this organism
whether the control measures proposed would be adequate is so robust its presence could indicate old contamination
to assure water safety. At the treatment works, validation rather than recent contamination. The somatic coliphage
included a detailed evaluation of operation and analysis of were restricted to the treatment works because the team
four microbial indicator organisms: Escherichia coli, faecal were evaluating its use in Kampala (as no previous work
streptococci, Clostridia perfringens and somatic coliphage. had been undertaken to assess whether this was in source
Sampling was performed over three consecutive days, and waters) and therefore a more limited experiment was
repeated for two weeks. undertaken.
166 G. Howard et al.
Table 4. Extract of control measures, critical limits and monitoring for Kampala distribution system.
Critical limits Monitoring
Hazard event Cause Control measure
Target Action What When Who
Microbial Bird faeces enter Vent covers remain Vents covered 50% of vent Sanitary Weekly Operating
contamination of through vents in place support struts inspection sta
service reservoir because covers are damaged
from birds dislodged
Microbial Bird faeces enter Inspection covers Inspection covers Inspection covers Sanitary Daily Operating
contamination of through open remain in place locked in place not in place or inspection sta
service reservoir inspection hatches unlocked Chlorine
from birds residual
Microbial Bird and animal Inspection covers Inspection hatches Visible signs of Sanitary Quarterly/ Operating
contamination of faeces enter and hatches are and covers show no damage or inspection annually sta
service reservoir through damaged kept in good visible sign of corrosion
from birds and or corroded condition damage or
animals inspection hatches corrosion
Microbial Rodents or Vent covers Vents covered 50% of vent Sanitary Weekly Operations
contamination of amphibians enter remain in place support struts inspection sta
service reservoir service reservoir are damaged
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basic water quality analysis (chlorine residuals, turbidity, Table 5. Summary verication plan for Kampala supply.
pH and temperature) and sanitary inspection using forms Unit Process Verication
developed modied from models used in previous projects
(WHO 1997, Howard 2002). What When
The data from the eld assessment showed that the Source water Operational reports Monthly
majority of hazardous events were correctly identied, but and audit
noted some additional events could occur in specic parts Coagulation/ Escherichia coli Weekly
occulation
of the system. These were incorporated into the hazardous
Faecal streptococci Weekly
event matrix and the likelihood and severity of potential Clostridium Weekly
impact reviewed. perfringens
Record audit Monthly
Filtration Escherichia coli Weekly
4.1 Control measures and critical limits Faecal streptococci Weekly
Clostridium Weekly
The control measures and critical limits were primarily perfringens
based on the ndings of the eld assessment in order that Disinfection Escherichia coli Weekly
these reected the actual situation prevailing within the Faecal streptococci Weekly
system. The team found that dening critical limits had to Clostridium Weekly
perfringens
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one sample from the nal water at the treatment works and The whole WSP approach for Kampala has been
in three samples from the distribution system. In the documented and NW&SC now have a range of operational
distribution system, these all related to deciencies in and other documents to support implementation of the
control measures, suggesting that the identication of WSP. These include the WSP itself, a manual for under-
hazardous events and control measures were reliable. There taking the WSP activitiesincluding reportingand the
was a less obvious relationship in the treatment works, but results of the risk assessment undertaken with guidance on
there were some operational deciencies that had been how this may be repeated.
identied. A nal exercise was undertaken to estimate what the
The data from the validation exercise for E. coli, C. costs would be to NW&SC of switching to a WSP approach
perfringens and somatic coliphage, as well as data available to water quality monitoring compared to the costs of
on E. coli from monitoring programmes, were used to returning to an end-product standard testing approach.
perform a quantitative microbial risk assessment based on The results showed that a 30% reduction in costs of water
the simplied approach described in the WHO Guidelines quality control activities could be achieved, whilst at the
for Drinking-Water Quality (WHO 2004). The risk assess- same time maintaining greater assurance of water safety.
ment demonstrated that the principal public health risks
related to bacterial pathogens in the Kampala system were
5. Discussion
found in the distribution system and were 2 3 orders of
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magnitude higher than the risk at the treatment works. The The development and implementation of a WSP in
risk from protozoa breakthrough at the treatment works Kampala was successful and NW&SC valued the ap-
was considerably higher than the risk from bacterial or proach. Although the approach and some of the
viral pathogens (Howard et al. n.d.). terminology was considered new at the beginning of the
Based on the ndings of the validation exercise, a process, the team rapidly realised that a WSP largely builds
verication plan was nalised for the Kampala system for on their existing knowledge and practice and formalises
implementation by the water quality control department of this. It was also recognised by the team that the WSP oers
NW&SC. The verication plan set out the frequency and improvement over the end-product testing approach. The
number of samples required for dierent indicator organ- successful implementation of a WSP in this setting is
isms, as well as assessment of sanitary risks. The important when considering the moves by WHO in
verication plan is shown in table 5. The verication promoting the WSP approach. Unless this can be applied
programme in the distribution system was based on a in all countries and most settings, it cannot be considered as
rolling programme with samples taken every month, which a valid international approach. This case study suggests
is consistent with recommendations in WHO (2004). that the approach is robust and provides a useful way
It was also recommended that routine analysis of a forward in water safety management.
smaller number of samples taken from the verication A key aspect of the approach was the initial emphasis
exercise to be analysed for faecal streptococci. The risk placed on the buy-in of senior management and their
assessment also identied the need for frequent verication ongoing involvement through brieng and reports from the
of the treatment system through use of C. perfringens. WSP team. Without spending this time in developing
Assessment of performance through verifying Ct values support, it is unlikely that WSPs will be easy to implement.
and undertaking a detailed audit of records was also This is in agreement with the recognised need for a WSP
included. champion in the literature (Davison et al. 2004). In this
For the sanitary risk component, it was recommended particular case, the initial champion came from outside the
that twice a year a systematic survey and an operational utility in the form of the UK research team, but rapidly
audit be undertaken at the same time as the more extensive transferred across to the NW&SC coordinator. This also
analysis of water quality. suggests that in achieving uptake of WSPs in developing
countries, key organisations such as WHO and IWA will
need to take on an initial champion role to persuade
4.3 Documentation
utilities of the benets of the approach.
The nal stage of the WSP was to establish procedures for The limited changes found in the hazardous event
documenting the ongoing activities within the WSP. identication and control measure denition between the
Results of sanitary inspections from the twice-yearly desk-based exercise and the eld assessment showed that
comparative assessment were to be reported to the GIS the team already had a good understanding of the system.
team to ensure that this could be used to update the risk Undertaking the Kampala WSP provided the team with the
maps with the variable risk component. Likewise, the knowledge, experience and condence to undertake similar
water quality control department have to be informed of exercises in a second water supply in Jinja, Uganda. The
any improvements or upgrades undertaken on the system. team found that in Jinja the range of hazardous events and
Water safety plan in Kampala, Uganda 169
control measures were very similar to those for Kampala to the maintenance of the tertiary infrastructure and found
and that the WSP for Kampala could be used as a checklist in the immediate area of taps. In many incidences, the
to allow the WSP for Jinja to be dened. The use of faecal impact of such events are rather dierent in developing
streptococci in distribution assessments indicated its country utilities than a similar event in a developed country
ecacy as a indicator bacteria, although the test is less because a single tap often serves multiple households, either
easily performed using low-cost eld kits. The development because it is a public tap or because the owner of the tap
of such kits is an area of ongoing research. sells water to their neighbours within the community
Such a nding is of particular importance for water (Singha 1996, Tatietse and Rodriguez 2001). Therefore
suppliers in developing countries, where available resources the number of people aected is much greater and becomes
are limited, as the use of model WSPs as a starting point more within the public domain than similar problems at a
for dening WSPs for all their supplies will signicantly household tap in developing countries.
reduce the time required at each supply and oer savings in These problems suggest that the utility needs to take a
costs. It also suggests that model WSPs could be shared with more proactive role in managing localised risks, which at
other utilities in the same country or with utilities in other the same time is dicult to achieve with available human
countries. A future area of activity could be for a number of and other resources. The approach advocated within the
utilities in the East Africa region to pool expertise and Kampala setting was for NW&SC to provide training and
resources to develop a regionally applicable model WSP as a simple tools for communities to monitor localised risks and
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guide for local WSP development. There already exist forums undertake simple repairs. Furthermore, a hot-line was
through which this could occur and it is suggested that this advocated that would allow communities to notify
oers a potentially highly advantageous way forward. NW&SC or OSUL of both localised and supply problems
The use of risk mapping was found to be very important (for instance major leaks) in order to ensure that repairs
in dening the priority to be accorded to hazardous events were made in a timely fashion. The success of this latter
and control measures within the distribution system. action will also be an eective indication of the degree to
Without such an approach, it would have been much more which NW&SC are a responsive and eective utility.
dicult to take into account variability in the nature of the
system and the environment in which it is laid and the
6. Conclusions
variation in the potential impact on users. Although more
complex modelling of risk is possible in distribution The experience gained in this case study showed that WSPs
systems (Ta 2002), the case study in Kampala has shown can be applied to utilities in developing countries.
that the semi-quantitative approach adopted provides an Experience from other countries show that the WSP
important building block for the WSP. The team also approaches oer many benets to utilities in controlling
found that the use of risk mapping using system water safety and demonstrating due diligence to regulators
characteristics was also robust and could be applied to and customers. The case study in Kampala also showed
other settings such as Jinja where there was more limited that once a utility has had experience in developing one
data (Godfrey and Howard 2004). WSP, subsequent replication is easier and quicker and that
The exercise in evaluating costs of applying WSPs shows there is a strong case to be made for development of
that not only does such an approach provide better model WSPs as a guide to the process. This would
assurance of water safety but may also be more cost- simplify modication to suit individual water supplies. The
eective. In other countries, water suppliers have tended to study ndings suggest that there could be possibilities for a
nd that costs have either decreased or remained the same regional approach to promoting model WSPs.
with implementation of HACCP or WSPs (Davison et al. Endorsement by senior management is essential for
2004). This makes a strong argument for managers when implementing a WSP. In this case study, endorsement
promoting the application of WSPs. Furthermore, there is from the most senior managers in the utility provided the
good evidence that HACCP plans and WSPs can support WSP team with authority that proved to have long-lasting
improved asset management (Davison et al. 2004) and this eect. It also gave subsequent authority for the WSP team
proved a useful means of persuading senior management in to interact closely with the unit established within NW&SC
Uganda of the overall benets of the approach. to promote community participation and delivery of
Although the work with the water supplier showed that services to the urban poor.
many of the risks in the water supply were more eectively The need for a champion was essential to obtain the
controlled through the use of the WSP approach, there necessary senior management endorsement. In Kampala,
remain areas where the control of water safety implies the champion largely came from outside via the UK
actions by other stakeholders. Of key importance within research team. It is likely that to roll out WSPs across
the Kampala supply is the role of communities in developing countries, organisations such as WHO and
controlling localised risks. Such localised problems relate IWA may have to initially play a champion role.
170 G. Howard et al.
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